Aggregated News From Investment Management Regulators

SEC Awards More Than $31 Million to Whistleblowers in Two Enforcement Actions

The Securities and Exchange Commission today announced whistleblower awards to four individuals totaling more than $31 million.

SEC Charges S&P Dow Jones Indices for Failures Relating to Volatility-Related Index

The Securities and Exchange Commission today announced settled charges against S&P Dow Jones Indices LLC for failures relating to a previously undisclosed quality control feature of one of its volati

Mannet Capital Management (clone of former PSD Agent)

Fraudsters are using the details of firms we authorise...

Verge Capital (Clone of EEA authorised firm)

Fraudsters are using the details of firms we authorise...

Capital Finance Strategies Ltd (clone of FCA Authorised firm)

Fraudsters are using the details of firms we authorise...

Federal Reserve Board announces the third extension of a rule to bolster the effectiveness of the Small Business Administration’s Paycheck Protection Program (PPP)

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HeliFX

We believe this firm may be providing financial services...

SKYWAY/NEEW (New Economic Evolution of the World)

We believe this firm may be providing financial services...

myinvestmentoptions.uk

We believe this firm may be providing financial services...

Communiqué No. 49 Statistical information as of March 2021 of the entities of the SofomERs sector

This post was translated by Regulatory.News for informational purposes...

Federal Reserve Board announces approval of applications by The PNC Financial Services Group, Inc. and PNC Bancorp, Inc.

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ESAs report on the implementation and functioning of the securitisation regulation

The Joint Committee of the European Supervisory Authorities (ESAs – European Banking Authority, European Insurance and Occupational Pensions Authority, and European Securities and Markets Authority)

FCA announces plans to stop CMC phoenixing

The FCA has announced proposals to stop the practice of ‘claims management phoenixing’, by banning Claims...

Press release on the reopening of trading in Recticel

  ANNOUNCEMENT BY THE FINANCIAL SERVICES AND MARKETS AUTHORITY, PUBLISHED...

Press release on the reopening of trading in Cie Bois Sauvage

ANNOUNCEMENT BY THE FINANCIAL SERVICES AND MARKETS AUTHORITY, PUBLISHED...

ESAs’ report on the implementation and functioning of the securitisation regulation

The Joint Committee of the European Supervisory Authorities (ESAs...

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READOUT: Deputy Secretary of the Treasury Wally Adeyemo’s Meeting with the Board of Directors of the Opportunity Finance Network

Earlier today, Deputy Secretary of the Treasury Wally Adeyemo met with the Board of Directors of the Opportunity Finance Network (OFN), led by President...

Banking licence of JSC Texbank cancelled

By its Order No. OD-883, dated 14 May 2021, the Bank of Russia cancelled the banking licence of Cherkessk-based Joint-stock Company Texbank, or JSC Texbank (Registration No. 2756). The credit institution ranked 320th by assets in the Russian banking system.1

Pure Bridging Finance Limited

Published on: 11 May 2021 Designated Businesses (Registration & Oversight) Act 2015 PURE BRIDGING FINANCE LIMITED Notice is hereby given that PURE BRIDGING FINANCE LIMITED, which was registered under

comparedbonds.uk

We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary...

Consultation Paper on the RTS 2 Annual Review

See the content published by the European Securities and Markets Authority (ESMA) here: Read more

Procedure for seeking prior approval for change in control of SEBI registered Portfolio Managers

This news item was originally published by the Securities and Exchange Board of India (SEBI IN). See the article here: Read more

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SEC Awards More Than $31 Million to Whistleblowers in Two Enforcement Actions

The Securities and Exchange Commission today announced whistleblower awards to four individuals totaling more than $31 million.

SEC Charges S&P Dow Jones Indices for Failures Relating to Volatility-Related Index

The Securities and Exchange Commission today announced settled charges against S&P Dow Jones Indices LLC for failures relating to a previously undisclosed quality control feature of one of its volati

Federal Reserve Board announces the third extension of a rule to bolster the effectiveness of the Small Business Administration’s Paycheck Protection Program (PPP)

Please enable JavaScript if it is disabled in your browser or access the information through the links provided below.

Latest U.K. News

Mannet Capital Management (clone of former PSD Agent)

Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out...

Verge Capital (Clone of EEA authorised firm)

Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out...

Capital Finance Strategies Ltd (clone of FCA Authorised firm)

Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out...
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