All financial regulatory updates published in April 2026.
The Securities and Exchange Commission today announced that Jason Burt, Deputy Director of the Division of Enforcement (Specialized Units), will depart the agency on May 1, 2026, after more than 22 years of public service.“Jason’s exceptional leadership…
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Hashed Global Management Limited Hgml Obtains Financial Services Permission From Adgm
Adgm Fsra Launches Consultation On Enhancements To Its Aml Framework
ESMA launches its sixth stress test exercise for Central Counterparties 30 April 2026 CCP Press Releases The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, today launched its sixth stress test exercise for Central Counterparties (CCPs) . The CCP stress test framework drafted by ESMA for the purpose of this exercise is supported by an adverse market scenario provided by the European Systemic Risk Board (ESRB). Mandated under the European ...
The FCA has charged Shaun Lawrence for operating as a mortgage broker without authorisation. Mr Lawrence, who also goes by the names Shaun Lawrence-Bright and Shaun Bright, was previously authorised to give mortgage advice.However, in 2008 he had his permissions revoked and was fined. He was also banned from working in financial services.The FCA alleges that Mr Lawrence has breached the Financial Services and Markets Act by continuing to provide mortgage broking services when already banned.M...
From 11 May 2026, cryptoasset firms preparing for the new FSMA regime will be able to request a pre-application meeting with us via our Pre-Application Support Service (PASS). Pre-application meetings are free of charge and give firms the opportunity to discuss their plans with us and ask questions before submitting an application for authorisation or variation of existing permissions.This comes ahead of the new regime for cryptoasset regulation, where firms wanting to undertake the new regul...
Speech by Nikhil Rathi, FCA chief executive, at the Association of Foreign Banks (AFB) luncheon. When I saw that a boxing ring had been temporarily installed in this room last autumn, I wasn’t quite sure whether it was a warning to us regulators…Or some kind of art installation commenting on the past few years in financial markets.At some points it has felt bruising, to say the least.Some pressures have been sharp and immediate – geopolitical shocks, sudden market events.Others slower but no ...
Asset managers will find it easier to unlock the benefits of fund tokenisation, following the publication of new guidance by the FCA. The guidance sets out how firms can use distributed ledger technology (DLT) within the regulator’s existing rules.New rules will also make fund dealing more efficient, including an optional Direct to Fund (D2F) model. This enables investors to deal directly with the fund, whether traditional or tokenised.Tokenisation is a way of representing an asset, or owners...
We have written to people who complained about how we handled Wellesley & Co Ltd (WCL). Complainants raised concerns about our actions in relation to the wider Wellesley Group. WCL was the only FCA-regulated company in the Group and was responsible for approving financial promotions marketed to investors.We carefully reviewed all the complaints that were made and upheld one about how part of WCL's authorisation process was handled at the time. However, we found this did not cause investors' l...
The Bank of England’s Monetary Policy Committee is responsible for making decisions about Bank Rate.
Exchange of letters between the Governor and the Chancellor
ASIC disqualifies Gold Coast director David John Parker for maximum 5-year period
ASIC cancels AFS licence of ABL Funds Management Pty Ltd
ASIC discontinues winding up proceedings against Liberty Bell Bay
ESMA launches a call for evidence on the structure of European equity markets 30 April 2026 Trading The European Securities and Markets Authority (ESMA) has published a call for evidence (CfE) presenting a data driven analysis of the evolution of trading in European equity markets between 2022 and 2025, based on MiFIR transaction reporting data. The CfE invites stakeholder feedback on observed trends and their potential regulatory implications. The analysis shows that European equity markets ...
Singapore, 30 April 2026… The Monetary Authority of Singapore (MAS) today issued its response to the public consultation on proposed amendments to the Securities and Futures Act 2001 (SFA) to facilitate dual listing arrangements on the Singapore Exchange (SGX). The proposed regulatory framework supports the implementation of the Global Listing Board (GLB), a partnership by the SGX and Nasdaq, and facilitates future similar collaborations.
Adgm Fsra Finalises Regulatory Framework For The Staking Of Virtual Assets
ESMA consults on guidelines on endorsement under the ESG Ratings Regulation 29 April 2026 Credit Rating Agencies The European Securities and Markets Authority (ESMA) has launched a public consultation on draft guidelines on endorsement under the ESG Ratings Regulation 1 . The consultation paper sets out ESMA’s proposed approach to the endorsement of non-EU ESG ratings under the regulatory framework and seeks feedback from ESG rating providers and other stakeholders on the draft guidelines. Th...
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The FCA is reviewing whether Annual Percentage Rates (APRs) help consumers understand borrowing costs andis seeking views on whetherit should changehow these are communicated in credit advertising. APRsindicatethe yearly cost of borrowing, including interest and fees. A representative APR means at least half of consumers receive that rate or better. Current rules require representative APRs in most credit advertising.Research, published today, shows APRs are useful for comparing products, but...
Unauthorised Banking Business, Investment Firm, Investment Business Firm
Statement of Policy 14/24
On 28 April 2026, LCM Family Limited (LCM) went into administration. Louise Longley and Gary Shankland of BTG Begbies Traynor (Central) LLP were appointed as joint administrators of the firm. The joint administrators are responsible for managing the affairs of the firm during the administration process.LCM (previously known as LCM Wealth Management Limited) is authorised by the FCA and provided financial advice and related investment services. LCM is also regulated by the Solicitors Regulatio...
The PRA has committed to consulting on a new insurance captives regime in Summer 2026.
Safeguarding Financial Integrity – Central Bank of Ireland’s Approach to Financial Crime Prevention Thank you for the invitation to speak at today’s event. This is an important opportunity for us to engage and share our experiences and approaches to deal with the global challenges and issues we are facing in financial crime. Change, instability, flux, unpredictability - all words that I guarantee you will hear on multiple occasions throughout the day’s events. I will not be any different. We ...
Funded reinsurance transactions involving UK life insurers will face enhanced regulatory requirements under new proposals unveiled today by the Prudential Regulation Authority (PRA).
Given at 23rd Westminster and City Annual Bulk Annuities Conference
Technical Note
Statement of Policy 14/24
Consultation paper 8/26
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Grow Investment Group Secures In Principle Approval From Adgms Fsra
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Speech by Sarah Pritchard, FCA deputy chief executive, at the BSA Annual Conference, Edinburgh. As a history lover, it’s thrilling to be in a city like Edinburgh – called a ‘hot-bed of genius’ during the Scottish Enlightenment.What defined the Enlightenment spirit was the refusal to settle, and a determination to make things better for the future.It’s the kind of approach I’m taking to this moment of regulatory reform.Working with others to solve difficult problems, protecting trust and good ...
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Adgm Fsra Issues Alert Concerning Fraudulent Website Exinityxe
Given at the Building Societies Association
Press release 26/09
Help us develop a proportionate reporting regime for ESG ratings. Register your interest by 13 May 2026. We're inviting ESG rating providers to join a pilot to inform future regulatory reporting once the regime is live.Our aim is to avoid unnecessary reporting burden for firms over time.The pilot aims to help us assess whether the proposed metrics for ESG ratings reporting are:clearfeasibleproportionate across different business modelsuseful for supervisory purposesParticipants will have a di...
Fees Collective investments Shares Fees for financial investments continue to decline, particularly those for mutual funds
Statistical Notices update the definitions and guidance contained in the Banking Statistics Yellow Folder
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Given at JPM UK Banks ALM Conference
Good morning. Brendan, thank you for the warm introduction. It is a pleasure to join you at the ILCU Internal Audit Services Conference. I also want to thank Barry Harrington for the invitation to address you here today. 1 When I addressed the ILCU Annual Conference last April, I spoke about a time of transformative change for credit unions, a period that would bring both significant opportunities and important challenges. 2 One year on, we can see that transformation taking shape. A revised ...
Open finance has vast potential. It promises to transform financial services for millions of people through firms using customers’ data in bigger and better ways. But to make that promise a reality, we need to look at how it works in practice. How does sharing data solve real problems for people and businesses?That’s the question we want to answer with our Smart Data Accelerator, which enables firms to showcase open finance solutions in a digital testing environment to help shape policy makin...
ASIC disqualifies NSW director Lambros Hilellis for 5 years
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More than one in three Irish adults (35%) have experienced fraud or scams. 38% of fraud victims never reported their experience to their financial service provider or any authority. Research identified risky online behaviours as the single strongest predictor of fraud experience—more influential than age, income, or education level. Fraud victims are far more likely to recover monies when the fraud is reported. Fraud literacy reduces predicted fraud exposure Central Bank of Ireland of Ireland...
28 Apr 2026 Read more
Peter Routledge participates in a fireside chat at VersaFi & PwC - Canada Strong: The Future-Ready Financial System
Our scheme is the quickest, fairest and most efficient way to compensate consumers. It is disappointing that some have decided to challenge it and delay consumers getting their money back, when for many the payouts would be very welcome this year as they face rising household bills. This also prolongs the uncertainty for all involved, which is not good for investment or a healthy motor finance market.We are considering our approach and will set out more later this week.
Adgm Fsra Implements Enhancements To The Regulatory Framework For Insurance And Introduces Climate Related Financial Risk Management Requirements
The FCA is seeking views on proposals to change rules that govern the publication of research during the initial public offering (IPO) process. The FCA is consulting on removing the requirement for a 7-day delay before connected research on an IPO can be published. It also consults on removing rules that require firms to provide independent analysts with the same information as their own research analysts.These rules were introduced in 2018 to encourage the production of unconnected research,...
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The FCA Board appoints new members to decision-making committee. The Board of the FCA has appointed Jonathan Peddie and Raymond Cox KC as new members of the FCA’s Regulatory Decisions Committee (RDC).The RDC is responsible for taking certain regulatory decisions on behalf of the FCA relating to contested enforcement action. Committee members bring a broad range of professional experience to support fair, independent and evidence-based decision-making.Alison Potter, the chair of the RDC, said:...
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Federal Court orders Money3 to pay $1.55 million penalty for responsible lending breaches
Situation as at 31 March 2026
Version 6.7
Changes to OSFI’s Executive Leadership Team
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Joint Committee annual report highlights digitalisation, cyber resilience and sustainable finance as key priorities of 2025 24 April 2026 Joint Committee The Joint Committee of the European Supervisory Authorities (EBA, EIOPA and ESMA – the ESAs) today published its Annual Report for 2025 , setting out the main priorities and achievements of its cross-sectoral work over the past year. In 2025, the Joint Committee focused on protecting consumers in increasingly digital financial markets, stren...
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amending Regulation (EC) No 765/2006 concerning restrictive measures in view of the situation in Belarus and the involvement of Belarus in the Russian aggression against Ukraine
implementing Article 8a(1) of Regulation (EC) No 765/2006 concerning restrictive measures in view of the situation in Belarus and the involvement of Belarus in the Russian aggression against Ukraine
amending Regulation (EU) No 269/2014 concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine
implementing Regulation (EU) No 269/2014 concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine
amending Regulation (EU) No 833/2014 concerning restrictive measures in view of Russia’s actions destabilising the situation in Ukraine
Irish Term Deposits - Central Bank of Ireland Issues Warning on Unauthorised Firm
The FCA has led international action to stop illegal finfluencers putting consumers' money at risk. Seventeen regulators worldwide took part in the 'week of action' which included enforcement activity, consumer awareness campaigns, and educational programmes for finfluencers who want to act responsibly. Activity started on 20 April 2026.In the UK, the FCA:Secured a guilty plea from Geordie Shore’s Aaron Chalmers for illegal promotions on social media. Criminal proceedings have been commenced ...
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Supervision Marketing Financial products Investment services Savings protection Journalists Investment services providers In an increasingly digital investment landscape, the AMF stresses the importance of the quality of the information...
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ASIC continues finfluencer crackdown alongside global regulators
Pure Foods Tasmania reduces $4.5 million in deferred tax assets following ASIC review
ASIC accepts cancellation of company auditor registration after raising independence concerns
Superintendent Routledge to speak at PwC/VersaFi event in Toronto on April 28, 2026
Deputy Superintendent Angie Radiskovic opening remarks at the Northwind Financial Services Forum
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Federal Court dismisses ASIC’s continuous disclosure case against Nuix
Sapia has agreed to make a voluntary payment of £19,637,950 to WealthTek clients and the FCA has censured the firm. Sapia began working with WealthTek in 2013 and later appointed it as one of its appointed representatives. This resulted in Sapia holding and being responsible for protecting client money resulting from WealthTek’s activities.The FCA found Sapia did not put enough safeguards in place to protect this money.Sapia has admitted that it failed to properly separate key roles within it...
We’ve no vested interest in setting up a motor finance redress scheme. What matters to us is getting fair compensation for consumers as quickly as possible and supporting a healthy motor finance market for the future.That's what our scheme will do, and it's free for consumers to use.Learn more about our motor finance redress scheme.Any law firm or claims management company (CMC) involved in a potential challenge against the scheme that also has clients making motor finance claims should consi...
We have published findings from our Financial Adviser Survey. The findings provide an updated picture of how the UK financial advice market is evolving and what this means for firms, consumers and future growth. The survey brings together responses from more than 4,100 financial advice firms; alongside analysis of data we already hold on around 31,000 advisers.Overall, it shows a market that remains broadly stable and continues to support millions of clients, even as firms adapt to consolidat...
The FCA is looking for expressions of interest from market participants to join our advisory committee. The committee was established in 2022, and we are renewing the membership in line with our terms of reference.The purpose of the committee is to support our work in wholesale secondary markets for equities, derivatives, fixed income and commodity derivatives.The committee’s task is to:help develop reforms that improve market competition, increase consumer protection and enhance the integrit...
Low Impact Amendments Finalisation 2026
Low Impact Amendments Consultation April 2026
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ASIC bans former MWL financial adviser John Morgan for 5 years
This March 2026 report contains an update of the latest consumer price developments in Singapore, prepared by MAS and the Ministry of Trade and Industry.
23 Apr 2026 Read more
Speech by Sheree Howard at the APCC Spring Conference 2026. This weekend, tens of thousands of runners will line up in Greenwich Park for the start of the London Marathon.Well done to them – a Netflix marathon is much more my speed.Unlike what’s needed to prepare for a Netflix marathon – opening a bag of sweet and salty popcorn – Sunday’s runners will have been training for months. Many even years.And nearly all will have had support along the way, whether from a coach, physio or friend at a ...
15 Uae Nationals To Join National Talent Development With World Bank Group Explorers Program
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To be followed by Luxembourg investment fund managers
The Swiss Financial Market Supervisory Authority (FINMA) welcomes the dispatch on the revision of the Banking Act, which the Federal Council adopted today. The bill is one of several key measures aimed at strengthening banking stability. In order to achieve the best possible results, FINMA recommends that the measures proposed in the Federal Council’s parameters for amendments to the Banking Act be implemented in their entirety. In particular, it advocates for the strengthening of statutory i...
Firms willbenefitfromreduced costs andgreater flexibility, andfind it easier tocomply with the Senior Managers and Certification Regime (SM&CR),following reformsset outon 22 April by theFCA and Prudential Regulation Authority (PRA). The changes, which come as the first phase of a multi-stage package of reform from the Government and regulators, will maintain the core principle of senior leader accountability, and will benefit firms by:Giving more time to submit senior manager applications whe...
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The FCA has carried out its first operation with partners to disrupt illegal peer-to-peer crypto trading across multiple London locations. Working with HM Revenue & Customs (HMRC) and the South West Regional Organised Crime Unit (SWROCU), the FCA targeted 8 premises suspected of illegal peer-to-peer crypto trading. The FCA issued cease and desist letters at each site, notifying traders to stop illegal activity immediately. Evidence obtained during the on-site inspections is supporting a numbe...
Warning Savings protection Warning Crypto-assets Crypto-assets: the Autorité des Marchés Financiers warns the public about the activities of several unauthorized entities
The PRA and FCA have set out reforms to the Senior Managers and Certification Regime, designed to reduce costs and offer greater flexibility.
Policy statement 12/26
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Version 3.2
Peter Routledge participates in a fireside chat at the Northwind Financial Forum
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ESMA support ESEF implementation with updated taxonomy 21 April 2026 Electronic reporting The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has published the 2025 European Single Electronic Format (ESEF) XBRL taxonomy files , together with an updated ESEF Conformance Suite . These materials support issuers and software vendors in preparing 2026 IFRS consolidated financial statements using the most up‑to‑date ESEF format. The 2025 taxono...
Speaking at UK FinTech Week, Jessica Rusu, chief data, information and intelligence officer at the FCA, has confirmed the second group of firms selected to join AI Live Testing. Eight new firms, including Barclays, Experian, Lloyds Banking Group (Scottish Widows), and UBS, have been chosen by the FCA to live test AI applications to support safe and responsible deployment.The FCA is working with its technical partner Advai, a London-based specialist in automated AI assurance, to provide AI Liv...
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implementing Regulation (EU) 2024/2642 concerning restrictive measures in view of Russia’s destabilising activities
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Warning Warning Savings protection Forex and binary options The AMF and the ACPR warn the public against several entities offering in France investments in the unregulated foreign exchange market (Forex) and in crypto-assets derivatives without being authorized to do so
Speech by Jessica Rusu, FCA chief data, information and intelligence officer at IFGS. Key pointsAgentic commerce will change how financial decisions and transactions are made, demanding a fundamentally new approach.We are expanding practical support for firms through the next phase of our AI Lab.Open Finance will provide the foundations of a more intelligent financial system.We are supporting solo-regulated firms scale, with our Scale-Up unit open for expressions of interest.
At its annual media conference today, the Swiss Financial Market Supervisory Authority FINMA outlined the key areas of its supervision in 2025. It consistently implemented its proportional and risk-based supervisory approach, strengthened the resilience of the institutions under its supervision, and focused on the early detection of emerging risks among those institutions. In its review, it outlined how it protected Swiss financial market clients during the year.
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21 Apr 2026 Read more
Operational Test Issuance of Cash Management Treasury Bills on 23 April 2026
The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) jointly proposed amendments to reduce private fund reporting burdens while enabling the continued collection of necessary and appropriate information. The…
The SEC and CFTC have jointly proposed amendments to Form PF to reduce reporting burdens for private fund advisers by streamlining data requirements, simplifying calculations, and adjusting filing thresholds, while preserving essential information for systemic risk monitoring and investor protection. This matters for compliance professionals as it offers relief from prior expansions to Form PF (adopted in 2024), potentially lowering operational costs amid ongoing regulatory scrutiny, but requires monitoring during the comment period to influence final rules. https://www.sec.gov/newsroom/press-releases/2026-40-sec-cftc-jointly-propose-amendments-reduce-private-fund-reporting-burdens
AI-generated analysis. May contain errors or omissions — verify with the original SEC source before acting. Full disclaimer.
Cooperation Europe & international Equity Journalists Listed companies and issuers AMF Québec, OSC and AMF France enter into an agreement to support cross-listing of securities in Canada and France
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Help shape financial regulation from the perspective of consumers. We are recruiting 2 new members to the Financial Services Consumer Panel, an independent statutory panel that represents the interests of consumers of financial services to the FCA.Panel members provide constructive challenge and expert advice to help ensure the consumer perspective is fully embedded in the FCA’s policy development and implementation. Members engage regularly with senior FCA colleagues, including the chair, ch...
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On 20 March 2026, the Bank of England hosted an event to gather evidence from a broad range of stakeholders as part of the Financial Policy Committee’s (FPC’s) assessment of bank capital requirements in the UK.
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20 Apr 2026 Read more
The SONIA Stakeholder Advisory Group supports the Bank’s administration of SONIA by providing advice and technical input to the Bank and the SONIA Oversight Committee
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The CSSF publication highlights AMLA's public consultation on draft Regulatory Technical Standards (RTS) under Articles 16(4) and 17(3) of Regulation (EU) 2024/1624, specifying minimum group-wide AML/CFT requirements and additional measures for subsidiaries and branches in third countries. This matters because it aims to harmonize cross-border AML frameworks, ensuring groups maintain consolidated ML/TF risk views and robust controls, particularly in high-risk third-country operations, impacting EU financial groups' compliance structures. Private sector input is encouraged to align standards with practical operations.[https://www.cssf.lu/en/Document/public-consultation-by-amla-on-the-draft-rts-on-group-wide-minimum-requirements-and-additional-measures-for-subsidiaries-and-branches-in-third-countries/][https://www.amla.europa.eu/amla-consults-group-wide-requirements-and-business-wide-risk-assessment_en]
AI-generated analysis. May contain errors or omissions — verify with the original CSSF source before acting. Full disclaimer.
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AMLA has launched a public consultation on draft Guidelines for business-wide risk assessments (BWRA) under the new Anti-Money Laundering Regulation (EU 2024/1624), with submissions open until 15 July 2026. These guidelines establish minimum requirements for all obliged entities across financial and non-financial sectors to systematically identify and manage money laundering and terrorist financing risks inherent to their operations.
AI-generated analysis. May contain errors or omissions — verify with the original CSSF source before acting. Full disclaimer.
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MAR Offence of obstructing an AMF investigation sentenced by the Paris Tribunal Correctionnel
The Paris Tribunal Correctionnel on 9 April 2026 sentenced an individual to a six-month suspended prison term and €20,000 fine for obstructing an AMF house search during a market abuse investigation, plus €5,000 in AMF procedural costs and €1 in damages. This enforcement action underscores the criminal liability for impeding AMF investigations, reinforcing the regulator's authority and serving as a deterrent against non-cooperation. Compliance teams must prioritize training on full cooperation to avoid similar penalties, as maximum sanctions include up to two years' imprisonment and €300,000 fines under the Monetary and Financial Code.
AI-generated analysis. May contain errors or omissions — verify with the original AMF source before acting. Full disclaimer.
On 16 April 2026, HDH Investment Services Limited (HDH), which advised on and arranged deals in investments, entered Creditors’ Voluntary Liquidation (CVL). Dina Devalia and Tom Parish of Quantuma Advisory Limited (Quantuma) have been appointed as joint liquidators.On 20 January 2026, HDH agreed to stop carrying out any regulated activity. This was because we were concerned that HDH may have given unsuitable financial advice to some of its customers, potentially leading to financial loss.HDH ...
Today, the High Court published its written judgment in the matter of the Central Bank’s application under the Fitness & Probity Regime to confirm the one-year prohibition issued to a senior executive on 02 February 2022 concerning his role in a regulated firm in the investment fund and asset management sector. The decision of the High Court was to refuse the application. The Central Bank acknowledges the importance of the Court’s findings and the clarity that the judgment provides in this ca...
The Central Bank of Ireland (CBI) issued a statement on 17 April 2026 acknowledging a High Court judgment refusing to confirm a one-year prohibition on a senior executive in the investment fund and asset management sector due to inadequate fair procedures during the CBI's Fitness & Probity (F&P) investigation. This matters for compliance professionals as it underscores the critical need for robust fair procedures in F&P processes and highlights recent legislative and guidance enhancements under the Individual Accountability Framework (IAF) Act 2023 to address such shortcomings. Firms must prioritize these updates to mitigate enforcement risks.
AI-generated analysis. May contain errors or omissions — verify with the original CBI source before acting. Full disclaimer.
Meeting held 14 October 2025
Meeting held 5 August 2025
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Warning: Unauthorised Investment Firm / Unauthorised Investment Business Firm / Unauthorised Irish Collective Asset-Management Vehicle (ICAV) Unauthorised Firm Name Clarus IV ICAV (CLONE) Website https://www.clarusiv.com/ Email addresses used enquiries@clarusiv.com accounts@clarusiv.com michael.granger@clarusiv.com Phone number used +353 1525 9660 Authorisation in Ireland Clarus IV ICAV (Clone) is not authorised to provide investment services in Ireland. Additional Information This firm clone...
The Central Bank of Ireland (CBI) has issued a warning notice under section 53 of the Central Bank (Supervision and Enforcement) Act 2013 regarding **Clarus IV ICAV (CLONE)**, an unauthorised entity cloning a legitimate authorised ICAV to perpetrate investment scams. This matters for compliance professionals as it underscores rising clone firm risks in Ireland's investment sector, requiring vigilance to protect clients and avoid facilitation of scams.
AI-generated analysis. May contain errors or omissions — verify with the original CBI source before acting. Full disclaimer.
Warning: Unauthorised Investment Firm / Investment Business Firm Unauthorised Firm Name Pimco Global Wealth / Pimco (Ireland) (Clone) Websites www.pimcoglobalwealth.com www.pimcoprivatewealth.com www.pimcoprivateclients.com www.pimcoglobaladvisors.com Email address used admin@pimcoglobalwealth.com Phone numbers used +353 1 912 8604 +353 1 531 4593 Authorisation in Ireland This firm is not authorised to provide investment services in Ireland. Additional information Pimco Global Wealth / Pimco ...
The Central Bank of Ireland (CBI) issued a warning notice on 17 April 2026 under section 53 of the Central Bank (Supervision and Enforcement) Act 2013, identifying "Pimco Global Wealth / Pimco (Ireland) (Clone)" as an unauthorised investment firm impersonating the legitimate authorised entity Pimco Global Advisors (Ireland) Limited by cloning its name, CRO number, and address. This matters for compliance professionals as it underscores rising cloning scams targeting Irish consumers, requiring firms to enhance client vigilance, scam monitoring, and public communications to mitigate reputational and conduct risks.
AI-generated analysis. May contain errors or omissions — verify with the original CBI source before acting. Full disclaimer.
Given at the HLS-PIFS Symposium on “Building the Financial System of the 21st Century: An Agenda for Europe and the United States”
Consultation paper 7/26
The PRA's CP7/26 consultation proposes fee rates and amendments to the Fees Part of the PRA Rulebook for 2026/27 to meet a Total Funding Requirement (TFR) of £346.6 million, down 1% from 2025/26, primarily funding Ongoing Regulatory Activities (ORA) at £329.3 million. This matters for PRA-authorised firms as it involves adjusted periodic fees across blocks, increased allocations for initiatives like Future Banking Data, and other targeted fees, requiring budget planning and potential consultation responses.
AI-generated analysis. May contain errors or omissions — verify with the original PRA source before acting. Full disclaimer.
The 2026/27 Business Plan sets out the workplan for each of our strategic priorities and our strategy to advance our primary and secondary objectives. This year’s business plan confirms the PRA’s continued focus on safety and soundness and policyholder protection, alongside a proportionate and efficient approach to regulation.
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Former Beacon Minerals project manager Alexander McCulloch pleads guilty to insider trading
Cigno Australia and director Mark Swanepoel, BSF Solutions and director Brenton Harrison, to pay $7 million in penalties for Credit Act breaches
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 Taliban in Verbindung stehen (SR 946.231.07), publiziert.
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The Securities and Exchange Commission today announced the launch of Material Matters With SEC Chairman Paul Atkins, a new podcast that provides stakeholders and the investing public with exclusive interviews and insights around the agency’s policy and…
SAMA Licenses “Modern Integrated Solutions Financing” Company to Engage in BNPL Activity”
Barings Opens Office In Abu Dhabi
ESMA launches a call for evidence on restricted subscription and private credit ratings 16 April 2026 Credit Rating Agencies The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, today launched a call for evidence to gather stakeholder views on the purposes, market practices, needs and risks associated with restricted subscription and private credit ratings. ESMA is encouraging all interested stakeholders to share views, data and analysis i...
ESMA has launched a call for evidence on restricted subscription and private credit ratings to gather stakeholder input on their market practices, uses, risks, and potential regulatory gaps under the CRA Regulation. This matters because rising use of these non-public ratings could prompt future clarifications or adjustments to ensure consistent standards with public ratings, impacting credit rating agencies (CRAs) and users reliant on them for regulatory or investment purposes.
AI-generated analysis. May contain errors or omissions — verify with the original ESMA source before acting. Full disclaimer.
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday, April 28, 2026 at 10:00 a.m. to explore ways to encourage more companies to go public.The meeting will be open…
Savings protection Warning Retail investors Journalists The AMF confirms the resumption of trading in Rapid Nutrition shares
The Securities and Exchange Commission today issued a concept release soliciting public comment in support of a comprehensive review of the Consolidated Audit Trail (CAT) and other audit trails and related data sources currently used in the regulation of…
Under the Consumer Duty, firms must report annually on what their monitoring found about customer outcomes, and what actions they’ll take as a result.Good Consumer Duty Board reports provide clear evidence about outcomes – helping to turn governance into real change. Boards can ask better questions, hold people to account, and act quickly to make sure they aren’t causing harm or offering poor value. We’ve seen this lead firms to design better products, communicate more clearly and support the...
The FCA has finalised a simpler UK short selling regime that reduces reporting burdens for firms, while maintaining regulatory oversight. Short selling plays an important role in financial markets by supporting price formation, providing liquidity, and facilitating risk management.The new rules follow legislative changes under the Government’s repeal and replace programme, which imply that the FCA will publish aggregated data showing the overall size of net short positions in each company rat...
The Artificial Intelligence Consortium (AIC) aims to provide a platform for public-private engagement to further dialogue on the capabilities, development, deployment, use, and potential risks of artificial intelligence (AI) in UK financial services.
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 Taliban in Verbindung stehen (SR 946.231.07), publiziert.
Version 3.1
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The Securities and Exchange Commission today issued a conditional exemptive order that permits customer cross-margining of cash market positions in U.S. Treasury securities cleared by a registered clearing agency and futures positions in U.S. Treasury…
The SEC has issued a conditional exemptive order and approved a proposed rule change by the Fixed Income Clearing Corporation (FICC) to enable customer cross-margining between cash U.S. Treasury positions cleared at FICC and futures positions cleared at the Chicago Mercantile Exchange (CME), extending a benefit previously limited to clearing members. This development enhances Treasury market liquidity and resilience by allowing dually registered broker-dealers/futures commission merchants (FCMs) to offer more efficient margin calculations to customers, aligning SEC and CFTC efforts in modernizing clearing infrastructure.
AI-generated analysis. May contain errors or omissions — verify with the original SEC source before acting. Full disclaimer.
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MAR Journalists Listed companies and issuers The AMF welcomes the first criminal rulings in an insider network case
Crypto will be regulated in the UK from October 2027. The FCA is finalising the wider cryptoasset regime, with rules to be published this summer. Parliament has now confirmed which cryptoasset activities will fall within the scope of regulation. Building on that, the FCA is consulting on new guidance to help firms understand how they might be affected by the regulatory regime for cryptoassets.The FCA is seeking feedback on its interpretation of the following regulated cryptoasset activities:i...
ESMA Guidelines on Liquidity Management Tools (LMTs) of UCITS and open-ended AIFs (ESMA34-671404336-1364)
Circular CSSF 26/910 announces the CSSF's application of ESMA Guidelines on Liquidity Management Tools (LMTs) for UCITS and open-ended AIFs, establishing standards for selecting, calibrating, and using LMTs to manage liquidity risks and mitigate financial stability threats. This matters for Luxembourg investment fund managers (IFMs) as it enforces uniform EU-wide supervisory practices under UCITS Directive Article 18a(2) and AIFMD Articles 16(2b)/(2c), holding IFMs primarily accountable for liquidity risk oversight.
AI-generated analysis. May contain errors or omissions — verify with the original CSSF source before acting. Full disclaimer.
The FCA has set out plans to take action against Hartley Pensions Limited and an individual involved at the firm. Hartley was a Self-Invested Personal Pension operator, which went into administration in July 2022. The FCA alleges that Hartley provided it with false and misleading information and improperly withdrew and invested substantial amounts of customers’ pension funds, without their consent, to benefit an individual at the firm.The FCA alleges that the individual dishonestly used the p...
Bain Capital Opens Office In Abu Dhabi
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Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung der Anhänge 12 und 14 der Verordnung vom 12. Dezember 2025 über Massnahmen gegenüber der Islamischen Republik Iran (SR 946.231.143.6) publiziert.
This FINMA publication announces updates to Annexes 12 and 14 of the Swiss Ordinance on Measures against the Islamic Republic of Iran (SR 946.231.143.6), effective April 14, 2026, reflecting changes to the SECO Sanctions Management (SESAM) database by the State Secretariat for Economic Affairs (SECO). It matters because Swiss financial intermediaries must immediately freeze assets of newly or amended sanctioned entities and report to SECO, while continuing AML due diligence under the Anti-Money Laundering Act (GwG), to avoid supervisory enforcement.[User Query]
AI-generated analysis. May contain errors or omissions — verify with the original FINMA source before acting. Full disclaimer.
Given at Columbia University, New York
Regulatory Alert Maskex
Adverts which used edited, unauthorised clips of Martin Lewis to make misleading claims about average motor finance compensation and used the FCA logo without permission, have been banned by the FCA. Conclusive Financial Ltd (Conclusive), a claims management company (CMC), which also trades as PCP Refunds, was required to remove its advertising and update or take down its website until it complied with the FCA's rules. Conclusive has since removed the banned adverts.The FCA was also concerned...
Warning: Unauthorised Retail Credit Firm Unauthorised Firm Name Finance Advice Help Website Financeadvicehelp.com Email address used contact@financeadvicehelp.com Authorisation in Ireland Finance Advice Help is not authorised to provide retail credit services in Ireland. Notes: Any person wishing to contact the Central Bank with information regarding such firms / persons may telephone (01) 224 5800 or report an unauthorised firm directly to the Central Bank . For more information on how to pr...
The Central Bank of Ireland (CBI) has issued a warning notice under section 53 of the Central Bank (Supervision and Enforcement) Act 2013, identifying "Finance Advice Help" (website: financeadvicehelp.com; email: contact@financeadvicehelp.com) as an unauthorised firm providing retail credit services in Ireland. This matters for compliance professionals as it underscores CBI's proactive enforcement against unauthorised entities, heightening risks of consumer scams and potential liability for authorised firms if clients inadvertently engage with clones or similar frauds.[Source URL: https://www.centralbank.ie/news/article/finance-advice-help--central-bank-of-ireland-issues-warning-on-unauthorised-firm]
AI-generated analysis. May contain errors or omissions — verify with the original CBI source before acting. Full disclaimer.
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Fisher Investments Ireland Limited (CLONE) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Damac Trade (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
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Consumers and businesses could be given greater control over their financial data to help secure better deals, under a vision for open finance published by the FCA. Open finance will unlock the potential for people and businesses to share their financial data securely with a range of financial services providers, helping them access mortgages, investments, savings and pensions. This will give financial services firms a more complete picture of consumers’ and businesses’ finances, enabling mor...
ASIC disqualifies Gold Coast director for maximum 5-year period
Read the Monetary Policy Statement for April 2026.
OSFI reintroduces non-bank financial institution risk in its latest Annual Risk Outlook
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The CFTC secured a U.S. District Court consent order on April 13, 2026, against Florida resident Emir Jesus Matos Camargo and his firm Aureus Revenue Group LLC for commodity pool fraud, including misrepresentations like a fake CFTC license and fund misappropriation, resulting in over $1.3 million in restitution and penalties plus permanent bans. This enforcement action underscores the CFTC's aggressive pursuit of fraud in commodity pools, particularly involving forged regulatory credentials, serving as a stark reminder for firms to verify all licensing claims and protect client funds. Compliance teams must prioritize misrepresentation controls to avoid similar liability, including controlling person exposure.
AI-generated analysis. May contain errors or omissions — verify with the original CFTC source before acting. Full disclaimer.
ESMA releases reporting templates and instructions for the Active Account Requirement 13 April 2026 CCP Market data The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has published the reporting templates and instructions for the Active Account Requirement (AAR) reporting under European Market Infrastructure Regulation (EMIR 3). The new templates set out in detail how entities subject to the AAR should report the required information to ...
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The Bank of England chairs the London Foreign Exchange Joint Standing Committee (FXJSC), which is a forum for discussion of the wholesale foreign exchange market. The FXJSC is made up of market participants, infrastructure providers and the UK financial regulators.
The Bank of England chairs the London Foreign Exchange Joint Standing Committee (FXJSC) Operations and Legal Sub-Committees. The FXJSC is made up of market participants, infrastructure providers and the UK financial regulators.
Given at the PSE–BdF Conference on International Macroeconomics in Historical Perspective at the Banque de France in Paris
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The Bank of England has today published new and updated guidance on how the Bank might implement the UK’s resolution regime in the event of a bank failure.
The Bank of England (BoE) has published updated operational guides on implementing the UK's resolution regime for failing banks, including new details on transfer resolutions and an alternate bail-in approach using non-transferable contingent beneficial interests, informed by recent failures like Silicon Valley Bank and Credit Suisse. This matters for compliance professionals as it enhances transparency on BoE execution strategies, strengthens cross-border resolvability (e.g., via a US SEC No-Action Letter), and requires firms to align recovery/resolution plans with these operational clarifications to ensure feasibility and credibility under the Resolvability Assessment Framework (RAF).[BoE News Release](https://www.bankofengland.co.uk/news/2026/april/boe-enhances-resolution-readiness-with-updated-operational-guides)
AI-generated analysis. May contain errors or omissions — verify with the original BoE source before acting. Full disclaimer.
SAMA: E-Payments Account for 85% of Total Retail Payments in 2025
From anxiety to action: Helping Australians to plan for their financial future
Viva Energy reassesses accounting approach after ASIC review, resulting in $25 million impairment
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The CFTC obtained a temporary restraining order (TRO) from the U.S. District Court for the District of Arizona on April 10, 2026, halting Arizona's criminal enforcement actions against CFTC-regulated designated contract markets (DCMs) offering prediction markets, following CFTC's lawsuit asserting exclusive federal jurisdiction under the Commodity Exchange Act. This development reinforces federal preemption over event contracts, preventing states from applying conflicting gambling or criminal laws, and matters because it shields compliant firms from state-level prosecution while broader litigation against Arizona, Connecticut, and Illinois proceeds. https://www.cftc.gov/PressRoom/PressReleases/9211-26
AI-generated analysis. May contain errors or omissions — verify with the original CFTC source before acting. Full disclaimer.
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The Financial Services Agency (FSA) and Tokyo Stock Exchange have launched a public consultation on draft revisions to Japan's Corporate Governance Code, with comments due by May 15, 2026. This represents the first major update since 2021 and aims to redirect corporate resource allocation toward growth investments, research and development, and human capital rather than short-term shareholder returns. The revised code will become effective this summer and requires listed companies to submit governance reports by July 2027.
AI-generated analysis. May contain errors or omissions — verify with the original JFSA source before acting. Full disclaimer.
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ESMA publishes latest edition of its newsletter 10 April 2026 ESMA newsletter The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has published today its latest edition of the Spotlight on Markets newsletter. This edition opens with ESMA’s actions to simplify the retail investor journey and make investing more accessible, setting out steps to support retail participation in capital markets. Top news highlights include the publication of t...
ESMA's latest *Spotlight on Markets* newsletter (edition 42, published 10 April 2026) summarizes recent supervisory, enforcement, and policy actions, emphasizing simplification of retail investor access, high market risks per the first 2026 TRV report, and key publications on transparency, suitability, MiFID II/MiFIR data, and Listing Act compliance.[User Query] This matters for compliance teams as it signals ESMA's priorities in reducing regulatory burdens while enhancing investor protection and market transparency amid a high-risk environment.
AI-generated analysis. May contain errors or omissions — verify with the original ESMA source before acting. Full disclaimer.
Shamrock Lend (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
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How we're investing in data and analytics in consumer financeOur goal is regulation that is evidence-based, targeted, and achieves good outcomes for consumers. That’s why we’ve been using richer datasets and sharper data science to drive better outcomes in the consumer finance market, widen financial inclusion, and support economic growth.This blog post explains one way we've been doing that, in a proof-of-concept undertaken by the team of Isabela Barra, Daniel Bogiatzis-Gibbons, Lawrence Cha...
Red Arc Global Investments (Ireland) ICAV (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
regarding the “LMT activation” module in relation to additional liquidity management requirements for Luxembourg-domiciled UCITS, or where applicable their management company, and Luxembourg-authorised AIFMs that manage open-ended AIFs, introduced by the Law of 3 March 2026, transposing Directive (EU) 2024/927 of the European Parliament and of the Council of 13 March 2024
SAMA Holds First Digital Transformation Committee Meeting with Financial Institutions in Banking Sector
Former Big Un CEO pleads guilty in insider trading case
ASIC permanently bans Yanhua Chen from the financial services industry
ASIC suspends AFS licence of Oscar Oliver Capital Ltd
Shane Monte Silva banned for five years over flawed Shield and First Guardian advice
ASIC bans former financial adviser Rhys Reilly for 10 years and suspends Conexus Group’s AFS licence
Situation as at 31 March 2026
Situation as at 28 February 2026
The 13th AFMGM was convened under the co-chairmanship of H.E. Frederick D. Go, Secretary of the Department of Finance of the Philippines, and H.E. Eli M. Remolona, Jr., Governor of the Bangko Sentral ng Pilipinas.
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The CFTC has filed a motion for preliminary injunction and temporary restraining order against Arizona, alongside coordinated lawsuits against Connecticut and Illinois, to halt state-level enforcement actions against CFTC-regulated prediction market operators. This escalating federal-state jurisdictional conflict centers on whether the Commodity Exchange Act grants the CFTC exclusive authority over prediction markets, preempting state gambling and criminal laws—a question that legal experts believe could ultimately reach the U.S. Supreme Court.
AI-generated analysis. May contain errors or omissions — verify with the original CFTC source before acting. Full disclaimer.
A financial stability assessment of Irish hedge funds concludes that the diversity of the sector, and its modest market footprint, limit systemic vulnerabilities. A separate assessment focused on open-ended funds shows that the availability of tools to manage liquidity is now widespread, but with further scope to increase use. Strengthening the financial stability lens in the regulation of the non-bank sector has been – and continues to be – a priority for the Central Bank. Speaking at an Iri...
Good morning. I am delighted to join you here this morning – and thank you to Irish Funds for organising this event. 1 As you know, a key part of our job at the Central Bank of Ireland is to focus on ‘tail risks’. Not just what we expect will happen, but what could happen. And the range of possible outcomes that could happen has recently widened considerably. What might have been considered close to unthinkable a few years ago, is no longer so. Unpredictable geopolitical developments – includ...
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The SFC reprimanded and fined Impression Investment Limited (a Type 9 licensed asset manager) HK$2 million for inadequate supervision and internal controls over staff personal trading from 2016-2021, while banning former RO Mr. Liu Shan from the industry for 8 months starting 2 April 2026. This enforcement underscores the SFC's strict enforcement of staff dealing policies and conflict management under the Fund Manager Code of Conduct, highlighting risks to investor confidence from front-running-like activities. Compliance professionals must prioritize robust monitoring to avoid similar sanctions, as policies alone are insufficient without implementation.
AI-generated analysis. May contain errors or omissions — verify with the original SFC source before acting. Full disclaimer.
General Announcements
Procurement Tender
ASIC permanently bans former financial adviser and credit representative Aristotle Papapavlou
Electro Optic Systems Holdings ordered to pay $4 million penalty for continuous disclosure breaches
A survey of banks conducted by the Swiss Financial Market Supervisory Authority FINMA shows that there is a need for action in addressing digital fraud risks, particularly in the areas of operational risk management and preventing money laundering. FINMA published its findings today in a new guidance.
9 April 2026… On 18 March 2026, the Court of Appeal (CA) upheld the sentences of 36 and 20 years’ imprisonment meted out to Mr Soh Chee Wen (also known as John Soh) and Ms Quah Su-Ling respectively for orchestrating an elaborate scheme to manipulate the shares of Blumont Group Ltd, Asiasons Capital Ltd and LionGold Corp Ltd, the largest market manipulation case in Singapore’s history. In October 2025, the CA had dismissed of their appeals against their convictions.
DFSA announces temporary regulatory relief measures to support the DIFC…
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The Securities and Exchange Commission today announced that David Woodcock has been appointed Director of the Division of Enforcement, effective May 4, 2026. Mr. Woodcock is currently a partner in the Dallas and Washington, D.C. offices of Gibson, Dunn…
The SEC has appointed David Woodcock, a Gibson Dunn partner and former SEC Regional Director, as the new Director of its Division of Enforcement, effective May 4, 2026, following the abrupt resignation of prior Director Margaret Ryan after six months. This leadership change signals a "significant course correction" under Chairman Paul Atkins, emphasizing investor protection and market integrity over prior aggressive enforcement approaches. Compliance professionals should monitor this closely, as it may shift enforcement priorities, potentially de-emphasizing certain areas like crypto crackdowns while intensifying focus on accounting fraud and financial reporting violations.
AI-generated analysis. May contain errors or omissions — verify with the original SEC source before acting. Full disclaimer.
On 21 November 2025, we imposed restrictions on Bazar Money Transfer Limited (BMTL), preventing it from providing regulated payment services. BMTL is registered with the FCA to provide money remittance services to retail and corporate customers.As BMTL was no longer meeting the conditions for registration as a small payment institution, we acted to impose restrictions to protect consumers, preventing BMTL from carrying out any regulated payment services.Following representations made by BMTL,...
Central Bank of Ireland today published the annual Financial Conditions of Credit Unions Report, which provides an update on the financial performance and position of the sector for the financial year ended 30 September 2025.
Parus ICAV (CLONE) - Central Bank of Ireland Issues Warning on Unauthorised Firm
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The Central Bank of Ireland today announced details of a targeted amendment to the mortgage measures that will exempt certain principal home bridging loans from the Loan-to-Income (LTI) limit . The Loan-to-Value (LTV) limit will continue to apply to these products, and all other elements of the mortgage measures remain unchanged. The amendment recognises that bridging finance products are a feature of the evolving Irish mortgage market and ensures that the regulatory framework adapts appropri...
The Central Bank of Ireland (CBI) has announced a targeted amendment exempting certain principal home bridging loans from the Loan-to-Income (LTI) limit while retaining the Loan-to-Value (LTV) limit and all other mortgage measures unchanged, recognizing bridging finance as a growing market feature repaid via property sale proceeds rather than income. This matters for compliance professionals as it enables lenders to offer these short-term products (max 18 months) without LTI constraints, but requires reinforced underwriting, consumer protection, and ongoing CBI monitoring to maintain lending standards.
AI-generated analysis. May contain errors or omissions — verify with the original CBI source before acting. Full disclaimer.
ASIC ramps-up action to protect consumers from AI-powered online investment scams
ASIC seeks appointment of receiver to investigate proposed Interprac sale
ASIC bans former ISG Financial Services Limited director Benjamin Godfrey for 10 years
ASIC cancels AFS licence of The Silverfern Group Pty Ltd
Written reply to Parliamentary Question on Variable Capital Companies (VCCs)
Written reply to Parliamentary Question on Household Liabilities and Household Assets
Written reply to Parliamentary Question on impact of rising interest rates and mortgage repayments for homebuyers
Oral reply to Parliamentary Questions on safeguards for GIRO transactions
Written reply to Parliamentary Question on findings about DBS and POSB digital banking services disruption
The Securities and Exchange Commission today announced enforcement results for the fiscal year that ended on September 30, 2025.Central to an effective enforcement program is determining which cases to bring and responsibly stewarding Commission…
The SEC's announcement details enforcement results for Fiscal Year 2025 (ended September 30, 2025), highlighting a significant slowdown in actions to 313 cases—the lowest in a decade—and $808 million in settlements, down 45% from FY 2024, amid leadership changes and a shift to "back-to-basics" priorities like retail investor protection. This matters for compliance professionals as it signals reduced enforcement volume under new Chair Paul Atkins, potential policy resets (e.g., crypto case dismissals), and a focus on core misconduct like fiduciary breaches and insider trading, influencing risk prioritization and resource allocation.
AI-generated analysis. May contain errors or omissions — verify with the original SEC source before acting. Full disclaimer.
Sanctions & settlements professional obligations Other professionals Journalists The AMF Enforcement Committee fines a financial investment advisor and its directors for breaches of their professional obligations
The AMF Enforcement Committee sanctioned financial investment advisor Kerdiz Finance et Conseil with a €300,000 fine and its directors Anthony Finck and Marc Peuvrier with €75,000 fines each, plus a 5-year ban on advisory activities, for multiple breaches of professional obligations from 2020-2023. This case underscores AMF's strict enforcement against unauthorized product marketing, conflict of interest mismanagement, product governance failures, and AML shortcomings, serving as a warning for advisors to prioritize client best interests and regulatory compliance. It matters because it highlights personal liability for directors and escalating penalties for systemic procedural lapses.
AI-generated analysis. May contain errors or omissions — verify with the original AMF source before acting. Full disclaimer.
The German Financial Supervisory Authority (BaFin) is warning against WhatsApp groups allegedly run by FPM Frankfurt Performance Management AG and led by a person calling themselves Professor Raik Hoffmann. Consumers are being tricked into investing substantial sums of money and downloading the FPM MIN app. There is no connection whatsoever between any WhatsApp groups and FPM Frankfurt Performance AG or ist actual board member, Raik Hoffmann. This constitutes identity theft.
BaFin warns against offers on the website bahnemanninvest(.)net. There is suspicion that the unknown operators are offering financial services, without the necessary permission. Contrary to the information provided on the website, there is no connection with Dieter Bahnemann Fondsinvest GmbH. This constitutes identity fraud.
The Federal Financial Supervisory Authority (BaFin) warns against fixed-term deposit offers sent from the email address martin.segler(at)spar-direkt(.)com. According to information available to BaFin, the unknown providers are conducting banking transactions and financial services without the required authorisation. Contrary to the claims made by the unknown operators, Xaver Asset Management GmbH has no connection whatsoever with the offers. This is a case of identity theft.
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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.
This FINMA publication announces updates to the Swiss Ordinance on Measures in Connection with the Situation in Ukraine (SR 946.231.176.72), specifically the removal of 7 natural persons from Annex 8 on March 19, 2026, effective March 20, 2026, 23:00 UTC. It matters for Swiss financial firms as it requires immediate review of sanctions screening processes to lift any prior asset freezes on these delisted individuals while maintaining vigilance against ongoing Ukraine/Russia sanctions risks, ensuring compliance with SECO and FINMA expectations.
AI-generated analysis. May contain errors or omissions — verify with the original FINMA source before acting. Full disclaimer.
The Federal Financial Supervisory Authority (BaFin) again warns consumers about “Investing In” and the services it is offering. The unknown operators are now using the additional website investing-in(.)pro. BaFin suspects the operators of this website of offering consumers financial and investment services without the required authorisation.
ASIC bans former MWL financial services adviser David Lofthouse for 3 years
Situation from March 2025 to March 2026
Situation from March 2025 to March 2026
Situation from March 2025 to March 2026
The explanatory brief for the Securities and Futures (Amendment) Bill 2026 provides the background and key amendments of the Bill.
Written reply to Parliamentary Question on exposure of Singapore-domiciled financial institutions to US private credit
Public statement by the SIC on PSC Corporation Ltd.
Written reply to Parliamentary Question on pre-emptive adjustments to monetary policy to curb energy cost-driven inflation
Written reply to Parliamentary Question on timeline for making cash acceptance mandatory
Regulatory Alert Meer Group
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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relating to the issue of covered bonds
on the operationalisation of European regulations in the area of financial services
on markets in financial instruments
on key information documents for packaged retail and insurance-based investment products
on market abuse
concerning the audit profession
on the failure of credit institutions and certain investment firms
relating to undertakings for collective investment
transposing Directive 2004/25/EC of the European Parliament and of the Council of 21 April 2004 on takeover bids
on institutions for occupational retirement provision in the form of SEPCAVs and ASSEPs
on the financial sector
The Securities and Exchange Commission today announced the agenda and panelists for its April 16, 2026, roundtable on options market structure.The roundtable will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., from 9:00 a.m.…
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Hillhouse Investment Opens New Office In Abu Dhabi
The FCA and Bank of England (Bank) invite expressions of interest from market participants to join a new taskforce. The purpose of this taskforce is to inform the design of our long-term approach to harmonising transaction and post-trade reporting requirements.The taskforce will be comprised of three separate working groups: a main Policy group, supported by a Strategy group and an Architecture group. The working groups will have the following individual objectives: Policy group:Identifying a...
Meeting of the CBDC Academic Advisory Group
The Money Markets Committee is a forum for market participants and authorities to discuss the UK unsecured deposits and funding market and securities lending and repo markets.
Goldenstocks T/A Citymend Management Limited - Central Bank of Ireland Issues Warning on Unauthorised Firm
In his latest blog, Governor Gabriel Makhlouf argues that central banks must modernise their digital infrastructure and regulatory frameworks to ensure that central bank money remains the stable foundation of Europe's financial system whilst enabling private sector innovation in a digitally transformed ecosystem.
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website brokereins(.)com. BaFin has information that the operators are offering banking business and/or financial services on this website without the required authorisation. The operators are not supervised by BaFin.
We are changing the publication dates of the Decision Maker Panel and Agents’ summary of business conditions so that they no longer fall on the same day as publication of the Monetary Policy Report
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website crss(.)finance. According to information available to BaFin, the operators are offering financial and cryptoasset services on the website without the required authorisation. The unknown operators of the website claim to be a British company called “Ceres Finance Limited”. It is not supervised by BaFin. This is a case of identity fraud. BaFin has no information regarding the British co...
ASIC publishes ASX Inquiry Panel Final Report and acknowledges observations
ASIC cancels AFS licence of Beacon Wealth Pty Ltd
ASIC disqualifies Ashod Balanian from managing corporations for maximum five-year period
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website uk-trd(.)investments. According to information available to BaFin, the operators are offering financial and cryptoasset services on the website without the required authorisation. The unknown operators are not supervised by BaFin. They claim to be a company called “UK Trade & Invest”. In communications with customers, the website operators claim to be authorised by the European Financ...
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Spectrum Equity Pulse GmbH and the services it is offering. BaFin suspects the unknown operators of the website spectrumequitypulse(.)com of offering consumers financial, investment and cryptoasset services without the required authorisation. The operators claim to be supervised by BaFin and the Deutsche Bundesbank. This is not the case. The certificate provided in this context (“Business License”) is fake.
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website green-lmtd(.)com. BaFin suspects the unknown operators of offering consumers financial, investment and cryptoasset services in Germany without the required authorisation. The operators falsely claim to be supervised by the “European Financial Supervisory Authority” (FINA EU). There is no such authority; BaFin has already issued a warning to this effect.
DFSA and Ministry of Economy and Tourism sign MoU to enhance financial services…
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ESMA clarifies expectations in the run-up to the launch of EU’s Consolidated Tapes 01 April 2026 Market data Trading The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has published Questions and Answers (Q&As) on the onboarding of data contributors to the EU’s Consolidated Tapes (CTs), and on the operational rules for the Consolidated Tape Providers (CTPs). The goal is to increase certainty for all market participants in anticipation of...
ESMA has issued Q&As clarifying expectations for data contributors onboarding to the EU's Consolidated Tapes (CTs) for equities, bonds, and derivatives, emphasizing pre-go-live cooperation with selected Consolidated Tape Providers (CTPs). This matters because it mandates trading venues and Authorised Publication Arrangements (APAs) to establish data transmission setups ahead of the **01 April 2026** launch, ensuring market transparency under MiFIR while minimizing disruptions. Compliance professionals must prioritize this to avoid supervisory scrutiny from ESMA and National Competent Authorities (NCAs).
AI-generated analysis. May contain errors or omissions — verify with the original ESMA source before acting. Full disclaimer.
BaFin warns against offers on the website calculusinv(.)com and on social media channels such as the “Calculus Investment Academy VIP Y” group. According to information available to BaFin, Calculus Investments Ltd, which claims to be domiciled in New York and Frankfurt/Main, is providing financial, investment and cryptoasset services without the required authorisation.
Press release 26/08
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Application of the Guidelines of the European Securities and Markets Authority for the criteria on the assessment of knowledge and competence under the Markets in Crypto Assets Regulation (MiCA) (ESMA35-24871704-2922)
Circular CSSF 26/909 specifies how the CSSF applies ESMA's Guidelines (ESMA35-24871704-2922) for assessing **knowledge and competence** criteria under MiCA, targeting staff involved in crypto-asset services. It matters because it enforces MiCA's staff certification requirements, ensuring Luxembourg CASPs meet EU-wide standards for consumer protection and operational integrity amid the full MiCA rollout on 30 December 2024.
AI-generated analysis. May contain errors or omissions — verify with the original CSSF source before acting. Full disclaimer.
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.
Administrative sanction imposed on BigRep SE
The CSSF imposed a €20,000 administrative fine on BigRep SE on 1 April 2026 for failing to comply with a CSSF order to publish, disseminate, store on the Officially Appointed Mechanism (OAM), and file its half-yearly financial report as of 30 June 2025, under the Luxembourg Transparency Law of 11 January 2008. This sanction underscores CSSF's strict enforcement of periodic disclosure obligations for issuers with Luxembourg as their home Member State, signaling heightened supervisory scrutiny on timely reporting.
AI-generated analysis. May contain errors or omissions — verify with the original CSSF source before acting. Full disclaimer.
Good morning. Ongoing events in the Middle East are a stark reminder of the challenges policy makers face in a world increasingly characterised by geoeconomic fragmentation. For central banks tasked with preserving price stability, supply shocks pose both analytical and strategic challenges: understanding their persistence, their impacts on supply chains, and their effects on inflation and growth; and determining how to respond when supply and demand move in opposite directions. My speech tod...
The Prohibition Notice (PDF) issued after Mr Buckley signed a Statement of Undisputed Facts, in which he accepted that between 1 February 2021 and 12 December 2023, while he was employed at two different retail intermediaries, he issued invoices to clients directing payment to his personal bank account in place of his employers’ bank details. Mr Buckley also accepted that he misrepresented his financial qualifications to clients during the course of his employment. The Prohibition Notice issu...
The Central Bank of Ireland (CBI) has issued an indefinite prohibition to Nicholas (Nick) Buckley from all controlled functions, effective 25 February 2026, following his admission of diverting client payments to his personal account and misrepresenting financial qualifications while at two retail intermediaries from 1 February 2021 to 12 December 2023. This enforcement action underscores the CBI's commitment to the Fitness and Probity Regime, emphasizing integrity in customer-facing roles to maintain public trust. Compliance professionals should note it as a precedent for severe sanctions on dishonesty, potentially influencing vetting and monitoring practices.
AI-generated analysis. May contain errors or omissions — verify with the original CBI source before acting. Full disclaimer.
Letter from Sarah Breeden and Sam Woods to the Chancellor and Secretaries of State
Our Financial Policy Committee (FPC) meets to identify risks to financial stability and agree policy actions aimed at safeguarding the resilience of the UK financial system.
Consultation paper 6/26
CP6/26 from the PRA consults on reforms to the **high loan-to-income (LTI)** lending rules for residential mortgages, building on prior adjustments to the flow limit that caps high-LTI loans (≥4.5x borrower income) at 15% of total new lending for larger lenders. This matters for mortgage providers as it aims to balance financial stability, support housing market growth, and adapt macroprudential measures to current economic conditions, potentially influencing lending capacity and risk management ahead of the June 2026 review deadline (https://www.bankofengland.co.uk/prudential-regulation/publication/2026/april/high-loan-to-income-lending-consultation-paper).
AI-generated analysis. May contain errors or omissions — verify with the original PRA source before acting. Full disclaimer.
The PRA Regulatory Digest is for people working in the UK financial services industry and highlights key regulatory news and publications delivered for the month.
on the setting of the countercyclical buffer rate for the second quarter of 2026
Three public companies fined more than a million dollars for breaching financial reporting and company officer obligations
Situation as at 28 February 2026
Situation as at 28 February 2026
Situation as at 28 February 2026
Situation as at 28 February 2026
Situation as at 28 February 2026
The table below provides an overview of the key public enforcement actions taken by the Monetary Authority of Singapore (“MAS”) from January to March 2026.
This MAS publication summarizes key public enforcement actions in Q1 2026, focusing on prohibition orders (POs) against individuals for investor fraud and money laundering, plus a joint operation against a licensed firm for AML failures and related offences. It matters as it underscores MAS's aggressive enforcement on financial crime, individual accountability, and firm controls, signaling heightened scrutiny to protect Singapore's financial centre integrity.[MAS publication]
AI-generated analysis. May contain errors or omissions — verify with the original MAS source before acting. Full disclaimer.
01 Apr 2026 Read more