Aggregated News From Investment Management Regulators

SMP Partners Limited

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Notice is hereby given that SMP Partners Limited, which was licensed under Section 7 of the Financial Services Act 2008, has surrendered its licence with effect from 26 June 2020.

Regulator Information

Abbreviation: IOMFSA
Jurisdiction: Isle of Man

Recent Articles

SEC Proposes to Enhance Disclosures by Certain Investment Advisers and Investment Companies About ESG Investment Practices

The Securities and Exchange Commission today proposed amendments to rules and reporting forms to promote consistent, comparable, and reliable information for investors concerning funds’ and advisers’

SEC Proposes Rule Changes to Prevent Misleading or Deceptive Fund Names

The Securities and Exchange Commission today proposed amendments to enhance and modernize the Investment Company Act “Names Rule” to address changes in the fund industry and compliance practices that

SEC Halts Alleged Ongoing $39 Million Fraud by Hedge Fund Adviser

The Securities and Exchange Commission today announced fraud charges against Detroit-based EIA All Weather Alpha Fund I Partners LLC (EIA) and its sole owner, Andrew M.

SEC Charges RiverSource Distributors with Improper Switching of Variable Annuities

The Securities and Exchange Commission today announced settled charges against RiverSource Distributors Inc. for improper switching or replacing of variable annuities.

Federal Reserve Board issues Economic Well-Being of U.S. Households in 2021 report

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