Aggregated News From Investment Management Regulators

Circular CSSF-CODERES 21/13

Single Resolution Fund – Information request by the Single...

Communiqué No. 95 CNBV Issued Modifications to the Provisions for Hiring Bank Commissioners

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

Volume 43, Issue 48

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Amendments to OSC Rule 13-502 Fees

1. Ontario Securities Commission Rule 13-502 Fees is amended by this Instrument. 2. The definition of “unregistered capital markets participant” in section 1.

FORTIFICATION CAPITAL INC.

Investment Industry Regulatory Organization of Canada has been informed...

Order in the matter of DCB Bank Ltd.

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

IIROC Sanctions Former Toronto Investment Advisor Scott Andrew Hanson

View the Notice from the Investment Industry Regulatory Organization...

IQE Limited

Published on: 24 September 2021 Financial Services Act 2008 IQE Limited Notice is hereby given that IQE Limited, which was licensed under Section 7 of the Financial Services Act 2008, has surrendered

IN THE MATTER OF Yonathan Chanoch Shields – Penalty Hearing

View the Notice from the Investment Industry Regulatory Organization...

Brant Securities Limited

The Investment Industry Regulatory Organization of Canada has been...

Managing significant areas of risk guidance

View the Notice from the Investment Industry Regulatory Organization...

Sentor Solutions Commercial Ltd consumer warning

We have taken action against the authorised firm, Sentor...

FSA publishes Weekly Review No.457

This news item was originally published by the Financial Services Agency (FSA JP). For more information, see the Read more

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177 posts from 36 regulators published in the last week

HyperFund

We believe this firm has been providing financial services or products in the UK without our authorisation. Find out why to be especially wary...

THE CNMV PUBLISHES ITS REPORTS ABOUT THE REPORTS ON CORPORATE GOVERNANCE AND THE REMUNERATION OF BOARD MEMBERS OF LISTED COMPANIES FOR 2020

See the PDF published by the Comisión Nacional del Mercado de Valores (CNMV ES) here: Source link

Non-profit organisations assessed for terrorist financing risk

As part of the Island’s fight against financial crime, we are working with the Government of Jersey to build a better understanding of local non-profit organisations and the potential risk of them be

FCA bans Jon Frensham from working in financial services

The FCA has banned director Jon Frensham (formerly known as Jonathan James Hunt) from performing any regulated activity. The FCA found Mr Frensham, an independent...

SEC Charges Former Pharmaceutical Global IT Manager in $8 Million Insider Trading Scheme

Washington D.C., Sept. 17, 2021 — The Securities and Exchange Commission today announced insider trading charges against Dayakar R.

IIROC Re-elects five Board Directors

View the Press Release from the Investment Industry Regulatory Organization of Canada (IIROC CA) here: Source link

Appeal No. 4400 of 2021 filed by Kedar Bhasme

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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More than 420,000 Households Received Emergency Rental Assistance in August, Totaling Over $2.3 Billion in Payments

State and local governments have made over 1.4 million Emergency Rental Assistance payments to households and distributed $7.7 billion since January The state and local...

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Sentor Solutions Commercial Ltd consumer warning

We have taken action against the authorised firm, Sentor Solutions Commercial Ltd, to prevent it carrying out any regulated activities without our prior written...

Gildon International Consultancy

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

Compare Meerkat / compare-meerkat.com (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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