Aggregated News From Investment Management Regulators

Holding bank shares by means of an ETN – Joint position paper regarding ETN managers’ bank share holdings

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SFDR data collection exercise applicable to investment fund managers (IFMs) and institutions for occupational retirement provision (IORPs) on precontractual disclosures in relation to Regulation...

1. Context This communiqué follows up on the CSSF communiqué published on 27 July 2022 announcing the intention of the CSSF to launch a data collection exercise related...

Trends, Risks and Vulnerabilities (TRV) Report, No. 1, 2023

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

Release Order issued in RC No. 6238 of 2023 drawn against Gopal D Mudavat (PAN: BNJPM0036K), Megha Mahesh Khandelwal (PAN: AACPK8139Q) and Mahesh Omprakash...

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

Intimation of completion of RC No. 6238 of 2023 drawn against Gopal D Mudavat (PAN: BNJPM0036K), Megha Mahesh Khandelwal (PAN: AACPK8139Q) and Mahesh Omprakash...

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

Cancellation of Recovery Certificate No. RC4750 of 2022 dated May 11, 2022 issued against Rajendra Kumar Agarwal HUF (PAN: AADHR7112R) in the matter of...

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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