Aggregated News From Investment Management Regulators
OSC Notice of Amendments to OSC Rule 33-506 (Commodity Futures Act) Registration Information and Changes to the Companion Policy to OSC Rule 33-506 (Commodity Futures Act) Registration Information
Date of prohibition order pursuant to section 33 of the Financial Services Business (Enforcement Powers) (Bailiwick of Guernsey) Law, 2020 and prohibited functions:
From 2 February 2023 until 2 July
Date of prohibition order pursuant to section 33 of the Financial Services Business (Enforcement Powers) (Bailiwick of Guernsey) Law, 2020 and prohibited functions:
From 2 February 2023 until 2 Mar
On 2 February 2023, the Commission imposed discretionary financial penalties as follows:
Mr William Stephen Cairns (“Mr Cairns”) a financial penalty of £133,000; and
Mr Du Preez Gert Vermeulen (“M