Former Venture Egg, Reilly Financial and Interprac adviser Nicholas Hogan banned for four years
Former Venture Egg, Reilly Financial and Interprac adviser Nicholas Hogan banned for four years
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Wealth Manager
Global Regulatory Updates for Financial Services
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Latest Updates
SAMA Licenses “Atyoun Litqniyat AlMalumat WalIttisalat AlMubtakirah” Company to Provide Payment Services
SAMA Licenses “Atyoun Litqniyat AlMalumat WalIttisalat AlMubtakirah” Company to Provide Payment Services
Sectors:
Topics:
Payment ProviderFintech
SEC Approves Amendment to NMS Plan to Further Reduce the Costs of the Consolidated Audit Trail
The Securities and Exchange Commission today approved an amendment to the National Market System Plan governing the Consolidated Audit Trail (“CAT”) and provided exemptive relief from certain requirements of Rule 17a-1 under the Securities Exchange Act…
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Broker DealerAll Firms
Councils,The third meeting of the Expert Panel on the Revision of the Corporate Governance Code (2025-2026)
No description available.
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BankWealth Manager
ECB sanctions BofA Securities Europe SA for breaching reporting requirements
No description available.
AI Analysis
The ECB imposed a €6.2 million penalty on BofA Securities Europe SA for intentionally breaching market risk reporting requirements between 2022 and 2024. The bank systematically underreported risk-weighted assets by including unauthorized sovereign bond option positions in its internal models, resulting in inflated capital ratios and misrepresented financial strength—a "severe" breach that signals the ECB's heightened enforcement focus on reporting accuracy and internal control governance.
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BankBroker Dealer
Investment trust votes, conflicts of interest, and our role
On 3 March 2026, we said we’d bring forward our planned review of the UK Listing Rules for Investment entities, including how they apply to board independence and related party provisions.Since then, there has been substantial debate over our role in relation to investment trusts, including calls for us to ‘get to grips’ with voting rules ‘that allow a minority shareholder to repeatedly attack an investment trust’.Much of this debate suggests there are misunderstandings about how investment t...
AI Analysis
This FCA blog post announces an accelerated review of UK Listing Rules for investment entities, focusing on board independence, related party provisions, conflicts of interest, and shareholder rights amid debates over activist minority shareholders targeting investment trusts. It matters because it clarifies the FCA's limited role (rules apply to issuers, not shareholders), reinforces Companies Act protections, and signals upcoming proposals to ensure rules fit novel scenarios like concentrated ownership, potentially impacting governance and listing compliance for investment trusts.[FCA blog]
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Asset ManagerAll Firms
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung der Liste der sanktionierten natürlichen Personen, Unternehmen und Organisationen der Verordnung vom 21. März 2025 über Massnahmen gegenüber Personen und Organisationen, die mit den Organisationen ISIL (Da'esh) und Al-Kaida in Verbindung stehen (SR 946.231.08), publiziert.
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BankWealth ManagerAll Firms
Postponement of the rollout for Commodity Derivatives Weekly Position Reporting
Postponement of the rollout for Commodity Derivatives Weekly Position Reporting 27 March 2026 Trading The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, is postponing the rollout of the new solution for Commodity Derivatives Weekly Position Reporting, originally scheduled for 1 April 2026. The decision follows the identification of issues during the final testing phase, which require further corrective actions to ensure system stability ...
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Broker DealerAll Firms
ESAs spring risk update highlights geopolitical pressures and rising private finance risks
ESAs spring risk update highlights geopolitical pressures and rising private finance risks 27 March 2026 Joint Committee Risk monitoring The European Supervisory Authorities (EBA, EIOPA and ESMA – the ESAs) today published their spring 2026 Joint Committee update on risks and vulnerabilities in the EU financial system. The update focuses on the challenges arising from ongoing geopolitical tensions and developments in private finance. Geopolitical tensions continue to pose significant risks Th...
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BankAsset ManagerInsurance
Central Bank Appointments
The Central Bank Commission has appointed Elizabeth Mahon as Secretary of the Central Bank, effective 30 March. Elizabeth has also been appointed to the role of Head of Governance in the Central Bank. Elizabeth has more than 20 years' experience in financial services, principally in the banking sector, where her career has focused on strategy and implementation, management consulting, organisational change, and stakeholder management. Since 2022 she has worked at the Central Bank as Head of S...
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BankWealth Manager
The AMF clarifies its doctrine on several aspects relating to asset management companies
Asset management Regulatory developments The AMF clarifies its doctrine on several aspects relating to asset management companies
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Asset ManagerBank
FCA fines Dinosaur Merchant Bank Limited for market abuse surveillance failures
The FCA has fined Dinosaur Merchant Bank Limited (DMBL) £338,000 for failing to put in place effective systems and controls to detect and report suspicious trading in its contracts for difference (CFD) business. CFDs are sophisticated financial products that are used to speculate on various assets going up or down in value. Given their high-risk nature, firms must have strong and reliable surveillance arrangements to prevent insider dealing and market manipulation.In June 2024, DMBL introduce...
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BankBroker Dealer
My FCA marks first year with a single, streamlined sign in for all firms
As part of ongoing improvements to My FCA, and following the successful removal of RegData sign in at the end of last year, we have now removed direct access to Connect and the Online Invoicing System. Firms do not need to take any action. All existing RegData, Connect and Online Invoicing links and bookmarked pages will now automatically redirect to My FCA, where you can access all systems from a single homepage without signing in again. This makes managing your regulatory tasks quicker and ...
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BankWealth ManagerAll Firms
Governor Gabriel Makhlouf Calls for Genuine Single Market to Mobilise Europe’s Savings
Governor Gabriel Makhlouf of the Central Bank of Ireland today emphasised the critical need to strengthen Europe’s Single Market as the foundation for mobilising the continent’s substantial savings in an increasingly fragmented global environment.
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BankAsset ManagerWealth Manager
Bridge to the Future: Mobilising Europe's Savings in a Fragmenting World - Speech by Governor Gabriel Makhlouf at Eurofi
In his remarks, Governor Gabriel Makhlouf emphasised that Europe must mobilise its substantial savings by strengthening economic growth, completing the Single Market, and building more integrated capital markets, as capital currently flows abroad due to perceived higher returns elsewhere. He argued that central banks must anchor price stability and financial stability as preconditions for effective capital allocation, and that by addressing these fundamentals, European savings will naturally ...
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BankAsset ManagerBroker Dealer
Naperte Designated Activity Company (CLONE) - Central Bank of Ireland issues warning about unauthorised firm
Naperte Designated Activity Company (CLONE) - Central Bank of Ireland issues warning about unauthorised firm
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BankWealth ManagerAll Firms
TD ICAV (CLONES) - Central Bank of Ireland Issues Warning on Unauthorised Firm
TD ICAV (CLONES) - Central Bank of Ireland Issues Warning on Unauthorised Firm
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Asset ManagerWealth Manager
Castleforbes Wealth (CLONE)– Central Bank of Ireland issues warning about unauthorised firm
Castleforbes Wealth (CLONE)– Central Bank of Ireland issues warning about unauthorised firm
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Wealth Manager
The stock market attracted a record number of retail investors in 2025
Long term investment Shares ETF Retail investors Journalists The stock market attracted a record number of retail investors in 2025
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Asset ManagerBroker DealerWealth Manager
BaFin warns consumers about the websites renvio(.)icu and renvio(.)pro
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the websites renvio(.)icu and renvio(.)pro. BaFin has information that these websites are being used to offer financial, investment and cryptoasset services without the required authorisation.
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BankFintechCrypto Exchange
Update to Discount Window Facility pricing – Market Notice 27 March 2026
The Bank is today announcing a simplification and reduction in the Discount Window Facility (DWF) pricing, as part of its previously announced review of the DWF.
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BankWealth ManagerAsset Manager
ASIC applies to wind up 12 companies associated with NSW accountant and former solicitor Christopher Malcolm Edwards
ASIC applies to wind up 12 companies associated with NSW accountant and former solicitor Christopher Malcolm Edwards
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Asset ManagerWealth ManagerBank
Binance Australia Derivatives ordered to pay $10 million penalty for onboarding failures causing millions in client trading losses
Binance Australia Derivatives ordered to pay $10 million penalty for onboarding failures causing millions in client trading losses
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Crypto Exchange
Barclays PLC: BaFin imposes administrative fine
On 10 March 2026, BaFin imposed an administrative fine amounting to €1,650,000 on Barclays PLC. The reason for this fine was a breach of supervisory duties in connection with contraventions of the German Securities Trading Act (Wertpapierhandelsgesetz - WpHG). Between June 2022 and March 2023, Barclays PLC failed in 26 cases to submit voting rights notifications regarding a single issuer within the prescribed period.
AI Analysis
BaFin imposed a €1.65 million administrative fine on Barclays PLC on March 10, 2026, for failing to submit 26 voting rights notifications within the required four-trading-day deadline between June 2022 and March 2023. This enforcement action demonstrates BaFin's commitment to enforcing transparency requirements under the German Securities Trading Act (WpHG) and highlights the critical importance of robust internal controls for voting rights notification compliance.
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Broker DealerAsset ManagerBank
New speech by Kelvin Wong: Remarks at the Spring Dinner of the Institute of Securities Dealers
No description available.
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Broker DealerAsset Manager
Singapore Sets out Key Focus Areas to Develop Singapore as a Gold Trading Centre
MAS and the Singapore Bullion Market Association (SBMA) set out key focus areas to strengthen Singapore’s position as a trusted gold trading centre serving the Asia-Pacific region. This will meet the growing interest among investors to vault and trade gold in Singapore. The key focus areas were developed by a Gold Market Development Working Group that MAS and SBMA established in January 2026, building on detailed discussions and studies with industry participants in 2025.
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BankWealth ManagerFamily Office
Stopping for gas − speech by Alan Taylor
Given at the Exante Data 10 Year Anniversary Conference, New York
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BankWealth ManagerFintech
SAMA Commences Licensing of Fintech Companies to Provide Open Banking Services
SAMA Commences Licensing of Fintech Companies to Provide Open Banking Services
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FintechBankPayment Provider
SAMA Licenses “Altknwlwjya aljadydh llhulul albrmjyh” and “lyn tknwlwjyz Company Saudi Arabia litqniyat nuzum almaelumat” to Provide Open Banking Services
SAMA Licenses “Altknwlwjya aljadydh llhulul albrmjyh” and “lyn tknwlwjyz Company Saudi Arabia litqniyat nuzum almaelumat” to Provide Open Banking Services
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FintechPayment Provider
International,Hosting Overseas Regulatory Officials at the Global Financial Partnership Center (28th Program: 12 Banking Regulatory Authorities)
No description available.
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BankAsset ManagerWealth Manager
Circular CSSF-CPDI 26/50
Survey on the amount of covered deposits held on 31 March 2026
AI Analysis
Circular CSSF-CPDI 26/50 mandates a recurring annual survey on the amount of **covered deposits** held as of **31 March 2026** by specified Luxembourg credit institutions, to support the Fonds de garantie des dépôts Luxembourg (FGDL) in meeting Deposit Guarantee Scheme (DGS) requirements under the 2015 Law and DGSD. This matters for compliance as it ensures institutions contribute accurately to the FGDL's buffer (targeting 2% of covered deposits by 2026), with data also feeding into Single Resolution Board (SRB) calculations for resolution funding.
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Bank
Crypto-assets: The AMF applies ESMA guidelines on the knowledge and competence of staff of crypto-asset service providers under MiCA
Crypto-assets MiCA Crypto-assets: The AMF applies ESMA guidelines on the knowledge and competence of staff of crypto-asset service providers under MiCA
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Crypto ExchangeFintech
FCA responds to Complaint Commissioner’s report on the British Steel Pension Scheme
We sympathise with former members of the British Steel Pension Scheme (BSPS) who lost money after they were given unsuitable advice from people they trusted. Complaints are a valuable source of feedback which help us improve and learn. There have also been 4 independent reports into the BSPS since 2018, which have helped us learn lessons. We have accepted several of their recommendations and implemented improvements, including those below.We now have much closer collaboration between the FCA,...
AI Analysis
The FCA's response to the Complaint Commissioner's report on the British Steel Pension Scheme addresses systemic failures in pension transfer advice that affected approximately 7,700 members, with 47% receiving unsuitable advice. This statement demonstrates the FCA's acknowledgment of regulatory shortcomings and outlines remedial measures implemented to prevent similar harm, including enhanced inter-agency collaboration, stricter product governance rules, and a £106 million redress scheme now benefiting 1,870 affected members.
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Wealth ManagerAsset ManagerAll Firms
Equity for Growth (Securities) Limited enters liquidation
On 25 March 2026, following a petition filed by the FCA, the High Court ordered that Equity for Growth (Securities) Limited (EFG) be wound up. EFG is a corporate finance firm. EFG was also a principal for a number of appointed representatives between 2015 and 2020, including Amyma Ltd and Osborne Baldwin Ltd, which traded as Hunter Jones.An appointed representative carries on regulated activity under the responsibility of an authorised firm, known as 'the principal'. Find more information on ...
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Asset ManagerWealth ManagerBroker Dealer
West Invest Bank - Central Bank of Ireland Issues Warning on Unauthorised Firm
West Invest Bank - Central Bank of Ireland Issues Warning on Unauthorised Firm
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Bank
Walsh Trust Bank - Central Bank of Ireland Issues Warning on Unauthorised Firm
Walsh Trust Bank - Central Bank of Ireland Issues Warning on Unauthorised Firm
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Bank
Take control of your finances, one step at a time
No description available.
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BankWealth ManagerFintech
FCA sets out next phase of smarter, more effective regulation
We have set out plans for using AI to speed up authorisations, testing new tools to identify key risks earlier, with our people remaining at the heart of decision-making. The new authorisation tool is being developed internally and will be integrated into existing FCA systems.It forms part of our annual work programme 2026/27, which lays out how we’re accelerating our ambition to be a smarter, more data-driven regulator.We will also use generative AI to support our efforts to modernise regula...
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BankWealth ManagerFintech
Bank of England streamlines reporting and disclosure requirements for bank failure regime
The Bank of England and Prudential Regulation Authority have finalised a package of changes to firms’ resolution reporting and disclosure requirements which reduces the burden of regulation while maintaining a robust and credible regime that supports growth and competition.
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BankWealth Manager
SS9/17 - Recovery planning
Supervisory Statement 9/17
AI Analysis
**SS9/17 - Recovery Planning** is the PRA's supervisory statement establishing expectations for how UK banks, building societies, and designated investment firms must prepare and maintain recovery plans to ensure financial stability during periods of stress. This guidance supersedes the previous SS18/13 and represents a substantial tightening of recovery planning requirements, making credible, testable, and executable recovery plans a core component of prudential regulation rather than a compliance checkbox.
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BankAll Firms
PS10/26 – Amendments to Resolution Assessment threshold and Recovery Plans review frequency
Policy statement 10/26
AI Analysis
PS10/26 finalizes PRA proposals to raise the Resolution Assessment threshold from £50 billion to £100 billion in retail deposits and reduce recovery plan review frequency for Small Domestic Deposit Takers (SDDTs) from annually to biennially, enhancing proportionality in resolution and recovery frameworks post-financial crisis. These changes reduce regulatory burden on smaller firms while maintaining safety and soundness, directly supporting PRA objectives of competitiveness and growth. Compliance teams must assess scope changes immediately to align reporting and planning cycles.
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Bank
PS11/26 – Disclosure: resolvability resources, capital distribution constraints and the basis for firm Pillar 3 disclosure
Policy statement 11/26
AI Analysis
PS11/26 finalizes PRA rules enhancing Pillar 3 disclosures on resolvability resources (MREL), capital distribution constraints (CDCs), and disclosure basis for UK banks and building societies. It matters because it standardizes information to boost market discipline, user comparability, and confidence in orderly resolution, directly impacting financial stability and compliance reporting. No substantive changes from CP16/25 consultation, with minor clarifications only.
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BankBroker DealerAll Firms
PS9/26 – Resolution planning: Amendments to MREL reporting templates
Policy statement 9/26
AI Analysis
PS9/26 finalizes targeted amendments to MREL reporting templates, including changes to MRL001 and MRL003 data elements and the deletion of MRL002, reducing reporting burdens while maintaining resolution planning oversight. This matters for compliance teams as it streamlines processes under the PRA's Future Banking Data programme, with implementation from 1 January 2027, enabling firms to reallocate resources efficiently.
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Bank
Pedro Machado: From vision to reality: turning the savings and investments union into Europe’s financial cornerstone
No description available.
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Topics:
BankAsset ManagerBroker Dealer
Schaeffler AG: BaFin imposes administrative fine
On 4 March 2026, BaFin imposed an administrative fine amounting to 180,000 euros on Schaeffler AG on the grounds that the company had violated the Market Abuse Regulation (MAR). The fact that financial results for the first quarter of 2024 deviated significantly from market expectations should, as insider information, have been made transparent by the company without delay.
AI Analysis
BaFin imposed a €180,000 administrative fine on Schaeffler AG on 4 March 2026 for violating Article 17(1) of the Market Abuse Regulation (MAR) by failing to promptly disclose insider information about Q1 2024 financial results that significantly deviated from market expectations. This enforcement action underscores BaFin's strict enforcement of ad hoc disclosure obligations for listed companies, serving as a reminder that delays in publishing inside information can lead to substantial penalties and undermine market integrity. Compliance teams must prioritize robust inside information monitoring to avoid similar sanctions, as fines can reach up to €2.5 million or 2% of total revenue.
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All Firms
Quarterly Bulletin No.1 2026: Renewed surge in international energy prices tests domestic economic resilience
Renewed surge in international energy prices tests domestic economic resilience Higher oil and gas prices are expected to lead to lower growth and higher inflation than previously expected. The extent is dependent on the duration of the conflict and the scale of damage to critical infrastructure in the Middle East. MDD is forecast to grow by 2.8 per cent per annum on average from 2026 to 2028 in the baseline forecast, with inflation averaging 2.5 per cent per annum over that period. More seve...
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BankAsset ManagerWealth Manager
Superintendent Routledge to participate in virtual fireside chat at Bank of America Expert Insights Series on March 30, 2026
Superintendent Routledge to participate in virtual fireside chat at Bank of America Expert Insights Series on March 30, 2026
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BankAsset ManagerWealth Manager
Circular CSSF 26/908
Amendment of Circular CSSF 18/703 on the introduction of a semi-annual reporting of borrower related residential real estate indicators
AI Analysis
Circular CSSF 26/908 amends Circular CSSF 18/703 to update semi-annual reporting requirements for borrower-related residential real estate indicators, enhancing supervisory oversight of credit risk in Luxembourg's financial sector. Published today (25 March 2026), it matters for credit institutions as it refines data collection to better monitor real estate lending exposures amid potential market vulnerabilities.
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Bank
SFC CEO re-appointed as Chair of IOSCO Asia-Pacific regional committee
No description available.
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All Firms
FCA plans to help people get more financial advice for important decisions
More people could access financial advice, under proposals set out by FCA. The FCA is consulting on how to make it easier for firms to give more simplified forms of individualised financial advice to consumers.Simplified forms of advice can help consumers with more straightforward needs and do not require a full assessment of all their financial circumstances, making it more accessible and affordable.Sarah Pritchard, deputy chief executive of the FCA, said:'For too long the support people nee...
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Asset ManagerWealth ManagerBank
Anneli Tuominen: Interview with Anneli Tuominen for Die Presse
No description available.
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BankWealth ManagerAll Firms
SFC obtains court order to freeze assets worth up to $219 million belonging to suspected manipulators of KNT shares
No description available.
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BankBroker DealerAsset Manager
Technical FAQ on CSSF Regulation No 20-08 on borrower-based measures for residential real estate credit (track changes) (Updated)
Version of 9 March 2026
AI Analysis
The CSSF Technical FAQ on Regulation No 20-08 provides implementation guidance on **loan-to-value (LTV) limits for residential real estate credit in Luxembourg**, establishing borrower-based macroprudential measures designed to limit leverage in the mortgage market. This guidance is critical for lenders operating in Luxembourg as it clarifies how to calculate own funds, determine LTV compliance, and apply temporary portfolio exemptions that have been extended through June 30, 2025.
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BankFintech
Circular CSSF 18/703 (as amended by Circulars CSSF 20/737, 21/772 and 26/908) (Updated)
on the introduction of a semi-annual reporting of borrower-related residential real estate indicators
AI Analysis
Circular CSSF 18/703 introduces semi-annual reporting requirements for Luxembourg-based lenders on borrower-related residential real estate (RRE) indicators to monitor macroprudential risks in the RRE lending market, in line with ESRB Recommendation 2016/14 (as amended). It matters for compliance because it mandates data collection via a dedicated CSSF template, with exclusions only for banks below EUR 10 million in outstanding RRE exposures, ensuring supervisory oversight of lending standards. The circular has been iteratively amended (CSSF 20/737, 21/772, 26/908), with the latest update on 25 March 2026 refining reporting processes.
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Bank
CFTC Staff Amends Brexit-Related No-Action Positions for Additional UK Trading Facilities
No description available.
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Broker DealerAll Firms
SAMA Issues the Updated Oversight Framework of the Payment Systems and Their Operators
SAMA Issues the Updated Oversight Framework of the Payment Systems and Their Operators
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Payment ProviderFintech
CSSF Newsletter No 302 – March 2026
No description available.
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BankAsset ManagerWealth Manager
Robustness - speech by Huw Pill
Speech at the National Bank of the Republic of North Macedonia and SUERF conference – Central Banking Amid Persistent Global Shifts: Fostering Stability, Innovation, and Resilience, Skopje
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BankWealth ManagerFintech
J.P. Morgan Asset Management (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
J.P. Morgan Asset Management (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
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Asset ManagerBank
Chairman Selig Announces Formation of New Innovation Task Force
No description available.
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FintechCrypto Exchange
Remarks by Deputy Governor Colm Kincaid to Central Bank of Ireland’s Consumer Protection Workshop – Consumer Protection at the Heart of Our Mission
Good afternoon and welcome to this Central Bank of Ireland workshop on the Consumer Protection Code. Today I will focus on the outlook for consumers and investors. But first let me pause to talk a little about the broader context in which we find ourselves. We are living through a period marked by extraordinary change, geopolitical instability, rapid technological transformation and shifting economic conditions. Governor Makhlouf summarised this well when he said how 2026 has already seen ext...
AI Analysis
Deputy Governor Colm Kincaid's speech on 24 March 2026 emphasizes consumer protection as central to the Central Bank of Ireland's (CBI) mission amid geopolitical, technological, and economic changes, highlighting the revised **Consumer Protection Code 2025** (CPC 2025) as a key modernization effort. This matters for compliance professionals because the CPC 2025 introduces enhanced, digitally-focused protections effective **24 March 2026**, replacing the 2012 Code after a 12-month implementation period, with firms required to proactively secure customer interests.
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BankInsurancePayment Provider
PRA fines The Bank of London and its parent company Oplyse Holdings Limited £2m for failing to act with integrity and misleading the PRA over their capital position
The Prudential Regulation Authority (PRA) has fined The Bank of London Group Limited and Oplyse Holdings Limited (formerly The Bank of London Group Holdings Limited) £2 million for misleading the PRA over their capital positions, failing to act with integrity, failing to be open and cooperative with the regulator and failing to maintain adequate financial resources.
AI Analysis
The Prudential Regulation Authority (PRA) fined The Bank of London Group Limited and its parent Oplyse Holdings Limited £2 million (reduced from £12 million due to financial hardship) for serious breaches including misleading the regulator with fabricated documents on capital positions, failing to act with integrity, lacking openness, and breaching capital and large exposure rules from October 2021 to May 2024. This marks the PRA's first enforcement for integrity failures and first action against a parent holding company, signaling heightened scrutiny on governance, reporting accuracy, and parent-subsidiary accountability in UK banking. Compliance professionals should note this as a precedent reinforcing zero tolerance for deceptive practices, with potential for escalated penalties absent settlement or hardship claims.
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BankFintech
Timing of the FCA's motor finance announcement
We will set out our approach on motor finance redress shortly after markets close on Monday 30 March, having consulted on a compensation scheme in October 2025.
AI Analysis
The FCA is scheduling its announcement on a proposed motor finance redress scheme—addressing historical commission disclosure failures in car loans—for shortly after markets close on Monday, 30 March 2026, following a consultation launched in October 2025. This matters because it signals imminent final rules that could impose up to GBP11 billion in costs on lenders, affecting millions of consumers and requiring urgent operational preparations to ensure timely payouts in 2026.
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BankPayment ProviderAll Firms
BaFin warns consumers about the website panda-financial.com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website panda-financial.com. BaFin has information that the operators are offering banking business and/or financial services as well as cryptoasset services on this website without the required authorisation. The operators of the website are not supervised by BaFin and have no connection to the licensed institution Bitpanda Financial Services GmbH.
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BankCrypto ExchangeFintech
Pedro Machado: Changing the tune but not the tone: synthetic risk transfers in Europe
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
SFC bans Lui Pak Tong for life and fines him $17.43 million for misconduct
No description available.
AI Analysis
The SFC has imposed a **lifetime ban and $17.43 million fine** on Lui Pak Tong for orchestrating a scheme where he exploited a fund under his control by directing $22.5 million in unsecured loans to a company he owned, while concealing conflicts of interest and diverting loan proceeds to himself and associates. This enforcement action demonstrates the SFC's aggressive stance on fiduciary breaches, undisclosed conflicts of interest, and self-dealing by licensed representatives, with direct implications for fund governance, investment committee oversight, and compliance with the Code of Conduct.
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Asset ManagerWealth ManagerBroker Dealer
How the Consumer Protection Code Secures Your Interests
The Central Bank of Ireland today (Tuesday 24 March 2026) marked the coming into force of the modernised Consumer Protection Code, giving consumers stronger protections when using banks, insurance companies, and other financial services. The modernised Code has been designed to better protect consumers in today’s world, and in anticipation of how financial services will evolve into the future. It follows extensive public consultation and engagement. Deputy Governor Colm Kincaid said: "The Cen...
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BankInsuranceAll Firms
Patrick Montagner: Physical risks and the role of insurance in risk mitigation
No description available.
Sectors:
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BankInsurance
Patrick Montagner: Making supervision more effective without compromising resilience
No description available.
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BankAsset ManagerWealth Manager
Patrick Montagner: Embracing harmonisation and diversity
No description available.
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BankWealth ManagerAll Firms
Patrick Montagner: Banking supervision in a fragmented credit market: interconnections matter
No description available.
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BankAsset ManagerWealth Manager
Anneli Tuominen: Upgrading banks’ capacity to deal with digital risks
No description available.
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BankFintech
Festgeldplan(.)com: BaFin warns about website and identity fraud
The German Financial Supervisory Authority (BaFin) warns about offers from the website festgeldplan(.)com. According to information available to BaFin, the unknown operators of the website are offering financial services without the required authorisation. They give the impression that their offers originate from WPV Advisory & Asset Management GmbH & Co. KG, which is supervised by BaFin. It is a case of identity fraud. WPV Advisory & Asset Management GmbH & Co. KG has no connection with the ...
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BankWealth ManagerFintech
Wertede: BaFin warns consumers about the services offered on the websites wertede(.)com and wertede(.)cc
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the websites wertede(.)com and wertede(.)cc. According to information available to BaFin, the operator is providing financial and investment services on this website without the required authorisation.
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BankFintechCrypto Exchange
Claudia Buch: Interview with Naftemporiki
No description available.
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BankAsset ManagerWealth Manager
Superintendent Peter Routledge participates in National Bank Annual Conference 2026 fireside chat
Superintendent Peter Routledge participates in National Bank Annual Conference 2026 fireside chat
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BankInsurance
Publication,FSA Weekly Review No.680 March 23, 2026
No description available.
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BankAsset ManagerInsurance
CFTC Chairman Michael S. Selig: Town Hall Remarks, Washington, D.C.
No description available.
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Broker DealerFintechCrypto Exchange
Mr Davy Reinard sworn in by the Minister of Finance as Director Resolution (only in French)
Press release 26/07
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Bank
Aktualisierte Sanktionsmeldung: Ukraine
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat Änderungen der Verordnung vom 4. März 2022 über Massnahmen im Zusammenhang mit der Situation in der Ukraine (SR 946.231.176.72) publiziert.
AI Analysis
The Swiss Federal Department of Economic Affairs, Education and Research (WBF) amended Annex 8 of the Ordinance on Measures in Connection with the Situation in Ukraine (SR 946.231.176.72) on March 19, 2026, removing 7 natural persons from the sanctions list. This update requires financial intermediaries to immediately review and adjust their sanctions screening processes, as it directly impacts asset freeze obligations and reporting under Swiss sanctions regime.
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BankWealth ManagerPayment Provider
MORRISONBOOST: BaFin warns consumers about services offered in WhatsApp groups
The Federal Financial Supervisory Authority (BaFin) warns consumers about WhatsApp groups directing consumers to the MORRISONBOOST platform. In these WhatsApp groups, consumers are encouraged to use the MORRISONBOOST platform to trade in financial instruments. BaFin suspects the unknown operators of conducting banking business and/or offering consumers financial services without the required authorisation. The operators are not supervised by BaFin.
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FintechCrypto Exchange
a.i.s. AG: BaFin imposes administrative fine
On 3 March 2026, BaFin imposed an administrative fine amounting to €25,000 on a.i.s. AG. The company had contravened obligations under the German Securities Trading Act (Wertpapierhandelsgesetz - WpHG). It had failed to publish its half-yearly financial report for the financial year 2025.
AI Analysis
BaFin imposed a €25,000 administrative fine on a.i.s. AG on 3 March 2026 for failing to publish its half-yearly financial report for FY 2025, violating disclosure obligations under the German Securities Trading Act (WpHG). This enforcement action underscores BaFin's strict enforcement of periodic reporting requirements for issuers on organized markets, serving as a reminder that even partial non-compliance (e.g., missing minimum components) triggers penalties, with potential fines up to €10 million or 5% of revenue. Compliance teams must prioritize robust reporting processes to mitigate similar risks.
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All Firms
Consumer Price Developments in February 2026
This February 2026 report contains an update of the latest consumer price developments in Singapore, prepared by MAS and the Ministry of Trade and Industry.
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BankWealth ManagerAsset Manager
Regulatory Notice 26-09
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
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Broker DealerAsset Manager
Asset Purchase Facility: Gilt Sales – Market Notice 20 March 2026
This Market Notice sets out the schedule for sales in Q2 2026 of gilts held in the Asset Purchase Facility (APF) for monetary policy purposes.
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BankAsset ManagerBroker Dealer
What the (latest) Middle East conflict means for inflation, growth, and monetary policy in Europe
In his latest blog Governor Gabriel Makhlouf explains that the Governing Council held rates steady at 2 per cent due to new geopolitical uncertainty from Middle East tensions, which risk pushing energy prices and headline inflation above the 2 per cent target whilst dampening growth. The Bank will monitor inflation expectations and wage dynamics closely to prevent the energy shock from becoming embedded in persistent above-target inflation, as occurred after the Ukraine crisis.
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BankAsset ManagerWealth Manager
FCA highlights risks when dealing with unregulated lenders
We are reminding regulated firms they need to undertake proper checks when dealing with unregulated lenders, safe custody providers, money brokers and financial leasing companies – also known as 'Annex 1' firms. There are around 1,200 of these firms registered with us for solely anti-money laundering purposes. Our powers are currently limited to looking at how these firms are meeting their anti-money laundering obligations and they are not subject to our wider rulebook. This regime is based o...
AI Analysis
The FCA statement reminds regulated firms to perform robust due diligence on 'Annex 1' firms—unregulated lenders, safe custody providers, money brokers, and financial leasing companies registered solely for AML purposes—due to their limited oversight and heightened financial crime risks. This matters because Annex 1 firms (approx. 1,200) are not subject to FCA's full rulebook, conduct rules, or protections like the Financial Ombudsman Service, exposing regulated firms to contagion risks if they fail to manage interactions properly. Non-compliance could lead to regulatory scrutiny, enforcement, or reputational damage amid FCA's ongoing AML focus.
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BankPayment ProviderAll Firms
Letter from Claudia Buch, Chair of the Supervisory Board, to Mr Nikolas Farantouris, MEP, on banking supervision
No description available.
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Bank
CFTC Staff Issues FAQs Concerning Registrant and Registered Entity Activities Relating to Crypto Assets and Blockchain Technologies
No description available.
AI Analysis
The CFTC issued FAQs on March 20, 2026, providing clarification on how registered entities and market participants should handle crypto assets and blockchain technologies in their operations, building directly on the agency's tokenized collateral guidance and no-action relief issued in late 2025 and early 2026. This guidance is critical because it operationalizes the SEC-CFTC joint interpretation issued just three days earlier (March 17, 2026), which established a binding regulatory framework classifying 16 crypto assets as digital commodities and clarifying the treatment of non-security crypto assets under federal law.
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Crypto ExchangeBroker DealerFintech
Investigation into Market Financial Solutions Limited
We have opened an enforcement investigation into Market Financial Solutions Limited (MFS). MFS is an Annex 1 business, which is solely registered with and supervised by us for its compliance with the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017.Annex 1 registered firms are not authorised or subject to wider FCA regulation.MFS entered administration on 25 February 2026.
AI Analysis
The FCA has opened an enforcement investigation into Market Financial Solutions Limited (MFS) following the firm's entry into administration on 25 February 2026, amid allegations of serious financial irregularities, fraud, and double-pledging of collateral. This investigation is significant because it represents regulatory scrutiny of an Annex 1 business—a firm with limited FCA oversight—whose collapse exposed structural weaknesses in private credit markets and raised questions about due diligence practices across the financial sector.
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BankAll Firms
Tradealles(.)com: BaFin warns consumers about website and identity fraud
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website tradealles(.)com. BaFin has information that this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
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BankFintechCrypto Exchange
Identity fraud: BaFin warns consumers about the website panthera-gmbh(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website panthera-gmbh(.)com. BaFin suspects the unknown operators of the website of offering consumers financial and investment services without the required authorisation.
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BankWealth ManagerFintech
How technology is changing the pensions conversation
Speech by Nikhil Rathi, FCA chief executive, at the JP Morgan Pensions and Savings Symposium 2026. Last year, I spoke about the importance of getting on the right track.That if we want better consumer outcomes – as well as stronger capital markets to support growth – we need to think beyond individual products and look at the whole financial journey.How pensions interact with housing wealth…How savings interact with advice…And how all these decisions evolve across a lifetime.Over the past yea...
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Asset ManagerBankWealth Manager
Hearing fixed for first criminal prosecution in District Court against securities fraud involving illegal short selling under SFO
No description available.
AI Analysis
The SFC has secured transfer of its first District Court criminal prosecution for securities fraud under section 300 of the SFO involving illegal short selling by two defendants across 28 Hong Kong-listed companies. This escalation from Magistrates' Court signals heightened SFC enforcement against market abuse, with potential for harsher penalties and a precedent for future cases[https://apps.sfc.hk/edistributionWeb/gateway/EN/news-and-announcements/news/doc?refNo=26PR45]. Compliance professionals should note it underscores SFC's zero-tolerance for short selling violations amid ongoing market surveillance[https://solutions-atlantic.com/hong-kong-sfc-illegal-short-selling-prosecution/].
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Broker DealerAsset ManagerHedge Fund
FCA orders Beauforce Corporation to stop operating and return client money
We have restricted Beauforce Corporation Limited from carrying out any regulated activities. This means it cannot provide regulated debt advice or debt management services to consumers. We have also ordered the firm to return money held in its bank accounts to its clients.We’ve taken this action following concerns about the suitability of the firm’s senior management and its conduct in dealing with us. Read the full Notice (PDF)
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All Firms
BaFin warns consumers about the website gfi-hold(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website gfi-hold(.)com. BaFin has information that this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
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BankFintechCrypto Exchange
Development of the banks' financial situation over the last years
Situation as at 31 December 2025
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BankWealth ManagerAll Firms
Federal Court declares Macquarie contravened the Corporations Act in relation to Shield Master Fund
Federal Court declares Macquarie contravened the Corporations Act in relation to Shield Master Fund
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Asset ManagerWealth ManagerBank
Warning concerning persons misusing the name of the Chair of the CSSF Board
(first publication: 30 October 2024)
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BankWealth ManagerAll Firms
Development of the bank's balance sheet total
Situation as at 31 December 2025
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BankAsset ManagerWealth Manager
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