Muzinich Co. Opens Adgm Office To Strengthen Middle East Presence
Muzinich Co. Opens Adgm Office To Strengthen Middle East Presence
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Asset ManagerBankWealth Manager
Regulatory News
General regulatory news and announcements from financial authorities worldwide.
1351 Updates
22 Regulators
17 Jurisdictions
Shojin Financial Services Limited enters administration
Shojin Financial Services Limited (Shojin) is a crowdfunding platform authorised and regulated by the FCA. Shojin allowed customers to make investments that were used to fund loans toward property developments. On 23 March 2026, Shojin went into administration. Simon Carvill-Biggs and Ian Corfield of FRP Trading Advisory Limited were appointed as Joint Administrators.The Joint Administrators are responsible for acting in the best interests of the people who are owed money by Shojin, and they ...
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FintechWealth Manager
Walnut Planet GmbH: evidence indicates no prospectus published
The Federal Financial Supervisory Authority (BaFin) has evidence indicating that Walnut Planet GmbH, which has its registered office in Pfäffikon (Schwyz), Switzerland, is offering a capital investment that falls within the definition of “other investments” under section 1 (2) no. 7 of the German Capital Investment Act (Vermögensanlagengesetz - VermAnlG) to the public in Germany. The investment on offer consists of combined lease and service agreements relating to the cultivation of walnuts i...
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Asset ManagerWealth ManagerBank
Central Bank of Ireland launches commemorative coin honouring playwright Seán O'Casey
Central Bank of Ireland today launched a commemorative coin celebrating the life and work of renowned Irish playwright Seán O'Casey, on what would have been his 146 th birthday. It marks the 100th anniversary of the inaugural performance of his masterpiece The Plough and the Stars at the Abbey Theatre. The silver proof coin will go on sale today (Monday 30 March 2026) at 1pm on www.collectorcoins.ie . Designed by PJ Lynch, there are just 3,000 coins available, and they will retail at €90. Gov...
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BankWealth ManagerAll Firms
Regulators launch joint taskforce to crack down on poor practice in motor finance claims
A new taskforce will tackle poor handling of motor finance claims by some claims management companies (CMCs) and law firms, after the FCA, Solicitors Regulation Authority (SRA), Information Commissioner’s Office (ICO) and Advertising Standards Authority (ASA) agreed to join up their efforts. The announcement comes as the FCA prepares to set out its final compensation scheme for motor finance customers.The regulators will step up efforts to share intelligence and continue to take co-ordinated ...
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BankFintechAll Firms
ECB streamlines how it supervises banks’ internal models
No description available.
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BankAsset ManagerWealth Manager
Uncertificated securities market regime – targeted for launch in November 2026
No description available.
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BankBroker DealerFintech
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
30 Mar 2026 Read more
30 Mar 2026 Read more
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BankCrypto ExchangeFintech
SAMA Licenses “Atyoun Litqniyat AlMalumat WalIttisalat AlMubtakirah” Company to Provide Payment Services
SAMA Licenses “Atyoun Litqniyat AlMalumat WalIttisalat AlMubtakirah” Company to Provide Payment Services
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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
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
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
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
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
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
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
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
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
Pedro Machado: From vision to reality: turning the savings and investments union into Europe’s financial cornerstone
No description available.
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BankAsset ManagerBroker Dealer
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
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
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
Chairman Selig Announces Formation of New Innovation Task Force
No description available.
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FintechCrypto Exchange
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.
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BankAsset ManagerBroker Dealer
Patrick Montagner: Physical risks and the role of insurance in risk mitigation
No description available.
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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
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
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
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
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
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
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
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
Development of the bank's balance sheet total
Situation as at 31 December 2025
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BankAsset ManagerWealth Manager
Quarterly development of employment in banks
Situation as at 31 December 2025
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BankAsset ManagerWealth Manager
MAS Partners Industry to Develop AI Risk Management Toolkit for the Financial Sector
MAS announced the successful conclusion of phase two of Project MindForge, which culminates in the publication of an Artificial Intelligence (AI) Risk Management Toolkit for the financial services sector.
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BankFintechAsset Manager
List of members of the Investment Fund Managers Committee (Updated)
No description available.
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Asset ManagerWealth ManagerBank
International,The fourth meeting of the Japan-UK Financial Regulatory Forum
No description available.
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BankAsset ManagerBroker Dealer
Communication regarding management notifications and de-notifications with a European passport for Luxembourg-domiciled IFMs
No description available.
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Asset Manager
Issue 3 2026
No description available.
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BankBroker DealerCrypto Exchange
CFTC and MLB Sign Groundbreaking MOU
No description available.
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Broker DealerAll Firms
Bank Rate maintained at 3.75% - March 2026 Monetary Policy Summary and Minutes
The Bank of England’s Monetary Policy Committee is responsible for making decisions about Bank Rate.
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BankAsset ManagerWealth Manager
International,The Japan-Bermuda bilateral meeting on insurance
No description available.
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Insurance
Notification form for updating payment institutions/electronic money institutions information
No description available.
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Payment Provider
High Performance Battery Holding AG: grounds to suspect shares being offered to the public without the required securities prospectus
The Federal Financial Supervisory Authority (BaFin) has sufficient grounds to suspect that High Performance Battery Holding AG, Switzerland, is offering securities in the form of company shares to the public in Germany without the required prospectus. There are no indications that the conditions for exemption from the prospectus requirement are met.
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BankAsset ManagerBroker Dealer
Strategic innovation drives growth of Hong Kong’s listing and digital asset markets: SFC Quarterly Report
No description available.
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Asset ManagerBroker DealerCrypto Exchange
Legal department - Consumer protection / financial crime (Updated)
Out-of-court consumer complaint resolution
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BankWealth ManagerFintech
Crowdfunding: the AMF reminds platforms of their complaint handling obligations
Asset management Crowdfunding: the AMF reminds platforms of their complaint handling obligations
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Asset ManagerBroker DealerWealth Manager
SEC confirms exemption for directors and officers of EEA Foreign Private Issuers
SEC confirms exemption for directors and officers of EEA Foreign Private Issuers 18 March 2026 Market Abuse Post Trading The United States Securities and Exchange Commission (SEC) has decided to exempt directors and officers of European Economic Area (EEA) foreign private issuers (FPIs) from the reporting requirements under Section 16(a) of the US Securities Exchange Act of 1934. The SEC’s decision means that directors and officers of EEA FPIs will not be required to comply with these specifi...
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Asset ManagerBroker DealerBank
Communication to the investment fund industry
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
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Asset ManagerBank
Claudia Buch: Hearing of the Committee on Economic and Monetary Affairs of the European Parliament
No description available.
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BankAsset ManagerWealth Manager
ECB Annual Report on supervisory activities 2025
No description available.
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BankAsset ManagerWealth Manager
FCA confirms new incident and third party rules to bolster resilience
We’ve confirmed new rules to make existing incident and third party reporting clearer, more consistent, and easier for firms to follow. These new rules will help us respond quickly to disruption such as a cyber attack or power outage, give firms greater certainty on what to report and when and strengthen firm resilience to better protect consumers and markets.Cyber attacks are becoming more frequent and more sophisticated, and firms are increasingly reliant on third party providers. In 2025, ...
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BankFintechCrypto Exchange
ECB publishes supervisory banking statistics on significant institutions for the fourth quarter of 2025
No description available.
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BankAsset ManagerWealth Manager
Supervisory Banking Statistics for significant institutions - Fourth quarter 2025
No description available.
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Bank
SFC publishes review on SEHK’s performance in regulating listing matters
No description available.
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All Firms
ASIC launches financial complaints data dashboard
ASIC launches financial complaints data dashboard
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BankWealth ManagerAll Firms
High Court finds in favour of ASIC on an appeal by Sunshine Loans
High Court finds in favour of ASIC on an appeal by Sunshine Loans
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All Firms
SEC Clarifies the Application of Federal Securities Laws to Crypto Assets
The Securities and Exchange Commission (SEC) today issued an interpretation clarifying how the federal securities laws apply to certain crypto assets and transactions involving crypto assets. This is a major step in the Commission’s efforts to provide…
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Crypto ExchangeFintech
Michael S. Selig, Chairman: 9th Annual DC Blockchain Summit
No description available.
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BankFintechCrypto Exchange
SEC Publishes Data on Public and Private Offerings, Municipal Advisors, Transfer Agents, and Securities-Based Swap Dealers
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published a new report on security based swap dealers (SBSDs) and updated statistics and data visualizations on initial public offerings (IPOs), follow-on registered…
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Broker DealerAsset Manager
CFTC Joins SEC to Clarify the Application of Federal Securities Laws to Crypto Assets
No description available.
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Crypto ExchangeFintech
DORA – Register of Information collection - Update
No description available.
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BankWealth ManagerAll Firms
CFTC Staff Issues No-Action Position to Self-Custodial Crypto Asset Wallet Software Provider
No description available.
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FintechCrypto Exchange
Council Implementing Regulation (EU) 2026/613 of 16 March 2026
implementing Regulation (EU) No 269/2014 concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine
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BankWealth ManagerAsset Manager
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (March ９, 2026)
No description available.
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BankBroker DealerFintech
Publication,FSA Weekly Review No.679 March 17, 2026
No description available.
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BankFintechPayment Provider
Development of the balance sheet total and provisional net results of specialised PFS
Situation as at 31 January 2026
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BankAsset ManagerWealth Manager
Development of the balance sheet total and provisional net results of support PFS
Situation as at 31 January 2026
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BankAsset ManagerWealth Manager
Ben Gully appointed as the next Secretary General of the Basel Committee on Banking Supervision
Ben Gully appointed as the next Secretary General of the Basel Committee on Banking Supervision
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BankAsset ManagerWealth Manager
CFTC Chairman Selig Announces Jessica Harris as Director, Division of Data and Chief Data Officer
No description available.
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BankBroker DealerAll Firms
WhatsApp groups: BaFin investigates “Fides Ventures” and “Nexquant”
According to information available to the Federal Financial Supervisory Authority (BaFin), “Fides Ventures” is using WhatsApp groups and chats to contact German investors. The company, which claims to be based in the US, also operates under the name “Fides Ventures Business School”. The unknown provider advertises by promoting a so-called “FIVS token”, claiming that the token can be obtained on the cooperating crypto exchange “Nexquant”. The crypto exchange, also operating under the name “Nex...
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BankFintechCrypto Exchange
eDesk – Disruptions on Monday 16 March 2026
No description available.
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BankWealth ManagerFintech
Council Implementing Regulation (EU) 2026/695 of 14 March 2026
implementing Regulation (EU) No 269/2014 concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine
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BankWealth ManagerAsset Manager
SSM Calendar Claude Wampach – 12/2025
No description available.
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BankWealth ManagerAsset Manager
ASIC urges Gen Z to ‘sense-check’ money advice as social media fuels riskier financial decisions
ASIC urges Gen Z to ‘sense-check’ money advice as social media fuels riskier financial decisions
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Topics:
BankFintechCrypto Exchange
Supreme Court orders Macquarie Securities to pay $35 million penalty in short sale misreporting case
Supreme Court orders Macquarie Securities to pay $35 million penalty in short sale misreporting case
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Broker DealerBank
GBP LDI Funds Reporting Template (Updated)
No description available.
Sectors:
Topics:
Asset ManagerWealth Manager
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (March 6, 2026)
No description available.
Sectors:
Topics:
Crypto ExchangeFintechPayment Provider
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services(2) (March 3, 2026)
No description available.
Sectors:
Topics:
Crypto ExchangeAll Firms
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (March 3, 2026)
No description available.
Sectors:
Topics:
BankBroker DealerFintech
BaFin warns consumers about the series of platforms with the slogan “Smarter trading with zero spreads”
The Federal Financial Supervisory Authority (BaFin) warns consumers about a series of almost identical websites. According to information available to BaFin, the operators use these websites to conduct banking business and/or provide financial services without the required authorisation. The operators of the websites are not supervised by BaFin.
Sectors:
Topics:
BankCrypto ExchangeFintech
FCA bans Kasim Garipoglu from working in UK financial services
KasimGaripoglu has been banned from working in UK financial services. The FCA found he is not fit and proper because of his lack of honesty and integrity. Mr Garipoglu is the owner of a firm that provided online trading of foreign exchange and contracts.Between April 2012 and December 2022, including when Mr Garipoglu was the chief executive and director at the firm and an approved person, he repeatedly demonstrated a disregard for regulatory requirements, undermined compliance and anti‑money...
Sectors:
Topics:
BankWealth ManagerFintech
BaFin warns consumers about the website mbspoint(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about MBS Point and the services it is offering. BaFin suspects the unknown operators of the website mbspoint(.)com of offering consumers financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankFintechCrypto Exchange
Identity fraud: BaFin warns consumers about the website alijz(.)com, the app alijzspro and offers in WhatsApp groups
The Federal Financial Supervisory Authority (BaFin) warns consumers about the website alijz(.)com and WhatsApp groups operated under the company name AL Konzept GmbH & Co. KG. In these WhatsApp groups, consumers are encouraged to use an app called alijzspro to invest in financial instruments. BaFin suspects the unknown operators of offering consumers financial services without the required authorisation.
Sectors:
Topics:
BankFintechPayment Provider
BaFin warns consumers about the Gainorex Investment app
The Federal Financial Supervisory Authority (BaFin) warns consumers about the Börsenblick A-001 WhatsApp group. In the WhatsApp group, consumers are encouraged to use the Gainorex Investment app to trade in financial instruments. BaFin suspects the unknown operators of offering consumers banking business and/or financial services without the required authorisation. The operators are not supervised by BaFin.
Sectors:
Topics:
BankFintechAll Firms
Equity Research Ventures PTE. LTD. („AlleAktien“): evidence indicates no prospectus published
The Federal Financial Supervisory Authority (BaFin) has evidence indicating that Equity Research Ventures PTE. LTD., purportedly domiciled in Singapore, is offering capital investments under the name “Co-Investment AlleAktien Wealth x SpaceX” to the public in Germany without the required prospectus. These capital investments are being offered in the form of “other capital investments” within the meaning of section 1 (2) no. 7 of the German Capital Investment Act (Vermögensanlagengesetz - Verm...
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
ASIC disqualifies Victorian director for maximum 5-year period
ASIC disqualifies Victorian director for maximum 5-year period
Sectors:
Topics:
BankWealth ManagerFintech
SAMA Licenses “Aij Company for Financing”
SAMA Licenses “Aij Company for Financing”
Sectors:
Topics:
Fintech
SAMA Licenses “Wukad Solutions for Aggregation Services” Company to Provide Finance Aggregation Services
SAMA Licenses “Wukad Solutions for Aggregation Services” Company to Provide Finance Aggregation Services
Sectors:
Topics:
Fintech
CFTC Staff Issues Prediction Markets Advisory
No description available.
Sectors:
Topics:
Broker DealerCrypto Exchange
Prometheus Investment Alliance: BaFin warns against offers in WhatsApp groups
The German Financial Supervisory Authority (BaFin) warns against offers made by Prometheus Investment Alliance (PIA), which claims to be based in the United States of America and Frankfurt am Main, on the website prometheus-alliance(.)de and in various WhatsApp groups. In the WhatsApp groups run by the alleged Achim Falkenberg and his assistant Bertha, consumers are tricked into trading financial products via the QVTcoinese-Pro app using the ‘Genialer Intelligenter Roboter 5.0’ trading system.
Sectors:
Topics:
BankFintechAll Firms
Aktualisierte Sanktionsmeldung: Taliban
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 Gruppen, die mit den Taliban in Verbindung stehen (SR 946.231.07), publiziert.
Sectors:
Topics:
BankWealth ManagerAll Firms
VYNEX Trade: BaFin warns against offers in WhatsApp groups and against Lirunex Trading app
The Federal Financial Supervisory Authority BaFin warns against offers in WhatsApp groups, which are operated by alleged company VYNEX Trade. According to information available to BaFin, recommendations for the purchase of financial instruments and cryptocurrencies are offered in various WhatsApp groups, which can allegedly be traded via Lirunex Trading app and the following platforms:
Sectors:
Topics:
BankFintechCrypto Exchange
Concept Capital Group update: administrators appointed
On 9 March 2026, the High Court placed Concept Capital Group (CCG) into administration. BTG are the administrators of the company. In July 2025, the FCA announced High Court proceedings against CCG and others over an alleged unauthorised investment scheme. CCG has been under a court order that temporarily froze its assets since then.CCG had promoted investments in static homes. CCG claimed these would be let to social housing tenants placed by local councils. Investors were promised fixed ret...
Sectors:
Topics:
Asset ManagerWealth Manager
Mjolnex: BaFin warns against offers on website mjolnex-ltd(.)com
The Federal Financial Supervisory Authority BaFin warns against offers on the website mjolnex-ltd(.)com. According to information available to BaFin, the company Mjolnex, allegedly based in Frankfurt, is offering financial or investment services and crypto asset services without the required authorisation.
Sectors:
Topics:
BankCrypto ExchangeFintech
Interpretative note
Delay in the 2026 AML/CFT standardised data collection
Sectors:
Topics:
BankAsset ManagerWealth Manager
Reporting template
Delay in the 2026 AML/CFT standardised data collection
Sectors:
Topics:
BankAsset ManagerWealth Manager
Profit and loss account of credit institutions as at 31 December 2025 (only in French)
Press release 26/06
Sectors:
Topics:
BankAsset ManagerWealth Manager
Public Hearings organised by AMLA on 24 March 2026
No description available.
Sectors:
Topics:
BankWealth ManagerAll Firms
Second charge mortgage firms told to raise standards for consumers
Lenders and brokers in thesecond charge mortgagemarket need toconsiderhow theyadvise customers, assess affordability and charge fees. An FCA review has found that weaknesses in some firms’ practices could put borrowers, particularly those consolidating debt, at increased risk of financial harm.Second charge mortgages are often used by customers with high existing levels of debt and low financial resilience. The FCA’s review found examples of good practice across the sector but also issues tha...
Sectors:
Topics:
BankAll Firms
BaFin warns consumers about the website europecapitalmarkets(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website europecapitalmarkets(.)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.
Sectors:
Topics:
BankFintechCrypto Exchange
TGI AG: evidence indicates no prospectus published
The Federal Financial Supervisory Authority (BaFin) has evidence indicating that TGI AG, domiciled in Vaduz, Principality of Liechtenstein, is offering capital investments to the public in Germany called “discounted gold purchases” (Goldkauf mit Rabatt). In return for the temporary provision of money, these investments grant interest and the physical delivery of gold. In contravention of section 6 of the German Capital Investment Act (Vermögensanlagengesetz - VermAnlG), no prospectus has been...
Sectors:
Topics:
BankWealth ManagerAll Firms
BaFin warns consumers about the series of platforms with the slogan “Invest and trade 300+”
The Federal Financial Supervisory Authority (BaFin) warns consumers about a series of almost identical websites. According to information available to BaFin, this website is being used to offer financial, investment and cryptoasset services without the required authorisation. The operators of the website are not supervised by BaFin.
Sectors:
Topics:
BankFintechCrypto Exchange
ASIC disqualifies Simon Raftery from managing corporations for two and a half years
ASIC disqualifies Simon Raftery from managing corporations for two and a half years
Sectors:
Topics:
BankWealth ManagerAll Firms
SFC and ICAC joint operation in alleged insider dealings and corruption involving senior executives of licensed corporations
No description available.
Sectors:
Topics:
Asset ManagerBroker DealerHedge Fund
CFTC and SEC Announce Historic Memorandum of Understanding Between Agencies
No description available.
Sectors:
Topics:
Broker DealerCrypto ExchangeAll Firms
SEC and CFTC Announce Historic Memorandum of Understanding Between Agencies
The two agencies have entered into a MOU to guide coordination and collaboration to support lawful innovation, uphold market integrity, and ensure investor and customer protection.
Sectors:
Topics:
Broker DealerCrypto Exchange
MEX Exchange and MultiBank Group: BaFin warns against offers on the website mexassetexchange(.)com
The Federal Financial Supervisory Authority BaFin warns against offers on the website mexassetexchange(.)com. According to information available to BaFin, the operator MEX Eychange, allegedly based in Eschborn, Germany, is providing financial, investment and crypto asset services without the required authorisation. The operator falsely claims to be regulated by BaFin. There is no link to an authorised investment firm from Eschborn, Germany.
Sectors:
Topics:
BankCrypto ExchangeAll Firms
EU financial markets enter 2026 amid high-risk environment
EU financial markets enter 2026 amid high-risk environment 11 March 2026 Press Releases Risk monitoring The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, published today its first risk monitoring report of 2026 , outlining the key risks and vulnerabilities in EU financial markets. ESMA finds that risks of market and systemic stress remain high despite resilient market performance in the second half of 2025. Our risk assessment for the s...
Sectors:
Topics:
BankBroker DealerCrypto Exchange
Global situation of undertakings for collective investment at the end of January 2026
Press release 26/05
Sectors:
Topics:
Asset ManagerWealth Manager
FCA imposes restrictions on Sendsii Ltd
On 23 January 2026, the FCA imposed requirements on Sendsii Ltd which prevent them from carrying out any regulated activity. The FCA has issued a First Supervisory Notice to Sendsii Ltd after HM Revenue and Customs (HMRC) suspended the firm’s registration on 9 October 2025. The suspension means that Sendsii Ltd no longer met the conditions required for its FCA authorisation under the Payment Services Regulations 2017.These requirements prevent Sendsii Ltd from carrying out any regulated activ...
Sectors:
Topics:
Payment Provider
Man jailed for running illegal sale-and-rent-back scheme targeting struggling homeowners
Rajinder Gill and accomplices have been sentenced for their involvement in a sale-and-rent-back scheme. Mr Gill has been sentenced to two and a half years in prison for running a sale-and-rent-back scheme without being authorised and illegally providing credit agreements and mortgages. As accomplices in the scheme, Amandeep Heer received a community order for 2 years with a condition of 250 hours of unpaid work, and Jetinder Sandhu has completed 100 hours' unpaid work over 12 months (as a con...
Sectors:
Topics:
BankFintech
Remedy Housing officers sentenced for dishonesty offences
Remedy Housing officers sentenced for dishonesty offences
Sectors:
Topics:
BankFintech
Charges discontinued in Capital Mining Limited matter
Charges discontinued in Capital Mining Limited matter
Sectors:
Topics:
BankWealth ManagerAsset Manager
Publication,FSA Weekly Review No.678 March 10, 2026
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Basic statistical data on UCIs – January 2026 (only in French)
No description available.
Sectors:
Topics:
Asset ManagerWealth Manager
ASIC bans former MWL Financial Services Adviser Raluca Terheci for a period of 6 years
ASIC bans former MWL Financial Services Adviser Raluca Terheci for a period of 6 years
Sectors:
Topics:
Wealth Manager
Net assets of UCIs
Situation as at 31 January 2026
Sectors:
Topics:
Asset ManagerWealth Manager
Issuers of securities whose home Member State is Luxembourg pursuant to the Law of 11 January 2008
Situation as at 28 February 2026
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Breakdown according to currency
Situation as at 31 January 2026
Sectors:
Topics:
Asset ManagerBankWealth Manager
Origin of UCI initiators in Luxembourg
Situation as at 31 January 2026
Sectors:
Topics:
Asset ManagerWealth Manager
Number of UCIs
Situation as at 31 January 2026
Sectors:
Topics:
BankAsset ManagerWealth Manager
Investment policy of UCIs
Situation as at 31 January 2026
Sectors:
Topics:
Asset ManagerBankWealth Manager
CFTC Chairman Michael S. Selig, Chairman: FIA Global Cleared Markets Conference
No description available.
Sectors:
Topics:
Broker DealerFintechCrypto Exchange
The AMF analyses the typology of participants on the French equity market over the past five years.
Shares Asset management Post-trading infrastructures The AMF analyses the typology of participants on the French equity market over the past five years.
Sectors:
Topics:
Asset ManagerBankBroker Dealer
CFTC Announces Marc H. Sielski as Executive Director
No description available.
Sectors:
Topics:
BankBroker DealerFintech
Frank Elderson: Nature in decline, economy on the line: the importance of international cooperation for managing nature-related risks
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Brisbane financial advisor and auditor, Sunny Prakash, charged with multiple counts of stealing and fraud
Brisbane financial advisor and auditor, Sunny Prakash, charged with multiple counts of stealing and fraud
Sectors:
Topics:
Wealth Manager
ASIC bans former credit and financial services representative Neil Andrew Cato for 5 years
ASIC bans former credit and financial services representative Neil Andrew Cato for 5 years
Sectors:
Topics:
BankFintech
MAS-ESS Essay Competition 2026
Singapore, 9 March 2026…The Monetary Authority of Singapore (MAS) and the Economic Society of Singapore (ESS) today launched the MAS-ESS Essay Competition 2026. The theme for this year’s competition is “Singapore’s AI-Driven Economic Future: How can artificial intelligence reshape our industries, workforce, and competitive advantage while ensuring inclusive growth and managing disruption?”.
Sectors:
Topics:
BankWealth ManagerFintech
Opening Remarks by Mr Alvin Tan, Minister of State, Ministry of National Development and Ministry of Trade and Industry and Board Member, Monetary Authority of Singapore at the Opening of Nasdaq’s New Office in Singapore on 9 March 2026
At the opening of Nasdaq’s new office in Singapore, Mr Alvin Tan, Minister of State, Ministry of National Development & Ministry of Trade and Industry, and Board Member of MAS, highlighted the Global Listing Board as a "digital bridge" connecting Asian and US markets, and emphasised Singapore's broader efforts to strengthen its startup ecosystem through various initiatives.
Sectors:
Topics:
Asset ManagerBroker DealerBank
Licensed Fund Management Company And Its Officers Investigated For Suspected Money Laundering And Suspected Failure To Comply With Obligations As A Licensed Capital Markets Services Licence Holder
The Police and MAS jointly conducted enforcement operations against Capital Asia Investments Pte Ltd and its directors for suspected money laundering offences under Section 54 of the Corruption, Drug Trafficking and Other Serious Crimes (Confiscation of Benefits) Act 1992, and suspected failure to comply with various obligations as a licensed capital markets services licence holder under the Financial Services and Markets Act 2022.
Sectors:
Topics:
Asset ManagerBankBroker Dealer
CFTC Chairman Selig Announces Departure of Senior Advisor Brigitte Weyls
No description available.
Sectors:
Topics:
Broker DealerCrypto Exchange
Publication,Publication of "FSA Analytical Notes (2026.3): An Empirical Examination toward a Multi‑faceted Understanding of the OTC Derivatives Market"
No description available.
Sectors:
Topics:
BankAsset Manager
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (February 27, 2026)
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Additional charges brought against financial services company director
Additional charges brought against financial services company director
Sectors:
Topics:
Wealth ManagerBankFintech
Federal Court finds two Star Entertainment senior executives breached duties, non-executive directors did not breach duties
Federal Court finds two Star Entertainment senior executives breached duties, non-executive directors did not breach duties
Sectors:
Topics:
BankWealth ManagerAll Firms
ASIC files Court action to wind up Liberty Bell Bay after failures to lodge financial reports
ASIC files Court action to wind up Liberty Bell Bay after failures to lodge financial reports
Sectors:
Topics:
BankAsset ManagerWealth Manager
exomarkets(.)pro: BaFin warns consumers about website and identity theft
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website exomarkets(.)pro. According to information available to BaFin, this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankFintechCrypto Exchange
BaFin warns consumers about the series of platforms with the slogan “Trade Without Limits with 0 Spread Forex Broker”
The Federal Financial Supervisory Authority (BaFin) warns consumers about a series of almost identical websites. According to information available to BaFin, the operators are offering cryptoasset services on these websites without the required authorisation. The operators are not supervised by BaFin.
Sectors:
Topics:
BankCrypto Exchange
Oral reply to Parliamentary Question on Singapore dollar Malaysia ringgit exchange rate
Oral reply to Parliamentary Question on Singapore dollar Malaysia ringgit exchange rate
Sectors:
Topics:
BankWealth ManagerAll Firms
SEC Investor Advisory Committee to Host March 12 Meeting
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on March 12 at 10 a.m. ET to discuss public company disclosure reform, fund proxy voting, and a potential…
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
SEC Announces Roundtable on Options Market Structure Reform
The Securities and Exchange Commission announced today that it will host a roundtable on April 16, 2026, to discuss listed options market structure, including facilitating competition in a quote driven market, evaluating the customer experience, and…
Sectors:
Topics:
Broker DealerAll Firms
FCA announces senior leadership appointments
We have appointed 2 new senior leaders, further strengthening our capability across key areas of our remit. Chris Knight will join us in July 2026 as director of insurance within our Supervision, Policy and Competition (SPC) division. He joins the FCA from Legal & General, where he has been the group chief risk officer for the last 5 years and member of the Group management committee. Prior to this, he was CEO of Legal & General Retail Retirement for 3 years.David Lymburn joined the Payment S...
Sectors:
Topics:
BankInsurance
Pedro Machado: Interview with Reuters
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
FCA warns customers of HDH Investment Services Limited
We're concerned that HDH Investment Services Limited may have given unsuitable financial advice to some of its customers, potentially leading to financial loss. We recently placed restrictions on HDH Investment Services Limited (HDH). From 20 January 2026, HDH agreed to stop carrying out all regulated activities. This now means the firm can't give investment advice.HDH also agreed to write to all customers to explain what these restrictions mean for them. What customers should do nowIf you th...
Sectors:
Topics:
Wealth Manager
Regulators launch GenA.I. Sandbox++ to foster A.I. innovation across financial services
No description available.
Sectors:
Topics:
BankAsset ManagerFintech
Aurenbridge Alliance: BaFin warns consumers about the website aurenbridge(.)com and offers in WhatsApp groups
The Federal Financial Supervisory Authority (BaFin) warns consumers about the website aurenbridge(.)com and WhatsApp groups operated under the company name Aurenbridge Alliance (e.g. “Aurenbridge Alliance (ABA)”). In these WhatsApp groups, consumers are encouraged to use an app called Cryplus to trade in financial instruments and cryptoassets. BaFin suspects the unknown operators of offering consumers financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankFintechCrypto Exchange
SFC obtains compensation and disqualification orders against former executive director of Coolpad Group Limited
No description available.
Sectors:
Topics:
BankBroker DealerAsset Manager
SFC drives Asia-Pacific regulatory consensus to strengthen market resilience through collaboration and new technology
No description available.
Sectors:
Topics:
All Firms
FinrocketPro: BaFin warns consumers about the website finrocketpro(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company FinrocketPro and the services it is offering. BaFin suspects the unknown operators of the website finrocketpro(.)com of offering consumers financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
FintechCrypto Exchange
Identity fraud: BaFin warns consumers about the website unzerfinanzpro(.)de
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website unzerfinanzpro(.)de. BaFin suspects the unknown operators of the website of conducting banking business without the required authorisation. Specifically, the website advertises loans.
Sectors:
Topics:
BankFintechAll Firms
Written reply to Parliamentary Question on NETS' QR System and SGQR
Written reply to Parliamentary Question on NETS' QR System and SGQR
Sectors:
Topics:
Payment ProviderAll Firms
Special edition of the AMF Barometer: marked differences between women and men persist in terms of investment
Collective investments Marketing Financial products Other professionals Executive & other private individuals Journalists Investment services providers Investment management companies Listed companies and issuers ...
Sectors:
Topics:
Asset ManagerWealth Manager
Patrick Montagner: Deepening integration, enhancing scale and completing the Single Market
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
FCA fines John Wood Group PLC for issuing misleading statements
John Wood Group PLC (Wood Group) has been fined £12,993,700 for publishing inaccurate information in its financial results. Following the poor performance of certain projects, Wood Group’s accounting judgements were inappropriately influenced by its desire to maintain previously stated financial results. Wood Group did not have adequate systems, controls or procedures to prevent this from happening.This resulted in Wood Group publishing inaccurate information in its full-year 2022 and 2023 fi...
Sectors:
Topics:
All Firms
Examination of professional competence for “réviseurs d’entreprises” (statutory auditors) – 2025 Session (only in French)
No description available.
Sectors:
Topics:
BankWealth ManagerAll Firms
ASIC cancels Australian credit licence of John Adicho
ASIC cancels Australian credit licence of John Adicho
Sectors:
Topics:
All Firms
ASIC disqualifies NSW director for the maximum period of five years
ASIC disqualifies NSW director for the maximum period of five years
Sectors:
Topics:
BankWealth ManagerAll Firms
Written reply to Parliamentary Question on green, social, sustainability, and sustainability-linked loans
Written reply to Parliamentary Question on green, social, sustainability, and sustainability-linked loans
Sectors:
Topics:
BankAsset ManagerWealth Manager
Written reply to Parliamentary Question on Philanthropic Contributions by Single Family Offices
Written reply to Parliamentary Question on Philanthropic Contributions by Single Family Offices
Sectors:
Topics:
Family Office
04 Mar 2026 Read more
04 Mar 2026 Read more
Sectors:
Topics:
BankWealth ManagerFintech
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung 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.
Sectors:
Topics:
BankWealth ManagerAll Firms
New investment funds drive reduction in costs to investors
New investment funds drive reduction in costs to investors 03 March 2026 Fund Management Press Releases Risk monitoring The European Securities and Markets Authority (ESMA), the EU financial markets regulator and supervisor, today publishes its 2025 market report on the costs and performance of EU retail investment products . This eighth Costs and Performance report shows that ongoing costs in the EU continued to decline in 2024. This is however mostly due to new investment funds entering the...
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
Publication,FSA Weekly Review No.677 March 3, 2026
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
BaFin warns consumers about the website imc-point(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website imc-point(.)com. According to information available to BaFin, the operators are offering cryptoasset services on this website without the required authorisation. The operators are not supervised by BaFin.
Sectors:
Topics:
BankCrypto ExchangeFintech
Optinomic: BaFin warns against offers on the website optinomic(.)co
The Federal Financial Supervisory Authority BaFin warns against offers on the website optinomic(.)co. According to information available to BaFin, the operator is providing financial, investment and crypto asset services without the required authorisation.
Sectors:
Topics:
BankCrypto ExchangeFintech
watchvestvermittlung(.)com / wv-vermittlung(.)com: BaFin warns about websites and indicates identity fraud at the expense of Watchvest GmbH
The German Financial Supervisory Authority (BaFin) warns about offers from the websites watchvestvermittlung(.)com and wv-vermittlung(.)com. According to information available to BaFin, the unknown operators of the website are offering banking services, in particular fixed-term deposits, and financial services without the required authorisation. They give the impression that their offers originate from Watchvest GmbH. It is a case of identity fraud. Watchvest GmbH has no connection with the w...
Sectors:
Topics:
BankWealth ManagerFintech
OPBAS identifies areas where anti-money laundering supervisors can improve
The latest report from the Office for Professional Body Anti-Money Laundering Supervision (OPBAS) finds there is still room for improvement. The anti-money laundering supervisors of professional services firms are more effective than at any time since 2018. However, OPBAS remains concerned that their enforcement lacks the teeth to deter firms from falling short of minimum standards.OPBAS’s latest report found Professional Body Supervisors (PBSs) generally continue to demonstrate good levels o...
Effective Date: 31 December 2018
Sectors:
Topics:
BankWealth ManagerAll Firms
CapitalFM: BaFin warns against offers on the website capitalfm(.)io
The Federal Financial Supervisory Authority BaFin warns against offers on the website capitalfm(.)io. According to information available to BaFin, the operator is providing financial and investment services without the required authorisation.
Sectors:
Topics:
BankFintechAll Firms
Council Implementing Regulation (EU) 2026/489 of 26 February 2026
implementing Regulation (EU) No 208/2014 concerning restrictive measures directed against certain persons, entities and bodies in view of the situation in Ukraine
Sectors:
Topics:
BankWealth ManagerAsset Manager
Council Implementing Regulation (EU) 2026/426 of 26 February 2026
implementing Article 8a 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
Sectors:
Topics:
BankWealth ManagerAsset Manager
ESMA publishes the results of the annual transparency calculations for equity and equity-like instruments
ESMA publishes the results of the annual transparency calculations for equity and equity-like instruments 27 February 2026 Market data Trading The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has published today the results of the annual transparency calculations for equity and equity-like instruments, which will apply from 6 April 2026. The calculations made available include: the liquidity assessment as per Articles 1 to 5 of CDR 201...
Sectors:
Topics:
Broker DealerBank
Notifications sent by the CSSF to the competent authorities of other EEA Member States
Situation from February 2025 to February 2026
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Notifications received by the CSSF from the competent authorities of other EEA Member States
Situation from February 2025 to February 2026
Sectors:
Topics:
BankAsset ManagerBroker Dealer
CSSF approvals of prospectuses
Situation from February 2025 to February 2026
Sectors:
Topics:
Asset ManagerBankBroker Dealer
Identification of reporting requirements and checks for 2nd level completeness (Updated)
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Written reply to Parliamentary Questions on Visa and Mastercard Fees
Written reply to Parliamentary Questions on Visa and Mastercard Fees
Sectors:
Topics:
BankPayment Provider
The DFSA reminds investors to exercise caution and prudence in periods of…
The DFSA reminds investors to exercise caution and prudence in periods of…
Sectors:
Topics:
Asset ManagerWealth ManagerBank
CFTC Chairman Selig Announces Mel Gunewardena as Director of the Office of International Affairs and Senior Markets Advisor to the Chairman
No description available.
Sectors:
Topics:
Broker DealerBank
CFTC Chairman Selig Announces Alan Brubaker as Director of the Office of Legislative and Intergovernmental Affairs
No description available.
Sectors:
Topics:
BankBroker DealerFintech
Identity fraud: BaFin warns consumers about the website goldingfx(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website goldingfx(.)com. BaFin suspects the unknown operators of the website of offering consumers financial and investment services without the required authorisation. Contrary to the claims on the website, the services offered do not originate from Golding Capital Partners GmbH, which has its registered office in Munich. This is a case of identity fraud.
Sectors:
Topics:
BankWealth ManagerFintech
BaFin warns consumers about the website viforex(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website viforex(.)com. BaFin has information that this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankFintechCrypto Exchange
Capitalis (Bank): BaFin warns consumers about the website capitalisgroup(.)site
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Capitalis and the services it is offering. BaFin suspects the unknown operators, who purportedly have their registered office in France, of using the website capitalisgroup(.)site to offer loans to consumers and thus conduct banking business without the required authorisation.
Sectors:
Topics:
BankFintech
Financiamas: BaFin warns consumers about the website financiamas-cs(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Financiamas and the services it is offering. BaFin suspects the unknown operators, who purportedly have their registered office in Madrid, Spain, of using the website financiamas-cs(.)com to offer loans to consumers and thus conduct banking business without the required authorisation.
Sectors:
Topics:
BankFintech
Sophia Bennani appointed AMF Director of Inspections
Appointment Institutional Sophia Bennani appointed AMF Director of Inspections
Sectors:
Topics:
Asset ManagerWealth Manager
FCA opens authorisation gateway for targeted support
Firms can now apply for permission to provide targeted support. Targeted support is a once in a generation change that will help millions navigate their financial lives. From 6 April 2026, people’s banks, pension providers, or other financial firms that are authorised for targeted support can provide suggestions designed for groups of consumers with common characteristics. This will help them make important decisions across their pensions and investments.We want authorised firms to be ready t...
Sectors:
Topics:
BankWealth Manager
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (February 20, 2026)
No description available.
Sectors:
Topics:
BankBroker DealerCrypto Exchange
PRA Regulatory Digest – February 2026
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.
Sectors:
Topics:
BankInsurance
Investment fund managers
Situation as of 31 December 2025
Sectors:
Topics:
Asset ManagerBank
The CSSF’s supervisory priorities in the area of sustainable finance
Update March 2026
Sectors:
Topics:
Asset ManagerBankWealth Manager
Axoria AI: BaFin warns against offers on the website axoria(.)ai
The Federal Financial Supervisory Authority BaFin warns against offers on the website axoria(.)ai. According to information available to BaFin, the operator is providing financial and investment services without the required authorisation.
Sectors:
Topics:
BankFintechAll Firms
BaFin warns about the series of platforms „Sofortiger Aimex/Saimex Trade“
The Federal Financial Supervisory Authority BaFin warns customers about online trading platforms that use the name “Sofortiger Aimex/ Sofortiger Saimex”. According to information available to BaFin, operators are providing financial and investment services without the required authorisation.
Sectors:
Topics:
BankFintechAll Firms
Temporary closure of Nasdaq Dubai effective Monday, 2 March 2026 and Tuesday, 3…
Temporary closure of Nasdaq Dubai effective Monday, 2 March 2026 and Tuesday, 3…
Sectors:
Topics:
BankBroker DealerFintech
Comments by MAS on Market Conditions
In response to media queries, MAS said that it is closely monitoring developments arising from the ongoing situation in the Middle East, and is assessing the impact on the domestic economy and financial system.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
DFSA AML and Glossary Modules amendments come into force; FAQs published
DFSA AML and Glossary Modules amendments come into force; FAQs published
Sectors:
Topics:
BankWealth ManagerAsset Manager
DFSA Reminder: Current DFSA Working arrangements – Statement: 1 March 2026
DFSA Reminder: Current DFSA Working arrangements – Statement: 1 March 2026
Sectors:
Topics:
BankWealth ManagerAll Firms
Others,Updated : Japan Weeks 2026
No description available.
Sectors:
Topics:
Asset ManagerBroker Dealer
International, FSA, SEC Hold Spring Financial Regulatory Dialogue
No description available.
Sectors:
Topics:
BankBroker DealerCrypto Exchange
Banks,The FSA publishes the status of loans held by all banks as of the end of September 2025, based on the Financial Reconstruction Act
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Publication,Publication of "FSA Analytical Notes (2026.2): Analysis of Human Resource Support by Regional Banks and Shortages of Managerial Talent at Firms" in Japanese
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
SEC, FSA Hold Spring Financial Regulatory Dialogue
The U.S. Securities and Exchange Commission (SEC) and the Financial Services Agency of Japan (FSA) convened the Spring SEC-FSA Financial Regulatory Dialogue in Tokyo on Feb. 27, 2026.The SEC–FSA Dialogue builds upon longstanding efforts between the two…
Sectors:
Topics:
BankAsset ManagerBroker Dealer
FINMA proceedings: MBaer Merchant Bank AG in liquidation
In enforcement proceedings against MBaer Merchant Bank AG that FINMA concluded three weeks ago and which were recently pending before the Swiss Federal Administrative Court, FINMA had withdrawn the bank's licence. As part of the proceedings, FINMA ascertained that the bank does not have an adequate structure in place for combating money laundering, thus enabling clients to circumvent official asset freezes. The bank has now withdrawn its appeal against the FINMA proceedings, meaning that FINM...
Sectors:
Topics:
Bank
Claudia Buch: Banks and competitiveness: promoting competition, protecting resilience
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Braddick to take the helm at the UK’s banking watchdog
Katharine Braddick CB appointed as the next Deputy Governor for Prudential Regulation at the Bank of England and Chief Executive of the Prudential Regulation Authority, succeeding Sam Woods when his term ends in June 2026.
Sectors:
Topics:
BankWealth ManagerAsset Manager
Midvest Limited: warns consumers about the website midv-lim(.)com
The Federal Financial Supervisory Authority BaFin warns against offers on the website midv-lim(.)com. According to information available to BaFin, the operator Midvest Limited from Manchester, UK, is providing financial and investment services without the required authorisation.
Sectors:
Topics:
BankWealth Manager
Reflections on Building Resilience and Anchoring Stability
In his latest blog, the Governor Gabriel Makhlouf reflects on the publication of the Regulatory and Supervisory Outlook 2026 and the recent Access to Cash report.
Sectors:
Topics:
BankPayment Provider
Issue 2 2026
No description available.
Sectors:
Topics:
Asset ManagerBankBroker Dealer
Prudential Regulation Authority statement on the life insurance stress test in 2028
This statement provides an early indication to industry of the Prudential Regulation Authority’s (PRA) intent to launch the next Life Insurance Stress Test (LIST) exercise in January 2028.
Sectors:
Topics:
Insurance
List of supervised entities - Cut-off date 1 January 2026
No description available.
Sectors:
Topics:
Bank
ASIC sues Auto & General alleging policy discount misrepresentations made to millions of consumers in Budget Direct insurance ads
ASIC sues Auto & General alleging policy discount misrepresentations made to millions of consumers in Budget Direct insurance ads
Sectors:
Topics:
Insurance
Written reply to Parliamentary Question on New Currency Note Series
Written reply to Parliamentary Question on New Currency Note Series
Sectors:
Topics:
BankWealth ManagerAll Firms
CFTC Staff Reissues Staff Letter 25-50 to Add Additional No-Action Position on CPO Delegation Arrangements
No description available.
Sectors:
Topics:
Asset ManagerHedge Fund
The AMF publishes the findings of its inspections on the consideration of client sustainability preferences
Supervision Sustainable Finance Marketing Journalists Investment services providers Investment management companies The AMF publishes the findings of its inspections on the consideration of client sustainability preferences
Sectors:
Topics:
Asset ManagerWealth Manager
ESMA issues a supervisory briefing on algorithmic trading
ESMA issues a supervisory briefing on algorithmic trading 26 February 2026 Trading The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, today published a supervisory briefing to support consistent supervision of algorithmic trading across the EU. The briefing provides National Competent Authorities (NCAs) with practical tools and clarified expectations for supervising firms engaged in algorithmic trading under MiFID II. It focuses on key a...
Sectors:
Topics:
Broker DealerFintechAll Firms
SEC Announces Roundtable on Private Markets Valuation As Retail Investor Access Accelerates
The Securities and Exchange Commission today announced it will hold a roundtable on March 4 to discuss private market valuations and responsible retailization.The roundtable will be hosted by the Division of Investment Management from 1 p.m. to 3 p.m. ET…
Sectors:
Topics:
Asset ManagerBroker DealerFintech
Measures at MBaer Merchant Bank AG
The US Financial Crimes Enforcement Network (FinCEN) announced today that it considers MBaer Merchant Bank AG to be a financial institution of primary money laundering concern. FINMA is in contact with the bank and FinCEN in connection with the case. The enforcement proceedings previously concluded by FINMA against the bank are currently pending before the Federal Administrative Court. FINMA has appointed an audit agent at the bank.
Sectors:
Topics:
Bank
Directive (EU) 2026/470 of the European Parliament and of the Council of 24 February 2026
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
Court minutes from 2023 that were previously redacted
The Bank's Court of Directors acts as a unitary board, setting the organisation's strategy and budget and taking key decisions on resourcing and appointments. Required to meet a minimum seven times per year, it has five executive members from the Bank and up to nine non-executive members.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Minutes of the Meeting of the Court of Directors held on 9 December 2025
The Bank's Court of Directors acts as a unitary board, setting the organisation's strategy and budget and taking key decisions on resourcing and appointments. Required to meet a minimum seven times per year, it has five executive members from the Bank and up to nine non-executive members.
Sectors:
Topics:
BankAsset ManagerFintech
Directive (EU) 2026/470 of the European Parliament and of the Council of 24 February 2026
amending Directives 2006/43/EC, 2013/34/EU, (EU) 2022/2464 and (EU) 2024/1760 as regards certain corporate sustainability reporting requirements and certain corporate sustainability due diligence requirements
Sectors:
Topics:
Asset ManagerBankWealth Manager
Smart IT Global Limited: evidence indicates no prospectus published
The Federal Financial Supervisory Authority (BaFin) has evidence indicating that Smart IT Global Limited, Hong Kong, is offering several capital investments to the public in Germany. This includes two forms of profit participation loans, which are being offered under the names “smart it World” and “smart it Sprint”. Furthermore, another investment is currently being marketed that offers the prospect of assets in the form of a cash settlement in return for the temporary provision of money (“sm...
Sectors:
Topics:
All Firms
Adams Street Partners: BaFin warns consumers about identity fraud in WhatsApp groups
According to information available to the Federal Financial Supervisory Authority (BaFin), unknown persons purporting to work for Adams Street Partners LLC or its Munich-based subsidiary Adams Street (Europe) GmbH are using WhatsApp groups and chats to contact investors. The groups are purportedly run by a partner of the firm who is described as the “Project Manager of ASP Investment Management Company”. There is no connection whatsoever between these groups and Adams Street Partners LLC, Ada...
Sectors:
Topics:
Asset Manager
SFC bans Andy Lau Ka Ho for life
No description available.
Sectors:
Topics:
Broker DealerWealth ManagerBank
ASIC disqualifies Victorian property development director Kylie Campbell for 5 years
ASIC disqualifies Victorian property development director Kylie Campbell for 5 years
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC cancels AFS licence of Private Wealth Pty Ltd
ASIC cancels AFS licence of Private Wealth Pty Ltd
Sectors:
Topics:
Wealth Manager
Reply to COS Cuts on Adequate Provision of ATMs and VTMs, Mandating the Acceptance of Cash, Sustainability of EQDP and Insurance for Persons with Disabilities
Reply at Committee of Supply 2026 on Adequate Provision of ATMs and VTMs, Mandating the Acceptance of Cash, Sustainability of EQDP and Insurance for Persons with Disabilities
Sectors:
Topics:
BankWealth ManagerInsurance
Notice of Amendments to Legislation: February 2026
Notice of Amendments to Legislation: February 2026
Sectors:
Topics:
BankWealth ManagerAsset Manager
Councils,The Expert Panel on the Revision of the Corporate Governance Code (2nd meeting) Material
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
SAMA Announces Opening of Applications for “Saudi Economists” Track Under SPP
SAMA Announces Opening of Applications for “Saudi Economists” Track Under SPP
Sectors:
Topics:
Bank
Identity fraud against Ultramarin Capital GmbH, Munich: BaFin warns consumers about the website ultramarin-capital(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website ultramarin-capital(.)com. BaFin suspects the unknown operators of the website of offering consumers financial and investment services without the required authorisation.
Sectors:
Topics:
BankWealth Manager
FCA selects 4 firms to test stablecoin innovation in its Regulatory Sandbox
The FCA has chosen 4 companies to test how their stablecoin services work with proposed regulation in a safe environment. The stablecoins cohort is part of our commitment to supporting growth and innovation in UK financial services. 20 applications were received and the FCA has chosen the following firms:Monee Financial TechnologiesReStabiliseRevolutVVTXThe Regulatory Sandbox programme allows firms to trial stablecoin products in real world conditions with appropriate safeguards. It will help...
Sectors:
Topics:
FintechCrypto ExchangePayment Provider
FCA proposes action to close gaps in borrowers’ credit files
Lenders could have access to more comprehensive information to support lending decisions, under new proposals by the FCA. The FCA is consulting on designating certain credit reference agencies (CRAs). If a lender shares credit information with one designated consumer CRA, it would be required to share it with them all.The changes aim to close gaps in consumers’ credit files and ensure these more accurately reflect people’s financial circumstances.Alison Walters, director of consumer finance a...
Sectors:
Topics:
BankFintechAll Firms
Pedro Machado: New challenges, enduring principles: navigating a complex credit risk landscape
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
SFC welcomes Government budget measures to bolster Hong Kong’s role in global finance and national development
No description available.
Sectors:
Topics:
BankBroker DealerCrypto Exchange
ASIC secures record $350 million in civil penalties and $583 million back to Australians in second half of 2025
ASIC secures record $350 million in civil penalties and $583 million back to Australians in second half of 2025
Sectors:
Topics:
BankWealth ManagerAsset Manager
Misconduct reports to ASIC highlight spike in corporate governance issues
Misconduct reports to ASIC highlight spike in corporate governance issues
Sectors:
Topics:
BankWealth ManagerAll Firms
Standardised Model Articles of Incorporation for UCITS (Updated)
No description available.
Sectors:
Topics:
Asset ManagerBank
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (February 13, 2026)
No description available.
Sectors:
Topics:
BankBroker DealerFintech
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (February 10, 2026)
No description available.
Sectors:
Topics:
Insurance
Publication,FSA Weekly Review No.676 February 24, 2026
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Misrepresentations Made By A Non Adgm Entity
Misrepresentations Made By A Non Adgm Entity
Sectors:
Topics:
BankWealth ManagerFintech
Council Implementing Regulation (EU) 2026/431 of 23 February 2026
implementing Regulation (EU) 2024/1485 concerning restrictive measures in view of the situation in Russia
Sectors:
Topics:
BankWealth ManagerAsset Manager
Pedro Machado: Technology is neutral, governance is not: AI adoption in the banking sector
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Identity fraud: BaFin warns against offers on website trade.amlin-limited(.)info
The Federal Financial Supervisory Authority BaFin warns against offers on the website trade.amlin-limited(.)info. According to information available to BaFin, financial or investment services and crypto asset services are being offered on this platform without the required authorisation. According to the current state of knowledge, there is no connection to MS Amlin Investment Management Ltd., based in London, UK. This is likely to be a case of identity fraud.
Sectors:
Topics:
BankFintechCrypto Exchange
Identity theft: BaFin warns against offers on website personalcontrol-room(.)com
The Federal Financial Supervisory Authority BaFin warns against offers on the website personalcontrol-room(.)com and against fake investment contracts sent by alleged financial experts from Clearstream Holding AG. According to information available to BaFin, the unknown operators are providing financial or investment services and crypto asset services without the required authorisation. The offers do not originate from Clearstream Holding AG or any other legal entities of Clearstream. This is...
Sectors:
Topics:
BankWealth ManagerFintech
A smarter approach to communicating our regulatory priorities
We've launched our new Regulatory Priorities reports, starting with the insurance sector. This marks a new approach that will help to transform our supervision and streamline regulation.We expect regulated firms to follow the rules and stay informed about any changes. This is important for maintaining a safe and resilient market. Our mission to be a smarter regulator means reducing burden where we can, so that firms can get the information they need as efficiently as possible.Our Regulatory P...
Sectors:
Topics:
Insurance
SFC obtains worldwide court orders in Hong Kong and England and Wales to freeze suspects’ assets up to HK$4.3 million in alleged insider dealing
No description available.
Sectors:
Topics:
Broker DealerAsset Manager
Madison Realty Capital Expands Global Platform With Launch Of Middle East Office
Madison Realty Capital Expands Global Platform With Launch Of Middle East Office
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Polygreen Establishes Regional Holding Company In Adgm
Polygreen Establishes Regional Holding Company In Adgm
Sectors:
Topics:
BankWealth ManagerFintech
Written reply to Parliamentary Question on Circulation of Five-Cent Coins
Written reply to Parliamentary Question on Circulation of Five-Cent Coins
Sectors:
Topics:
BankPayment ProviderAll Firms
CFTC Chairman Selig Announces Senior Staff Appointments
No description available.
Sectors:
Topics:
BankFintechCrypto Exchange
BaFin warns consumers about the websites weisbergadvisors(.)inc and weisbergadvisors(.)ai
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the websites weisbergadvisors(.)inc and weisbergadvisors(.)ai. According to information available to BaFin, these websites are being used to offer financial and investment services without the required authorisation.
Sectors:
Topics:
BankWealth ManagerFintech
Covered bond issue programme Authorisation Application Form (only in French)
Conditions relating to the organisation of the credit institution issuing covered bonds
Sectors:
Topics:
Bank
Covered bond issue programme Authorisation Application Form
Conditions specific to each covered bond issue programme
Sectors:
Topics:
Bank
Launch of a dedicated page for the Luxembourgish covered bonds (“lettres de gage”) framework on the CSSF website
No description available.
Sectors:
Topics:
BankWealth Manager
Consumer Price Developments in January 2026
This January 2026 report contains an update of the latest consumer price developments in Singapore, prepared by MAS and the Ministry of Trade and Industry.
Sectors:
Topics:
BankWealth ManagerAsset Manager
Influencers fined for issuing unauthorised financial promotions
Seven social media influencers have been sentenced at Southwark Crown Court for their role in the promotion of an unauthorised foreign exchange trading scheme. Biggs Chris, Jamie Clayton, Lauren Goodger, Rebecca Gormley, Yazmin Oukhellou, Scott Timlin and Eva Zapico all pleaded guilty to one count of issuing unauthorised financial promotions.The outcomes were:Lauren Goodger was fined £3,750 and ordered to pay costs of £5,778.18.Biggs Chris was fined £600 and ordered to pay costs of £1,000.Jam...
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
Tethys Investment Alliance: BaFin warns against offers in WhatsApp groups and indicates identity fraud at the expense of Tethys Investment Management LLC
The German Financial Supervisory Authority (BaFin) warns against the WhatsApp groups „Tethys Investment Alliance 771“ and „Tethys Investment Alliance-S62“, the websites „tethys-alliance.de“ and „tethys-uberblick.com“ as well as the apps „QVTCoinese“ und „QVTCoinese Pro“, which are allegedly operated by the Baku/Boston/Dubai-based company Tethys Investment Management LLC. In the WhatsApp groups consumers are enticed to trade financial products via the respective apps. It is suspected that the ...
Sectors:
Topics:
BankWealth ManagerFintech
WhatsApp groups: warns consumers about boamglobal and BlueOcean Asset Management Ltd.
The Federal Financial Supervisory Authority BaFin warns against offers on the websites boamglobal.com and boamglobal-mf.com and against WhatsApp groups lead by “Dr Feldmann” and his assistant “Lina Weiss”. According to information available to BaFin, the operator BlueOcean Asset Management Ltd. is providing financial and investment services without the required authorisation.
Sectors:
Topics:
Asset Manager
Councils,The second meeting of the Expert Panel on the Revision of the Corporate Governance Code (2025-2026)
No description available.
Sectors:
Topics:
BankWealth Manager
The Casino case: the Paris Tribunal Correctionnel ruling marks the end of a market abuse case in which the AMF has been heavily involved
MAR Executive & other private individuals Journalists Listed companies and issuers The Casino case: the Paris Tribunal Correctionnel ruling marks the end of a market abuse case in which the AMF has been heavily involved
Sectors:
Topics:
BankBroker DealerAsset Manager
Global situation of undertakings for collective investment at the end of December 2025
Press release 26/04
Sectors:
Topics:
Asset ManagerBankWealth Manager
Frank Elderson: Interview with Bloomberg
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Publication,FSA publishes English translation of monthly magazine, Access FSA No.268
No description available.
Sectors:
Topics:
All Firms
Publication,FSA publishes English translation of monthly magazine, Access FSA No.267
No description available.
Sectors:
Topics:
Payment ProviderAll Firms
Dukas-Global: BaFin warns consumers about the website dukas-global(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Dukas-Global and the services it is offering. BaFin suspects the unknown operators of the website dukas-global(.)com of offering consumers financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankFintechCrypto Exchange
BaFin warns consumers about the website referral.mnlo(.)app
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website referral.mnlo(.)app. BaFin has information that Next Level Church Global Hub, Inc., New Orleans, USA, is using this website to offer banking business and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankFintechCrypto Exchange
BaFin warns consumers about the website blue-invest(.)org
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website blue-invest(.)org. 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.
Sectors:
Topics:
FintechCrypto ExchangeAll Firms
Aktualisierte Sanktionsmeldung
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung (WBF) hat den Anhang der Verordnung vom 10. April 2024 über Massnahmen gegenüber Personen und Organisationen, welche die Hamas oder den Palästinensischen Islamischen Dschihad unterstützen (SR 946.231.09), geändert.
Sectors:
Topics:
BankWealth ManagerAll Firms
Upcoming changes to the Euribor Panel
Upcoming changes to the Euribor Panel 18 February 2026 Benchmarks The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, is issuing a statement on the upcoming changes to the Euribor panel, in its capacity as supervisor of the European Money Market Institute (EMMI), administrator of Euribor. This statement concerns the announcement by EMMI that Barclays Bank PLC (BBPLC), based in the United Kingdom, will withdraw from the Euribor panel. The ...
Sectors:
Topics:
BankBroker Dealer
SEC Proposes Amendments to Reduce Burdens in Reporting of Fund Portfolio Holdings
No description available.
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
CSSF Newsletter No 301 – February 2026
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Tribunal upholds bans and fines for reckless adviser and fund manager
The Upper Tribunal has upheld the FCA's decisions to ban Stephen Joseph Burdett and James Paul Goodchild from working in financial services. Mr Burdett and Mr Goodchild previously held senior roles at Synergy Wealth Limited (Synergy) and Westbury Private Clients LLP (Westbury), respectively.The FCA banned the pair from working in regulated financial services for recklessly exposing pension holders to unsuitable investments.The Tribunal also found that it was appropriate for the FCA to impose ...
Sectors:
Topics:
Asset ManagerWealth ManagerBank
SSM Calendar Claude Wampach – 11/2025
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Omenyxgroup(.)com: BaFin warns consumers about website
The German Financial Supervisory Authority (BaFin) warns against the website omenyxgroup(.)com, which entices consumers to trade crypto assets. According to information available to BaFin, the unknown operators of the website are offering crypto asset services without the required authorisation.
Sectors:
Topics:
Crypto ExchangeFintech
P&L Invest Holding AG: BaFin warns against offers on website pnl-holding(.)com
The Federal Financial Supervisory Authority BaFin warns against offers on the website pnl-holding(.)com. According to information available to BaFin, P&L Invest Holding AG is providing financial or investment services and crypto asset services without the required authorisation. According to the current state of knowledge, there is no connection to the P&L Invest Holding GmbH. This is likely to be a case of identity fraud.
Sectors:
Topics:
All Firms
ICG GEF: BaFin warns against identity fraud in WhatsApp groups
The Federal Financial Supervisory Authority BaFin warns against offers in WhatsApp groups, which are allegedly operated by Intermediate Capital Group (ICG). According to information available to BaFin, recommendations for the purchase of financial instruments and cryptocurrencies, which can allegedly be traded via ICG GEF app, are offered in various WhatsApp groups. The offers do not originate from ICG Europe S.à.r.l. - Frankfurt Branch or any other company belonging to Intermediate Capital G...
Sectors:
Topics:
BankFintechCrypto Exchange
Alain Girard to assume leadership of FINMA’s Banks division
The Board of Directors of the Swiss Financial Market Supervisory Authority FINMA has appointed Alain Girard as the new Head of its Banks division. The current Head of the Recovery and Resolution division will take up his new role on 1 April 2026. He succeeds Thomas Hirschi, who left FINMA at the end of August 2025. Simon Brönnimann, who oversaw the Banks division on an interim basis, will now assume leadership of the Recovery and Resolution division on an interim basis.
Sectors:
Topics:
BankWealth ManagerAsset Manager
ASIC commences new review of advice licensees that use lead generation services
ASIC commences new review of advice licensees that use lead generation services
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Fundhost pays infringement notice for making misleading representations about Polen Capital Global Growth Fund
Fundhost pays infringement notice for making misleading representations about Polen Capital Global Growth Fund
Sectors:
Topics:
Asset ManagerWealth Manager
ASIC cancels AFS licence of Red Panda Future Wealth Pty Ltd
ASIC cancels AFS licence of Red Panda Future Wealth Pty Ltd
Sectors:
Topics:
Wealth Manager
CFTC Reaffirms Exclusive Jurisdiction over Prediction Markets in U.S. Circuit Court Filing
No description available.
Sectors:
Topics:
Broker DealerCrypto Exchange
Chairman Selig: Op-Ed | States Encroach on Prediction Markets
No description available.
Sectors:
Topics:
Crypto ExchangeAll Firms
SAMA Seeks Public Consultation on Draft Rules Regulating Cash Center Management and Operation
SAMA Seeks Public Consultation on Draft Rules Regulating Cash Center Management and Operation
Sectors:
Topics:
BankPayment Provider
ECB welcomes extension of Frank Elderson’s term as Vice-Chair of the Supervisory Board
No description available.
Sectors:
Topics:
BankAll Firms
BaFin warns consumers about the series of platforms that claim: “The [platform name] label holds authorization in multiple global jurisdictions and stands as a reputable online brokerage for Forex and CFDs.”
The Federal Financial Supervisory Authority (BaFin) warns consumers about a series of similarly designed websites. According to information available to BaFin, the operators are providing banking business and/or financial services on these websites without the required authorisation. The operators of the website are not supervised by BaFin.
Sectors:
Topics:
BankBroker DealerFintech
ASIC cancels AFS licence of Superfast AM Pty Ltd
ASIC cancels AFS licence of Superfast AM Pty Ltd
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
DORA – Submission timeframe for register of information for third-country branches of credit institutions having their head office in a third country
No description available.
Sectors:
Topics:
BankPayment Provider
List of issuers of shares and issuers of sovereign debt (Updated)
For which the CSSF is the relevant competent authority under Regulation (EU) No 236/2012 of the European Parliament and of the Council of 14 March 2012 on short selling and certain aspects of credit default swaps
Sectors:
Topics:
BankBroker DealerAsset Manager
Superintendent Peter Routledge participates in a fireside chat with Mortgage Professionals Canada
Superintendent Peter Routledge participates in a fireside chat with Mortgage Professionals Canada
Sectors:
Topics:
Bank
Publication,FSA Weekly Review No.675 February 16, 2026
No description available.
Sectors:
Topics:
BankCrypto Exchange
Councils,Publication of the Report by the Working Group on Crypto-asset Systems of the Financial System Council
No description available.
Sectors:
Topics:
Crypto ExchangeFintech
CSSF Annex – Termination of the operation of a branch under Article 33 of Directive 2011/61/EU (AIFMD)
Version 1
Sectors:
Topics:
Asset ManagerBank
CSSF Annex – Termination of the operation of a branch under Article 17 of Directive 2009/65/EC (UCITSD)
Version 1
Sectors:
Topics:
Asset ManagerBank
FCA fines former chief executive of Carillion plc (in liquidation)
The FCA has fined Richard Howson £237,700 for his part in misleading statements being issued by Carillion plc. As group chief executive, Mr Howson was aware of serious financial troubles in Carillion’s UK construction business. He failed to reflect this in company announcements or alert its board and audit committee, leading to poor oversight.The fine was imposed after Mr Howson withdrew his challenge to the FCA’s decision.Mr Howson was one of two executive directors on Carillion’s Board. His...
Sectors:
Topics:
BankWealth ManagerAll Firms
Summary of AI roundtables - February 2026
The Bank of England held roundtable meetings with representatives from regulated firms on the responsible adoption of artificial intelligence and machine learning (AI and ML), to better understand the constraints that firms may be facing.
Sectors:
Topics:
BankAsset ManagerInsurance
Settlement with Sino Wealth International Limited and Clear Prosper Global Limited in matters relating to Giordano International Limited under The Codes on Takeovers and Mergers and Share Buy-backs
No description available.
Sectors:
Topics:
BankWealth Manager
Eminent Finance Professor Arvind Krishnamurthy Appointed MAS Distinguished Term Professor at NUS
NUS and MAS have jointly appointed Professor Arvind Krishnamurthy as the MAS Distinguished Term Professor in Economics and Finance from 18 to 28 February 2026.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
CSSF Annex to the Notification Letter under Articles 17 and 18 of the UCITS Directive (Updated)
Version 3.1
Sectors:
Topics:
Asset ManagerBank
CSSF Annex to the Notification Letter under Article 33 of the AIFMD (Updated)
Version 3.1
Sectors:
Topics:
Asset ManagerWealth Manager
ESMA publishes latest edition of its newsletter
ESMA publishes latest edition of its newsletter 13 February 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 Digital and Data Strategies , outlining how enhanced data use and improved digital tools will strengthen effective and risk-based supervision. Top news highlights include the launch of the selection ...
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Topics:
Asset ManagerBroker DealerCrypto Exchange
SEC Announces 45th Annual Small Business Forum to Improve Capital-Raising Policy
The Securities and Exchange Commission will host the agency’s 45th Annual Government Business Forum on Small Business Capital Formation at SEC headquarters in Washington, D.C., on March 9 from 1 p.m. to 5 p.m. ET. The event will be webcast live. …
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Topics:
Asset ManagerBroker DealerFintech
Slides from Huw Pill’s fireside chat at Santander UK’s macroeconomic event
Slides by Huw Pill
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Topics:
BankAsset ManagerWealth Manager
Basic statistical data on UCIs – December 2025 (only in French)
No description available.
Sectors:
Topics:
Asset ManagerWealth Manager
Minutes of the Market Participants Group meeting – 12 February 2026
The Market Participants Group (MPG) is a senior-level forum for financial market participants to share their views on relevant themes and narratives in financial markets with members of the Bank of England’s Monetary Policy Committee.
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Topics:
BankAsset ManagerBroker Dealer
The AMF announces that the withdrawal of the authorisation of the portfolio management company APICAP is effective
Asset management The AMF announces that the withdrawal of the authorisation of the portfolio management company APICAP is effective
Sectors:
Topics:
Asset Manager
Charge against NSW director dismissed
Charge against NSW director dismissed
Sectors:
Topics:
BankWealth ManagerAll Firms
ASIC cancels AFS licence of Pulse Markets for serious and sustained breaches of duties
ASIC cancels AFS licence of Pulse Markets for serious and sustained breaches of duties
Sectors:
Topics:
Broker DealerAll Firms
Net assets of UCIs
Situation as at 31 December 2025
Sectors:
Topics:
Asset ManagerBankWealth Manager
Breakdown according to currency
Situation as at 31 December 2025
Sectors:
Topics:
Asset ManagerBankWealth Manager
Origin of UCI initiators in Luxembourg
Situation as at 31 December 2025
Sectors:
Topics:
Asset ManagerWealth Manager
Development of net assets and number of UCIs
Situation as at 31 December 2025
Sectors:
Topics:
Asset ManagerWealth Manager
Number of UCIs
Situation as at 31 December 2025
Sectors:
Topics:
BankAsset ManagerWealth Manager
Investment policy of UCIs
Situation as at 31 December 2025
Sectors:
Topics:
Asset ManagerWealth Manager
List of UCI and SIFs having a sharia-compliant policy (only in French) (Updated)
No description available.
Sectors:
Topics:
Asset ManagerWealth Manager
Net assets of UCIs according to SFDR (Updated)
Situation as at 31 December 2025
Sectors:
Topics:
Asset ManagerWealth Manager
Workgroup convened to enhance Singapore’s ecosystem for Growth Capital
Singapore, 13 February 2026… The Prime Minister and Minister for Finance announced at his 2026 Budget Statement the establishment of a workgroup to develop strategies to strengthen Singapore as a leading centre for growth capital. The Growth Capital Workgroup will be chaired by Mr Chee Hong Tat, Minister for National...
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Topics:
BankAsset ManagerBroker Dealer
CFTC Announces Innovation Advisory Committee Members
No description available.
Sectors:
Topics:
Crypto ExchangeFintech
ASIC imposes licence conditions on Corpay subsidiary following compliance failures
ASIC imposes licence conditions on Corpay subsidiary following compliance failures
Sectors:
Topics:
BankPayment Provider
12 Feb 2026 Read more
12 Feb 2026 Read more
Sectors:
Topics:
Broker DealerWealth ManagerBank
Reply to Adjournment Motion on “An Industrial Policy in Finance” by Mr Chee Hong Tat, Minister for National Development, and Deputy Chairman of MAS, on behalf of Mr Gan Kim Yong, Deputy Prime Minister and Minister for Trade and Industry, and Chairman of MAS, on 12 February 2026
Reply to Adjournment Motion on “An Industrial Policy in Finance” by Mr Chee Hong Tat, Minister for National Development, and Deputy Chairman of MAS, on behalf of Mr Gan Kim Yong, Deputy Prime Minister and Minister for Trade and Industry, and Chairman of MAS, on 12 February 2026
Sectors:
Topics:
BankAsset ManagerBroker Dealer
MAS Announces Expansion of Equity Market Development Programme
The expansion of the EQDP will enable more high-quality asset managers with strategies that invest significantly in Singapore equities to be funded, and also catalyse more third-party investments into the equities market.
Sectors:
Topics:
Asset ManagerBank
Written reply to Parliamentary Question on Credit Card Fraud Liability and Dispute Resolution
Written reply to Parliamentary Question on Credit Card Fraud Liability and Dispute Resolution
Sectors:
Topics:
BankPayment ProviderAll Firms
Written reply to Parliamentary Question on Insurance Products Distribution through E-commerce Platforms
Written reply to Parliamentary Question on Insurance Products Distribution through E-commerce Platforms
Sectors:
Topics:
InsuranceAll Firms
Written reply to Parliamentary Question on alternative verification methods for medically vulnerable customers
Written reply to Parliamentary Question on alternative verification methods for medically vulnerable customers
Sectors:
Topics:
BankFintechAll Firms
The DFSA publishes Crypto Token FAQs to support implementation of updated…
The DFSA publishes Crypto Token FAQs to support implementation of updated…
Sectors:
Topics:
Crypto ExchangeFintech
The AMF revises the position limits applicable to the salmon derivative contract listed on Euronext
Derivatives or structured products MIFID The AMF revises the position limits applicable to the salmon derivative contract listed on Euronext
Sectors:
Topics:
All Firms
Claudia Buch: AMLA and ECB Banking Supervision: strengthening cooperation
No description available.
Sectors:
Topics:
BankCrypto ExchangeAll Firms
Nex (Limited): BaFin warns consumers about the website thenexcap(.)pro
The Federal Financial Supervisory Authority (BaFin) warns consumers about Nex (Limited) and the services it is offering. BaFin suspects the unknown operators of the website thenexcap(.)pro of offering consumers financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
Crypto ExchangeFintech
“Cyprus: from crisis to growth”
No description available.
Sectors:
Topics:
BankWealth ManagerAll Firms
Report on declared time commitment of non-executive directors in the SSM
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
New protections confirmed for Buy Now Pay Later borrowers
Buy Now Pay Later (BNPL) borrowers will benefit from stronger protections from 15 July 2026, following the Government's decision to bring the sector under the FCA's regulation. BNPL will be subject to the Consumer Duty and consumers will benefit from:Clear information: Consumers will get clear, upfront details about their agreement, including when payments will be due, amounts, and what happens if they miss a payment.Affordability checks: Lenders must carry out proportionate checks to make su...
Sectors:
Topics:
FintechPayment Provider
SFC launches trading initiatives to boost digital asset market vibrancy in Hong Kong
No description available.
Sectors:
Topics:
Crypto ExchangeBroker Dealer
ECB appoints Thomas Broeng Jorgensen as Director General Specialised Institutions and Less Significant Institutions
No description available.
Sectors:
Topics:
BankAsset Manager
DORA – Submission timeframe for register of information – eDesk Portal open as of 11 February 2026
Submission of the register of information at individual or consolidated level to the CSSF (excluding entities under the direct supervision of the ECB)
Sectors:
Topics:
BankAsset ManagerWealth Manager
finanzpluss: BaFin warns against offers on the website finanzpluss(.)online
finanzpluss, allegedly based in Frankfurt am Main, offers loans on its website for high fees, without the necessary authorisation, which are not paid out.
Sectors:
Topics:
BankFintech
ASIC bans former MWL Financial Services adviser Neil McPherson for 4 years
ASIC bans former MWL Financial Services adviser Neil McPherson for 4 years
Sectors:
Topics:
Wealth Manager
SEC Chair and Nobel prize-winning economist to headline ASIC innovation symposium
SEC Chair and Nobel prize-winning economist to headline ASIC innovation symposium
Sectors:
Topics:
FintechCrypto ExchangeAll Firms
Issuers of securities whose home Member State is Luxembourg pursuant to the Law of 11 January 2008
Situation as at 31 January 2026
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Notifications sent by the CSSF to the competent authorities of other EEA Member States
Situation from January 2025 to January 2026
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Notifications received by the CSSF from the competent authorities of other EEA Member States
Situation from January 2025 to January 2026
Sectors:
Topics:
BankAsset ManagerBroker Dealer
CSSF approvals of prospectuses
Situation from January 2025 to January 2026
Sectors:
Topics:
Asset ManagerBankBroker Dealer
SFC cautions against ramp and dump schemes involving impersonation of stock commentators
No description available.
Sectors:
Topics:
Asset ManagerBroker DealerBank
Foreign Currency Reserves 2026 – Market Notice 10 February 2026
Not for distribution, directly or indirectly, in or into the United States, Canada, Australia, Japan or any other jurisdiction where it is unlawful to distribute this announcement
Sectors:
Topics:
BankBroker DealerAsset Manager
Publication,FSA publishes English translation of monthly magazine, Access FSA No.266
No description available.
Sectors:
Topics:
All Firms
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (February 3, 2026)
No description available.
Sectors:
Topics:
Insurance
FCA takes action against HTX to stop illegal financial promotions
The FCA has begun legal proceedings against global crypto exchange HTX (formerly Huobi) for illegally promoting cryptoasset services to UK consumers. Access documents on this claim on the FCA websiteFirms providing crypto products to UK consumers need to comply with rules which protect consumers from unfair and misleading marketing. Advertising cryptoassets on social media or websites without complying with these rules is a criminal offence.Since the rules came into force in October 2023, the...
Sectors:
Topics:
Crypto Exchange
FCA fines two individuals a combined £108,731 for insider dealing
The FCA has fined Dipesh Kerai and Bhavesh Hirani for insider dealing in shares of Bidstack Group Plc. Mr Kerai has been fined £52,731, and Mr Hirani has been fined £56,000.In December 2021, Mr Hirani was the interim Chief Financial Officer at Bidstack, a company that placed advertising inside video games. This meant he had access to inside information about a major upcoming deal between Bidstack and a large video game publisher.Before it was announced to the public, Mr Hirani passed this con...
Sectors:
Topics:
Broker DealerAsset Manager
Patrick Montagner: Interview with MLex
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
SFC obtains compensation and disqualification orders against former directors of Arta TechFin Corporation Limited
No description available.
Sectors:
Topics:
BankBroker DealerAsset Manager
Active exploitation of vulnerabilities on Ivanti Endpoint Manager Mobile (EPMM)
CVE-2026-1281 & CVE-2026-1340
Sectors:
Topics:
BankWealth ManagerFintech
Former director of NDIS provider charged with dishonesty offences
Former director of NDIS provider charged with dishonesty offences
Sectors:
Topics:
BankWealth ManagerFintech
Development of the balance sheet total and provisional net results of specialised PFS
Situation as at 31 December 2025
Sectors:
Topics:
BankAsset ManagerWealth Manager
Quarterly development of employment in specialised PFS
Situation as at 31 December 2025
Sectors:
Topics:
BankWealth ManagerAsset Manager
Development of the balance sheet total and provisional net results of support PFS
Situation as at 31 December 2025
Sectors:
Topics:
BankAsset ManagerWealth Manager
Quarterly development of employment in support PFS
Situation as at 31 December 2025
Sectors:
Topics:
BankAsset ManagerWealth Manager
Balance sheet total and net result of support PFS
Situation as at 31 December 2025
Sectors:
Topics:
BankAsset ManagerWealth Manager
10 Feb 2026 Read more
10 Feb 2026 Read more
Sectors:
Topics:
BankWealth ManagerFintech
Financial Markets Tribunal upholds the DFSA’s decision to impose a fine on Al…
Financial Markets Tribunal upholds the DFSA’s decision to impose a fine on Al…
Sectors:
Topics:
Broker DealerBankWealth Manager
Publication,FSA Weekly Review No.674 February 9, 2026
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
PSD2 - PSP ICT Assessment – 2026 Campaign related to the financial year 2025
No description available.
Sectors:
Topics:
Payment Provider
Volfor: BaFin warns consumers about the website volfor(.)co
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Volfor and the services it is offering. BaFin suspects the unknown operators of the website volfor(.)co of offering consumers financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankFintechCrypto Exchange
Foreign Currency Reserves 2026 – Market Notice 9 February 2026
Not for distribution, directly or indirectly, in or into the United States, Canada, Australia, Japan or any other jurisdiction where it is unlawful to distribute this announcement
Sectors:
Topics:
BankBroker DealerAsset Manager
Masterminds jailed up to 24 months in securities fraud case involving social media “stock tips” of alleged ramp-and-dump schemes
No description available.
Sectors:
Topics:
Broker DealerBank
The Autorité des Marchés Financiers publishes the findings of its inspections of asset management companies' operational risk management
Supervision Asset management Journalists Investment management companies The Autorité des Marchés Financiers publishes the findings of its inspections of asset management companies' operational risk management
Sectors:
Topics:
Asset ManagerBank
Sharon Donnery: Interview with the Business Post
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
ASIC action sees FIIG Securities ordered to pay $2.5 million over cyber security failures
ASIC action sees FIIG Securities ordered to pay $2.5 million over cyber security failures
Sectors:
Topics:
Broker DealerWealth ManagerAll Firms
Privacy Statement
Privacy Statement
Sectors:
Topics:
BankWealth ManagerAsset Manager
Disclaimer
Disclaimer
Sectors:
Topics:
BankWealth ManagerAll Firms
Service Level Commitments
Service Level Commitments
Sectors:
Topics:
Asset ManagerBankWealth Manager
Useful Links
Useful Links
Sectors:
Topics:
BankAsset ManagerInsurance
FSP Search
FSP Search
Sectors:
Topics:
BankAsset ManagerWealth Manager
Regulated People and Entities
Regulated People and Entities
Sectors:
Topics:
BankAsset ManagerInsurance
Procurement
Procurement
Sectors:
Topics:
BankWealth ManagerFintech
Curatorships
Curatorships
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Language Policy and Services
Language Policy and Services
Sectors:
Topics:
BankAsset ManagerInsurance
Financial Services Tribunal
Financial Services Tribunal
Sectors:
Topics:
BankAsset ManagerInsurance
PAIA and POPIA Requests
PAIA and POPIA Requests
Sectors:
Topics:
BankWealth ManagerAll Firms
Nominee Register
Nominee Register
Sectors:
Topics:
BankWealth ManagerAsset Manager
E-Services
E-Services
Sectors:
Topics:
Asset ManagerInsurance
Subscriptions
Subscriptions
Sectors:
Topics:
BankWealth ManagerFintech
FSCA Speech Competition
FSCA Speech Competition
Sectors:
Topics:
All Firms
FSCA Money Smart Week
FSCA Money Smart Week
Sectors:
Topics:
All Firms
FSCA MyMoney
FSCA MyMoney
Sectors:
Topics:
BankFintechAll Firms
Trustee Toolkit
Trustee Toolkit
Sectors:
Topics:
Insurance
Related Websites
Related Websites
Sectors:
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BankWealth ManagerAsset Manager
Contact Us
Contact Us
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BankWealth ManagerAll Firms
Supervisory Information
Supervisory Information
Sectors:
Topics:
BankAsset ManagerInsurance
Friendly Society
Friendly Society
Sectors:
Topics:
BankAsset ManagerInsurance
Collective Investment Schemes
Collective Investment Schemes
Sectors:
Topics:
Asset ManagerInsurance
FSCA Levies
FSCA Levies
Sectors:
Topics:
BankAsset ManagerInsurance
Comments Portal
Comments Portal
Sectors:
Topics:
BankWealth ManagerAll Firms
Capital Markets
Capital Markets
Sectors:
Topics:
All Firms
Credit Rating Agencies
Credit Rating Agencies
Sectors:
Topics:
BankAsset ManagerInsurance
Retirement Funds
Retirement Funds
Sectors:
Topics:
Asset ManagerInsurance
Collective Investment Schemes and Hedge Funds
Collective Investment Schemes and Hedge Funds
Sectors:
Topics:
Asset ManagerHedge FundBank
Financial Advisory and Intermediary Services
Financial Advisory and Intermediary Services
Sectors:
Topics:
BankAsset ManagerInsurance
Insurers and Microinsurers
Insurers and Microinsurers
Sectors:
Topics:
InsuranceFintech
Submit an enquiry or complaint
Submit an enquiry or complaint
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All Firms
Check if a firm is authorised
Check if a firm is authorised
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Regulated Entities
OVERVIEW
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BankAsset ManagerInsurance
Call Us
Call Us
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InsuranceCrypto ExchangeAll Firms
Contact Us
Contact Us
Sectors:
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BankWealth ManagerAll Firms
CFTC Staff Reissues Letter 25-40 Updating Payment Stablecoin Definition
No description available.
Sectors:
Topics:
BankFintechPayment Provider
WhatsApp groups and trading app: BaFin warns consumers about identity fraud in connection with the use of the app “IB-Kundendienst”
According to the information available to the Federal Financial Supervisory Authority (BaFin), unknown persons are using WhatsApp groups and chats to contact German investors. The initiators of such WhatsApp groups claim to be Bank of America or its branch in Frankfurt am Main. This is a case of identity fraud misusing names of former employees of the institution.
Sectors:
Topics:
BankFintechAll Firms
A Steady Hand: why the Governing Council held rates at 2 per cent this week
In his latest blog, Governor Gabriel Makhlouf explains why the Governing Council kept its main policy interest rate (the deposit facility rate) unchanged at 2% for the fifth consecutive time since June 2025.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Identity fraud: BaFin warns consumers about the company Tradeshark24
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Tradeshark24 and the services it is offering. BaFin suspects the unknown operators of the website tradeshark24(.)com of offering consumers financial, investment and crypto-asset services without the required authorisation. These offers are not provided by Frankfurt Financial Solutions GmbH & Co. KG, Frankfurt, which has no connection to the website tradeshark24(.)com. This is a case of identity fraud.
Sectors:
Topics:
BankWealth ManagerFintech
BaFin warns consumers about the website hashxcapital(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website hashxcapital(.)com. BaFin has information that the website’s operators are using it to offer banking business and/or financial services without the required authorisation. The operators are not supervised by BaFin.
Sectors:
Topics:
BankFintechCrypto Exchange
SFC convenes third Digital Asset Consultative Panel meeting
No description available.
Sectors:
Topics:
Crypto ExchangeFintech
FINMA to relocate its Zurich office from the city centre to Oerlikon
More attractive working conditions and lower operating costs per workstation: FINMA will relocate its Zurich office from the city centre to Zurich-Oerlikon in autumn 2026.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Gemini Payments UK Ltd and Gemini Intergalactic UK Ltd exit the UK market
From 6 April 2026, Gemini is closing all customer accounts in the UK. Gemini Payments UK, Ltd (GPUK) is authorised by the FCA to issue electronic money (e-money) and provide payment services.Gemini Intergalactic UK, Ltd (GIUK) offers cryptoasset products. These activities are not regulated by the FCA, although we oversee compliance in accordance with UK anti-money laundering regulations. On 5 February 2026, GPUK and GIUK confirmed they plan to exit the UK market. Effective 6 April 2026, Gemin...
Effective Date: 6 April 2026
Sectors:
Topics:
Payment ProviderCrypto Exchange
Update on changes to country groupings for International Banking Statistics
This article provides an update regarding implementing changes for country grouping conventions used in statistics covering the international business of monetary financial institutions operating in the UK and the consolidated claims of UK headquartered monetary financial institutions.
Sectors:
Topics:
BankWealth ManagerAll Firms
The AMF awards its 2025 prize for young researchers in economics to Alexandre Madelaine
Institutional Markets Journalists The AMF awards its 2025 prize for young researchers in economics to Alexandre Madelaine
Sectors:
Topics:
Asset ManagerBroker DealerFintech
ASIC cancels AFS and AC licences of Centre Capital Securities for failure to pay industry funding levies
ASIC cancels AFS and AC licences of Centre Capital Securities for failure to pay industry funding levies
Sectors:
Topics:
Broker DealerWealth ManagerAll Firms
List of fund units subject to Regulation 2013/346 on European Social Entrepreneurship Funds (EuSEF)
No description available.
Sectors:
Topics:
Asset ManagerWealth Manager
List of fund units subject to Regulation 2013/345 on European Venture Capital funds (EuVECA)
No description available.
Sectors:
Topics:
Asset ManagerHedge Fund
List of fund units subject to Regulation 2015/760 on European Long-Term Investment Funds (ELTIFs) as amended by Regulation 2023/606
No description available.
Sectors:
Topics:
Asset ManagerWealth Manager
IFM - Tied agent notification and change of tied agent particulars notification form (Updated)
Version 2.1
Sectors:
Topics:
Asset ManagerWealth Manager
The DFSA fines Ark Capital Management (Dubai) Limited USD 504,000 for market…
The DFSA fines Ark Capital Management (Dubai) Limited USD 504,000 for market…
Sectors:
Topics:
Asset ManagerWealth ManagerBank
SEC Publishes Data on Exchange Traded Funds and Fund Mergers; Updated Statistics on Municipal Advisors, Transfer Agents, and Security-Based Swap Dealers
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) has published two new reports on exchange traded funds and fund mergers, and updated statistics and data visualizations on municipal advisors, transfer agents, and…
Sectors:
Topics:
Asset ManagerBroker Dealer
The AMF reminds Digital Asset Service Providers that the transitional period allowing them to continue providing crypto-asset services in France without MiCA authorisation ends on 1 July 2026
MiCA Investment services The AMF reminds Digital Asset Service Providers that the transitional period allowing them to continue providing crypto-asset services in France without MiCA authorisation ends on 1 July 2026
Sectors:
Topics:
Crypto ExchangeFintech
Bank Rate maintained at 3.75% - February 2026 Monetary Policy Summary and Minutes
The Bank of England’s Monetary Policy Committee is responsible for making decisions about Bank Rate.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Reappointment of Claude Marx as Director General of the CSSF
Press release 26/03
Sectors:
Topics:
BankWealth Manager
FCA stops Advantage Wealth Management Ltd from carrying out regulated activities and imposes assets restriction
The FCA has imposed restrictions on independent financial adviser Advantage Wealth Management Ltd (AWM), which means it must not dispose of any assets or conduct any regulated activities without the written consent of the FCA. The action follows concerns that AWM is not being managed in a way that ensures that its affairs are conducted in a sound and prudent manner. We issued a First Supervisory Notice (PDF)on 22 December 2025, outlining further details about our concerns and the basis for im...
Sectors:
Topics:
Wealth Manager
ASIC permanently bans former NSW financial adviser David Valvo
ASIC permanently bans former NSW financial adviser David Valvo
Sectors:
Topics:
Wealth ManagerBank
ASIC takes further steps to support Australians impacted by First Guardian and Shield collapse
ASIC takes further steps to support Australians impacted by First Guardian and Shield collapse
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Others,Updated English version of Reference Cases on Suspicious Transactions
No description available.
Sectors:
Topics:
BankInsuranceAll Firms
Results of the Foreign Exchange Joint Standing Committee (FXJSC) Turnover Survey for October 2025
In October 2025, 25 financial institutions active in the UK foreign exchange (FX) market participated in the semi-annual turnover survey for the Foreign Exchange Joint Standing Committee (FXJSC).
Sectors:
Topics:
BankBroker DealerPayment Provider
FCA and SRA issue joint warning to firms representing motor finance commission claims
The FCA and Solicitors Regulation Authority (SRA) have today issued a joint warning to claims management companies (CMCs) and law firms involved in motor finance commission claims to make sure consumers don’t have multiple representatives for the same claim and are not charged excessive termination fees. The regulators are reminding CMCs and law firms that they are expected to have robust checks in place to confirm consumers have not already instructed another representative. The FCA has also...
Sectors:
Topics:
BankFintechAll Firms
ASIC urges super trustees to step up and address serious gaps in anti-scam and fraud protections
ASIC urges super trustees to step up and address serious gaps in anti-scam and fraud protections
Sectors:
Topics:
BankWealth ManagerAsset Manager
Petra Capital fined for regulatory data reporting failures
Petra Capital fined for regulatory data reporting failures
Sectors:
Topics:
Broker Dealer
Director of Warwick Gold and Impact Gold disqualified from managing corporations for four years
Director of Warwick Gold and Impact Gold disqualified from managing corporations for four years
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC permanently bans Patrick Nong from the financial services industry
ASIC permanently bans Patrick Nong from the financial services industry
Sectors:
Topics:
Wealth Manager
Registration form for meetings with UCI Departments of the CSSF (Updated)
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
Law of 12 July 2013 (consolidated version) (Updated)
on alternative investment fund managers
Sectors:
Topics:
Asset ManagerWealth Manager
Written reply to Parliamentary Questions on Buy Now, Pay Later transactions and the maximum purchase limit for those below 21 years old
Written reply to Parliamentary Questions on Buy Now, Pay Later transactions and the maximum purchase limit for those below 21 years old.
Sectors:
Topics:
BankFintechPayment Provider
Written reply to Parliamentary Question on delays and non-receipt of transaction alerts for fraudulent transactions
Written reply to Parliamentary Question on delays and non-receipt of transaction alerts for fraudulent transactions.
Sectors:
Topics:
BankFintechPayment Provider
Written reply to Parliamentary Question on clearer regulatory guidance on assigning liability for fraudulent transactions
Written reply to Parliamentary Question on clearer regulatory guidance on assigning liability for fraudulent transactions.
Sectors:
Topics:
BankFintechPayment Provider
Oral reply to Parliamentary Question on disputes related to health insurance claims
Oral reply to Parliamentary Question on disputes related to health insurance claims.
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Topics:
InsuranceAll Firms
Superintendent Routledge participates in a fireside chat at the 2026 CatIQ conference
Superintendent Routledge participates in a fireside chat at the 2026 CatIQ conference
Sectors:
Topics:
BankInsurance
The AMF awards its Marie-Josèphe-Vanel thesis prize in law to Vincent Ramonéda
Institutional Regulatory developments Financing the economy Other professionals Journalists Listed companies and issuers The AMF awards its Marie-Josèphe-Vanel thesis prize in law to Vincent Ramonéda
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Asset ManagerBroker DealerBank
Upper Tribunal finds that Banque Havilland devised a plan to harm the Qatari economy
The Upper Tribunal has upheld the FCA’s decision that Rangecourt SA (formerly Banque Havilland), Edmund Rowland, the former London CEO and Vladimir Bolelyy, a former Bank employee, acted without integrity. The Tribunal agreed with the FCA that significant fines should be imposed, deciding that fines of £4m, £352,000 and £14,200 were appropriate for Rangecourt SA, Mr Rowland and Mr Bolelyy respectively. The Tribunal also upheld the FCA’s decision to ban Mr Rowland and Mr Bolelyy from working i...
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Topics:
BankWealth ManagerAsset Manager
The AMF publishes a working group study on structured products
Derivatives or structured products Marketing MIFID The AMF publishes a working group study on structured products
Sectors:
Topics:
Asset ManagerBroker Dealer
Patrick Montagner: Encouraging innovation, managing risks: the ECB’s approach to digital transformation
No description available.
Sectors:
Topics:
BankFintechCrypto Exchange
Publication,FSA Weekly Review No.673 February 3, 2026
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Regulators announce first firms to join Scale-up Unit
The Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) have announced the first cohort of banks and building societies to benefit from their joint Scale-up Unit. The Scale-up Unit announced last year is designed to build stronger ties and provide tailored support for fast-growing and innovative financial firms, helping them to grow sustainably at pace.The 6 firms that expressed interest and have been accepted to the first cohort are:Allica BankClearBankMonument BankNo...
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Topics:
BankFintechAll Firms
Regulators announce first firms to join Scale-up Unit
The Prudential Regulation Authority and Financial Conduct Authority have announced the first cohort of banks and building societies to benefit from their joint Scale-up Unit.
Sectors:
Topics:
BankFintech
Patrick Montagner: Interview with l’Agefi
No description available.
Sectors:
Topics:
BankAsset ManagerInsurance
Falling cost of premium finance saving consumers around £157m a year
People who pay monthly for their insurance are saving around £157m a year, with over half the firms the FCA reviewed as part of a market study lowering the cost of premium finance. Interest rates for premium finance have fallen by an average 4.1 percentage points since 2022, saving consumers £8 on a typical motor policy and £3 on a typical home policy per year. The changes result from regulatory attention, fair value assessments and base rate reductions. The FCA has seen even more significant...
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InsuranceAll Firms
03 Feb 2026 Read more
03 Feb 2026 Read more
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Topics:
BankWealth ManagerFintech
Reply to Adjournment Motion on “Make (Singapore) Equities Great Again” by Mr Chee Hong Tat, Minister for National Development, and Deputy Chairman of MAS, on behalf of Mr Gan Kim Yong, Deputy Prime Minister and Minister for Trade and Industry, and Chairman of MAS, on 3 February 2026
Reply to Adjournment Motion on “Make (Singapore) Equities Great Again” by Mr Chee Hong Tat, Minister for National Development, and Deputy Chairman of MAS, on behalf of Mr Gan Kim Yong, Deputy Prime Minister and Minister for Trade and Industry, and Chairman of MAS, on 3 February 2026.
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Topics:
Asset ManagerBroker DealerWealth Manager
Written reply to Parliamentary Questions on the Shared Responsibility Framework and real-time fraud detection standards expected of financial institutions in Singapore
Written reply to Parliamentary Questions on the Shared Responsibility Framework and real-time fraud detection standards expected of financial institutions in Singapore.
Sectors:
Topics:
BankFintechPayment Provider
Texas Resident to Pay Over $14 million for Misappropriation of Confidential Information, Illegal Kickbacks
No description available.
Sectors:
Topics:
BankBroker DealerHedge Fund
CFTC Designates Xchange Alpha LLC as a Contract Market
No description available.
Sectors:
Topics:
Broker DealerFintech
CFTC Staff Issues Interpretation on Legacy Swap Status
No description available.
Sectors:
Topics:
BankBroker Dealer
Councils,The Expert Panel on the Revision of the Corporate Governance Code (1st meeting) Minutes
No description available.
Sectors:
Topics:
BankWealth ManagerAll Firms
Letter from Ruth Smith on firms’ preparations for the third Resolvability Assessment Framework (RAF) assessment
Letter to Chief Financial Officers of the major UK banks ahead of the third RAF assessment
Sectors:
Topics:
BankAsset ManagerWealth Manager
A study by the AMF finds widespread levels of adoption in artificial intelligence by French financial market participants
Artificial intelligence Innovation Fintech Journalists Investment services providers Investment management companies Listed companies and issuers A study by the AMF finds widespread levels of adoption in artificial intelligence by French...
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Asset ManagerBankFintech
Buy now, pay later: one in seven people lose track of payments
Buy now, pay later: a common practice in online shopping. A survey by BaFin shows that deferring payments can be risky - especially for young consumers.
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FintechPayment Provider
SFC forges stronger industry collaboration to shape a compliant and innovative future
No description available.
Sectors:
Topics:
Broker DealerAsset ManagerBank
BaFin warns consumers about Verto and the services it is offering
The Federal Financial Supervisory Authority (BaFin) suspects the unknown operators of offering consumers financial, investment and cryptoasset services without the required authorisation. Verto is currently offering its services via the website ajadetrpe(.)life.
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Topics:
BankFintechCrypto Exchange
BaFin warns consumers about the website wefi(.)co
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website wefi(.)co. BaFin has information that this website is being used to offer banking business and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankFintechCrypto Exchange
PRA Regulatory Digest - January 2026
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.
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Topics:
BankInsurance
Council Implementing Regulation (EU) 2026/259 of 29 January 2026
implementing Regulation (EU) 2024/2642 concerning restrictive measures in view of Russia’s destabilising activities
Sectors:
Topics:
BankAsset ManagerWealth Manager
Director of WA tiling business charged with making false statement
Director of WA tiling business charged with making false statement
Sectors:
Topics:
BankFintechAll Firms
Outcomes of the 2025 SFTR Data Quality indicators review
The CSSF informs the market regarding the outcomes of the SFTR Data Quality indicators review performed in 2025
Sectors:
Topics:
BankBroker DealerPayment Provider
PCAM: BaFin warns against offers on the website pc-asset-management[.]com, in the app “PCAU pro,” and in WhatisApp groups
In the WhatsApp groups, investors are recommended by “Harrison T Blake” and “Francesca Müller” to invest in financial instruments that can then be traded via the aforementioned app or the platform pc-asset-management[.]com.
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BankWealth ManagerFintech
Processing time of initial authorisations of regulated investment vehicles
No description available.
Sectors:
Topics:
Asset ManagerWealth Manager
02 Feb 2026 Read more
02 Feb 2026 Read more
Sectors:
Topics:
BankWealth ManagerFintech
The DFSA fines reinsurance broker USD 455,176 for engaging in misleading and…
The DFSA fines reinsurance broker USD 455,176 for engaging in misleading and…
Sectors:
Topics:
Broker DealerInsurance
Adgm Registration Authority Publishes Discussion Paper On Crypto Mining Activities
Adgm Registration Authority Publishes Discussion Paper On Crypto Mining Activities
Sectors:
Topics:
Crypto ExchangeFintech
SEC Appoints New Chairman and Board Members to PCAOB
The Securities and Exchange Commission today announced the appointment of Demetrios (Jim) Logothetis, as Chairman, and Mark Calabria, Kyle Hauptman, and Steven Laughton, as Board members, of the Public Company Accounting Oversight Board (PCAOB). George…
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Asset ManagerBroker DealerBank
Others,Stewardship Code: List of institutional investors accepted the Principles for Responsible Institutional Investors as of December 31, 2025
No description available.
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Asset ManagerInsuranceBank
Council Implementing Regulation (EU) 2026/259 of 29 January 2026
implementing Regulation (EU) 2024/2642 concerning restrictive measures in view of Russia’s destabilising activities
Sectors:
Topics:
BankWealth ManagerAsset Manager
SFC directs IPO sponsors to promptly conduct internal reviews to rectify serious deficiencies in the preparation of new listing documents
No description available.
Sectors:
Topics:
Broker DealerBank
Federal Court orders Australian Unity Funds Management to pay $7 million penalty for failing to confirm product suitability for investors
Federal Court orders Australian Unity Funds Management to pay $7 million penalty for failing to confirm product suitability for investors
Sectors:
Topics:
Asset ManagerWealth Manager
Cross Agency Steering Group announces Strategic Priorities for 2026-2028
No description available.
Sectors:
Topics:
BankAsset ManagerAll Firms
Dedicated data entry form for updating investment firm information (Updated)
No description available.
Sectors:
Topics:
Asset ManagerWealth Manager
Media contacts
Media contacts
Sectors:
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BankWealth ManagerAll Firms
Superintendent Routledge participates in a fireside chat at TD Annual Conference
Superintendent Routledge participates in a fireside chat at TD Annual Conference
Sectors:
Topics:
BankAsset ManagerWealth Manager
SAMA Licenses “alhulul almuntilaqa” Company to Provide Consumer Microfinance Solutions
SAMA Licenses “alhulul almuntilaqa” Company to Provide Consumer Microfinance Solutions
Sectors:
Topics:
Fintech
BPS Financial to pay $14 million in penalties over crypto Qoin Wallet
BPS Financial to pay $14 million in penalties over crypto Qoin Wallet
Sectors:
Topics:
Crypto ExchangeFintechPayment Provider
Brendan Gunn pleads guilty to dealing with money reasonably suspected of being proceeds of crime
Brendan Gunn pleads guilty to dealing with money reasonably suspected of being proceeds of crime
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Topics:
BankWealth ManagerFintech
ASIC acts against 28 SMSF auditors, flags increased scrutiny on in-house audit breaches
ASIC acts against 28 SMSF auditors, flags increased scrutiny on in-house audit breaches
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ESMA publishes report on cross-border marketing of funds including statistics on notifications
ESMA publishes report on cross-border marketing of funds including statistics on notifications 06 January 2026 The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has today published its third report on marketing requirements and marketing communications under the Regulation on cross-border distribution of funds . For the first time, the report includes statistics on notifications of cross-border marketing of funds. Drawing on input from ...
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Topics:
Asset ManagerBank
ESMA signs Memorandum of Understanding with the Reserve Bank of India
ESMA signs Memorandum of Understanding with the Reserve Bank of India 27 January 2026 CCP International cooperation The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has signed a Memorandum of Understanding (MoU) with the Reserve Bank of India (RBI) to facilitate cooperation and exchange of information for the recognition of central counterparties (CCPs) established in India and supervised by RBI. This agreement marks a significant step...
Sectors:
Topics:
BankBroker Dealer
CFTC Chairman Lauds Senate Committee Action to Advance Digital Asset Market Structure Legislation
No description available.
Sectors:
Topics:
Crypto ExchangeFintech
CFTC Chair Selig, SEC Chair Atkins: Team Trump readies crypto plan so Americans can count on their future
No description available.
Sectors:
Topics:
Crypto ExchangeFintechAll Firms
Emil the Seal hijacks Waterloo station to warn commuters about investment scams
FCA stunt launches new Firm Checker tool as around 700,000 people lose money to investment scams. Morning commuters at London Waterloo got more than their usual caffeine hit today when a mysterious 'ATM' promising to 'give away a fortune' stopped them in their tracks – and revealed an unexpected surprise.As curious passers-by approached the machine, the screen slid open to unveil Emil the Seal, the FCA's finance-friendly mascot, delivering a blunt message about the dangers of investment scams...
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Topics:
BankWealth ManagerFintech
Issue 1 2026
No description available.
Sectors:
Topics:
Asset ManagerBankHedge Fund
FCA seeks views on how to help close the protection gap
The FCA has called on the insurance industry to help more consumers access products that support them and their families if they become critically ill or die. The interim findings of its competition review of pure protection products found that, for those consumers that have taken out protection insurance, the market mostly works well. There are a wide range of products, most consumers can claim when they need to, and the costs of cover have remained stable in the last few years.But 58% of ad...
Sectors:
Topics:
Insurance
SFC and HKMA jointly consult on standard calculation periods under OTC derivative Clearing Rules
No description available.
Sectors:
Topics:
BankBroker DealerAsset Manager
Form relating to the creation of new share class(es) not requiring a prospectus update (Updated)
No description available.
Sectors:
Topics:
Asset ManagerWealth Manager
Theresa Hinz, Executive Director of Policy and Risk Response, delivers remarks for OSFI’s Quarterly Release Day
Theresa Hinz, Executive Director of Policy and Risk Response, delivers remarks for OSFI’s Quarterly Release Day
Sectors:
Topics:
BankAsset ManagerWealth Manager
OSFI’s Quarterly Release: continuing to advance smart, well-calibrated risk-taking
OSFI’s Quarterly Release: continuing to advance smart, well-calibrated risk-taking
Sectors:
Topics:
BankAsset ManagerWealth Manager
Backgrounder: Consultative document on Senior Leader Accountability
Backgrounder: Consultative document on Senior Leader Accountability
Sectors:
Topics:
BankWealth ManagerAsset Manager
MAS Monetary Policy Statement - January 2026
Read the Monetary Policy Statement for January 2026.
Sectors:
Topics:
BankAsset ManagerWealth Manager
CFTC Announces Tyler S. Badgley as General Counsel
No description available.
Sectors:
Topics:
All Firms
Central Bank of Ireland completes sale of Spencer Dock (East Wing) building to the Office of Public Works
Central Bank of Ireland has successfully completed the sale of its Spencer Dock (East Wing) building to the Office of Public Works for €23.7m. The sale of Spencer Dock was a key element of the Central Bank’s longer term property strategy aligned to our decision to develop a single Dockland Campus through the purchase of our North Wall Quay building and subsequent purchase of our Mayor Street building. This sale of the East Wing, to Office of Public Works on 22 January 2026, follows the earlie...
Sectors:
Topics:
BankAsset ManagerWealth Manager
Looking back on the 2026 CSSF AML/CFT Conference for Specialised PFS
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
2026 AML/CFT Conference dedicated Specialised PFS
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
Frank Elderson: Hearing of the Committee on Economic and Monetary Affairs of the European Parliament
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Claudia Buch: Interview with Milano Finanza
No description available.
Sectors:
Topics:
BankWealth ManagerFintech
28 Jan 2026 Read more
28 Jan 2026 Read more
Sectors:
Topics:
BankWealth ManagerFintech
Singapore to Join International Efforts to Support IMF’s Initiatives for Vulnerable Countries
MAS announced that Singapore intends to join international efforts to enhance the capacity of the International Monetary Fund to help vulnerable member countries deal with economic shocks.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Press Conference “Risks in BaFin’s Focus”, 28 January 2026
Opening Statement by Mark Branson
Sectors:
Topics:
BankFintechCrypto Exchange
SEC Charges ADM and Three Former Executives with Accounting and Disclosure Fraud
The Securities and Exchange Commission today filed settled charges against Archer-Daniels-Midland Company (ADM) and its former executives, Vince Macciocchi and Ray Young, and a litigated action against its former executive Vikram Luthar, for …
Sectors:
Topics:
Broker DealerAsset Manager
CFTC Staff Issues No-Action Letter, Announces Implementation Updates to 2024 Large Trader Reporting Rule
No description available.
Sectors:
Topics:
Broker Dealer
Councils,Joint session of the 56th general meeting of Financial System Council and the 44th meeting of Sectional Committee on Financial System
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
SFC and UAE’s Capital Market Authority sign milestone MoU to strengthen cross-border digital asset collaboration
No description available.
Sectors:
Topics:
Crypto ExchangeFintech
Mills Review to consider how AI will reshape retail financial services
The FCA has launched a review into the implications of advanced AI on consumers, retail financial markets and regulators. The Review will be led by Sheldon Mills and builds on the FCA’s existing work on AI. This includes its AI Discussion Paper, AI Sprint, and AI Lab including AI Live Testing and its groundbreaking Supercharged Sandbox supported by NVIDIA.AI is already embedded across financial services. Rapid advances in generative, agentic and emerging forms of AI mean the next phase of cha...
Sectors:
Topics:
BankWealth ManagerFintech
Guavapay Limited enters compulsory liquidation
On 21 January 2026, Guavapay Limited entered compulsory liquidation. The Official Receiver, an officer of the Insolvency Service, is its liquidator. Guavapay is authorised by the FCA to issue E-money and provide payment services to its customers.On 17 September 2025, Guavapay agreed to a voluntary requirement with the FCA, restricting the activities it can undertake. See details on the Financial Services Register.As liquidator, The Official Receiver is responsible for:Managing customer claims...
Sectors:
Topics:
Payment Provider
CFTC Chairman Selig Announces Alex Titus as Chief Advisor
No description available.
Sectors:
Topics:
Broker DealerFintechCrypto Exchange
Publication,FSA Weekly Review No.672 January 26, 2026
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
CFTC and SEC Reschedule Joint Event on Harmonization, U.S. Financial Leadership in the Crypto Era
No description available.
Sectors:
Topics:
Crypto ExchangeFintech
SEC and CFTC Reschedule Joint Event on Harmonization, U.S. Financial Leadership in the Crypto Era
Securities and Exchange Commission Chairman Paul S. Atkins and Commodity Futures Trading Commission Chairman Michael S. Selig will hold a joint event, previously scheduled for Jan. 27, now rescheduled for Thursday, Jan. 29, from 2 p.m. to 3 p.m. at CFTC…
Sectors:
Topics:
Crypto ExchangeFintech
SFC suspends Choi Sau Wai for seven months
No description available.
Sectors:
Topics:
Broker DealerWealth Manager
SFC suspends Wong Chi Fai for 27 months
No description available.
Sectors:
Topics:
Broker DealerAsset ManagerBank
With 40 Participants, SAMA Receives a Delegation from the Hong Kong Academy of Finance
With 40 Participants, SAMA Receives a Delegation from the Hong Kong Academy of Finance
Sectors:
Topics:
BankWealth ManagerAll Firms
SAMA’s Decision on Repo and Reverse Repo Rates
SAMA’s Decision on Repo and Reverse Repo Rates
Sectors:
Topics:
BankWealth Manager
SAMA Licenses “Tabby finance” Company to Engage in BNPL Activity
SAMA Licenses “Tabby finance” Company to Engage in BNPL Activity
Sectors:
Topics:
FintechPayment Provider
SAMA Licenses “Darb Pay for Information Technology” to Provide Payment Services
SAMA Licenses “Darb Pay for Information Technology” to Provide Payment Services
Sectors:
Topics:
Payment Provider
SAMA Seeks Public Consultation on the Draft Update to the “Oversight Framework for Payment Systems and Their Operators”
SAMA Seeks Public Consultation on the Draft Update to the “Oversight Framework for Payment Systems and Their Operators”
Sectors:
Topics:
Payment Provider
SAMA Revokes the License of “Fas Finance Company”
SAMA Revokes the License of “Fas Finance Company”
Sectors:
Topics:
BankFintech
SAMA Hosts the FSB Plenary Meeting and EMDEs Forum
SAMA Hosts the FSB Plenary Meeting and EMDEs Forum
Sectors:
Topics:
BankAsset ManagerWealth Manager
SAMA Hosts BIS Innovation Summit
SAMA Hosts BIS Innovation Summit
Sectors:
Topics:
BankFintechCrypto Exchange
SAMA Licenses “Madd Balas” Company to Provide Debt-Based Crowdfunding Solutions
SAMA Licenses “Madd Balas” Company to Provide Debt-Based Crowdfunding Solutions
Sectors:
Topics:
BankFintech
Governor of SAMA: 2026 Budget Aims to Enhance Sustainable Economic Growth in the Kingdom
Governor of SAMA: 2026 Budget Aims to Enhance Sustainable Economic Growth in the Kingdom
Sectors:
Topics:
BankWealth ManagerAsset Manager
ASIC acts against ESG investment fund responsible entity alleging governance failures and misleading conduct
ASIC acts against ESG investment fund responsible entity alleging governance failures and misleading conduct
Sectors:
Topics:
Asset ManagerWealth Manager
ASIC cancels Australian financial services licence of Velos Global Markets Pty Ltd
ASIC cancels Australian financial services licence of Velos Global Markets Pty Ltd
Sectors:
Topics:
Broker DealerWealth ManagerAll Firms
ASIC approves Cboe’s listing application to bolster competition in public markets
ASIC approves Cboe’s listing application to bolster competition in public markets
Sectors:
Topics:
Broker DealerAll Firms
ASIC finds many auditors failing to demonstrate compliance with auditor independence obligations
ASIC finds many auditors failing to demonstrate compliance with auditor independence obligations
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Victorian man sentenced in Cann Group insider trading case
Victorian man sentenced in Cann Group insider trading case
Sectors:
Topics:
BankBroker DealerAsset Manager
ASIC Annual Forum to focus on the challenges of a rapidly evolving economy as it returns to Melbourne in November
ASIC Annual Forum to focus on the challenges of a rapidly evolving economy as it returns to Melbourne in November
Sectors:
Topics:
BankAsset ManagerBroker Dealer
ASIC’s annual report reveals strong growth in enforcement action and investigations and keen focus on strengthening markets
ASIC’s annual report reveals strong growth in enforcement action and investigations and keen focus on strengthening markets
Sectors:
Topics:
BankBroker DealerAsset Manager
ASIC bans former Lighthouse Partners director Timothy Archibald for 10 years for fees for no service conduct
ASIC bans former Lighthouse Partners director Timothy Archibald for 10 years for fees for no service conduct
Sectors:
Topics:
Wealth ManagerAll Firms
ASIC cancels AFS licence of CPG Research & Advisory for ceasing business operations and unpaid industry funding levies
ASIC cancels AFS licence of CPG Research & Advisory for ceasing business operations and unpaid industry funding levies
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC flags risks in offshore outsourcing after review identifies governance gaps
ASIC flags risks in offshore outsourcing after review identifies governance gaps
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC sends clear message to super trustees amid glaring retirement communications gaps
ASIC sends clear message to super trustees amid glaring retirement communications gaps
Sectors:
Topics:
Asset ManagerWealth ManagerInsurance
Federal Court orders remaining ALAMMC Group companies wound up
Federal Court orders remaining ALAMMC Group companies wound up
Sectors:
Topics:
BankAsset ManagerWealth Manager
Two former Statewide Super executives acquitted on charges of dishonesty offences
Two former Statewide Super executives acquitted on charges of dishonesty offences
Sectors:
Topics:
BankWealth ManagerAsset Manager
Federal Court dismisses ASIC’s claims against former Freedom Insurance director and consultant
Federal Court dismisses ASIC’s claims against former Freedom Insurance director and consultant
Sectors:
Topics:
InsuranceAll Firms
Directors of Perth-based financial services company charged over five-year failure to lodge financial accounts with ASIC
Directors of Perth-based financial services company charged over five-year failure to lodge financial accounts with ASIC
Sectors:
Topics:
BankWealth ManagerAll Firms
ASIC halts offers of TruePillars Investment Trust
ASIC halts offers of TruePillars Investment Trust
Sectors:
Topics:
Asset ManagerWealth Manager
ASIC permanently bans Noel Northcott from the financial services industry
ASIC permanently bans Noel Northcott from the financial services industry
Sectors:
Topics:
Asset ManagerWealth Manager
Collection agency company director loses appeal against conviction for obtaining a financial advantage by deception
Collection agency company director loses appeal against conviction for obtaining a financial advantage by deception
Sectors:
Topics:
All Firms
ASIC bans MWL financial adviser and investment committee member Wade Spooner for 8 years
ASIC bans MWL financial adviser and investment committee member Wade Spooner for 8 years
Sectors:
Topics:
Wealth ManagerAsset Manager
Queensland director sentenced for making a false or misleading statement to ASIC
Queensland director sentenced for making a false or misleading statement to ASIC
Sectors:
Topics:
BankWealth ManagerAll Firms
ASIC bans former UGC and MWL financial adviser Jovan Videkanic for 7 years
ASIC bans former UGC and MWL financial adviser Jovan Videkanic for 7 years
Sectors:
Topics:
Wealth ManagerAsset Manager
ASIC cancels licence of Wealth Trail Pty Ltd (In Liquidation)
ASIC cancels licence of Wealth Trail Pty Ltd (In Liquidation)
Sectors:
Topics:
Wealth ManagerAll Firms
Auditor of United Global Capital and related entities cancelled by Companies Auditors Disciplinary Board
Auditor of United Global Capital and related entities cancelled by Companies Auditors Disciplinary Board
Sectors:
Topics:
Asset ManagerWealth Manager
RAMS penalised $20 million for widespread compliance failings regarding home loans
RAMS penalised $20 million for widespread compliance failings regarding home loans
Sectors:
Topics:
BankFintech
ASIC secures interim court orders barring Ferras Merhi from financial services activities
ASIC secures interim court orders barring Ferras Merhi from financial services activities
Sectors:
Topics:
Wealth ManagerAsset ManagerBank
Updated ASIC guidance supports digital asset innovation and boosts investor protection
Updated ASIC guidance supports digital asset innovation and boosts investor protection
Sectors:
Topics:
Crypto ExchangeFintech
ASIC secures interim travel restraint orders against Blockchain Global director Ryan Xu
ASIC secures interim travel restraint orders against Blockchain Global director Ryan Xu
Sectors:
Topics:
Crypto Exchange
ASIC bans former Crown Wealth Group director Brendan Rodwell for failing to report fees for no service conduct
ASIC bans former Crown Wealth Group director Brendan Rodwell for failing to report fees for no service conduct
Sectors:
Topics:
Wealth ManagerBank
Construction industry director charged with breach of director’s duties and providing false and misleading documents
Construction industry director charged with breach of director’s duties and providing false and misleading documents
Sectors:
Topics:
BankWealth ManagerAsset Manager
ASIC statement - Clime entities
ASIC statement - Clime entities
Sectors:
Topics:
Asset ManagerWealth Manager
Perth fraudster Chris Marco sentenced to 14 years imprisonment
Perth fraudster Chris Marco sentenced to 14 years imprisonment
Sectors:
Topics:
BankWealth ManagerAsset Manager
ASIC highlights financial reporting and audit findings for FY 2024–25 as part of expanded program of work
ASIC highlights financial reporting and audit findings for FY 2024–25 as part of expanded program of work
Sectors:
Topics:
Asset ManagerBankWealth Manager
ASIC cancels AFS licence of Arrumar Private for licence failures
ASIC cancels AFS licence of Arrumar Private for licence failures
Sectors:
Topics:
Asset ManagerBankWealth Manager
ASIC cancels Australian credit licence of GS-APAC Pty Ltd
ASIC cancels Australian credit licence of GS-APAC Pty Ltd
Sectors:
Topics:
BankFintech
Charges against Dean Scook, former officer of Rock Mining Australia Limited, have been discontinued
Charges against Dean Scook, former officer of Rock Mining Australia Limited, have been discontinued
Sectors:
Topics:
BankWealth ManagerAll Firms
Freezing orders against Gregory Cotton and First Mutual Private Equity continue
Freezing orders against Gregory Cotton and First Mutual Private Equity continue
Sectors:
Topics:
BankWealth ManagerAsset Manager
Cboe Global Markets decision
Cboe Global Markets decision
Sectors:
Topics:
Broker DealerAll Firms
ASIC cancels AFS licence of Ricard Securities
ASIC cancels AFS licence of Ricard Securities
Sectors:
Topics:
Asset ManagerWealth Manager
Former CEO of AI marketing company Metigy pleads guilty to misleading investors and dishonestly using his position
Former CEO of AI marketing company Metigy pleads guilty to misleading investors and dishonestly using his position
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
A roadmap for capital markets to grow our economy
A roadmap for capital markets to grow our economy
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
Prime Super pays ASIC infringement notice alleging misleading statements about tobacco investments
Prime Super pays ASIC infringement notice alleging misleading statements about tobacco investments
Sectors:
Topics:
Asset ManagerWealth ManagerInsurance
HESTA pays ASIC infringement notices alleging misleading statements about carbon emissions
HESTA pays ASIC infringement notices alleging misleading statements about carbon emissions
Sectors:
Topics:
Asset ManagerInsurance
ASIC review raises fresh concerns over risks to retirement savings from poor SMSF advice
ASIC review raises fresh concerns over risks to retirement savings from poor SMSF advice
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC successfully defends special leave application to the High Court by Cigno Australia director Mark Swanepoel and BSF Solutions director Brenton Harrison
ASIC successfully defends special leave application to the High Court by Cigno Australia director Mark Swanepoel and BSF Solutions director Brenton Harrison
Sectors:
Topics:
FintechAll Firms
ASIC drives car finance providers to improve consumer outcomes
ASIC drives car finance providers to improve consumer outcomes
Sectors:
Topics:
BankFintech
Mansa Group director sentenced to imprisonment for more than four years for forgery and dishonesty offences
Mansa Group director sentenced to imprisonment for more than four years for forgery and dishonesty offences
Sectors:
Topics:
BankWealth ManagerAsset Manager
ASIC sues suspended WA mineral exploration company AVZ Minerals and directors for disclosure failures
ASIC sues suspended WA mineral exploration company AVZ Minerals and directors for disclosure failures
Sectors:
Topics:
Broker DealerFintech
ASIC disqualifies NSW hospitality director for five years
ASIC disqualifies NSW hospitality director for five years
Sectors:
Topics:
BankFintechAll Firms
ASIC announces 2026 enforcement priorities
ASIC announces 2026 enforcement priorities
Sectors:
Topics:
BankAsset ManagerInsurance
ASIC takes action against MWL Financial Services, former director Nicholas Maikousis, and Imperial Capital Group Australia over alleged Shield advice failures
ASIC takes action against MWL Financial Services, former director Nicholas Maikousis, and Imperial Capital Group Australia over alleged Shield advice failures
Sectors:
Topics:
Asset ManagerWealth Manager
ASIC sues SQM Research alleging misleading reports related to Shield
ASIC sues SQM Research alleging misleading reports related to Shield
Sectors:
Topics:
Asset ManagerWealth Manager
ASIC sues Interprac over alleged Shield and First Guardian licensee failures
ASIC sues Interprac over alleged Shield and First Guardian licensee failures
Sectors:
Topics:
Wealth ManagerAsset Manager
ASIC suspends AFS licence of Surety Compliance Limited
ASIC suspends AFS licence of Surety Compliance Limited
Sectors:
Topics:
Asset ManagerWealth Manager
Infrabuild companies pay infringement notices for failing to lodge financial reports on time
Infrabuild companies pay infringement notices for failing to lodge financial reports on time
Sectors:
Topics:
BankAsset ManagerWealth Manager
ASIC suspends AFSL of Centurion Capital Limited
ASIC suspends AFSL of Centurion Capital Limited
Sectors:
Topics:
Asset ManagerWealth Manager
QLD shadow director charged with $8m debt factoring fraud involving Bunnings Warehouse
QLD shadow director charged with $8m debt factoring fraud involving Bunnings Warehouse
Sectors:
Topics:
BankWealth ManagerFintech
Sheffield Insurance directors convicted and fined over a five-year financial reporting failure
Sheffield Insurance directors convicted and fined over a five-year financial reporting failure
Sectors:
Topics:
InsuranceAll Firms
ASIC cancels AFS licence of Ivy League Capital
ASIC cancels AFS licence of Ivy League Capital
Sectors:
Topics:
Asset ManagerWealth Manager
Former director of private lending companies permanently banned over fraud conviction
Former director of private lending companies permanently banned over fraud conviction
Sectors:
Topics:
BankFintechAll Firms
ASIC issues DDO stop order against City Finance Lending Pty Ltd
ASIC issues DDO stop order against City Finance Lending Pty Ltd
Sectors:
Topics:
FintechBank
ASIC imposes additional conditions on Learn To Trade to address compliance failures
ASIC imposes additional conditions on Learn To Trade to address compliance failures
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
Cbus ordered to pay $23.5 million penalty for serious failures in processing members death benefits and insurance claims
Cbus ordered to pay $23.5 million penalty for serious failures in processing members death benefits and insurance claims
Sectors:
Topics:
Asset ManagerInsurance
ASIC sues former Electro Optic Systems Holdings director and CEO Ben Greene for breach of director’s duties
ASIC sues former Electro Optic Systems Holdings director and CEO Ben Greene for breach of director’s duties
Sectors:
Topics:
Broker DealerFintech
Defence systems manufacturer Electro Optic Systems Holdings admits to breaching continuous disclosure requirements
Defence systems manufacturer Electro Optic Systems Holdings admits to breaching continuous disclosure requirements
Sectors:
Topics:
All Firms
Super trustees urged to accelerate progress on retirement support for members
Super trustees urged to accelerate progress on retirement support for members
Sectors:
Topics:
Asset ManagerWealth ManagerInsurance
Banned SMSF Auditor charged with continuing to act whilst disqualified and falsifying documents
Banned SMSF Auditor charged with continuing to act whilst disqualified and falsifying documents
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC takes contempt action against David McWilliams and Laura Fullarton over alleged freezing order breaches
ASIC takes contempt action against David McWilliams and Laura Fullarton over alleged freezing order breaches
Sectors:
Topics:
BankWealth ManagerFintech
ASIC calls for feedback on stamp duty and portfolio holdings disclosure requirements for super funds
ASIC calls for feedback on stamp duty and portfolio holdings disclosure requirements for super funds
Sectors:
Topics:
Asset ManagerWealth ManagerInsurance
ASIC suspends AFS licence of Focused Financial Advice following failure to replace key person
ASIC suspends AFS licence of Focused Financial Advice following failure to replace key person
Sectors:
Topics:
Wealth Manager
ASIC calls on Australian companies to adopt better practices to protect whistleblowers
ASIC calls on Australian companies to adopt better practices to protect whistleblowers
Sectors:
Topics:
BankWealth ManagerAll Firms
ASIC issues DDO stop order against FXCM for TMD deficiencies
ASIC issues DDO stop order against FXCM for TMD deficiencies
Sectors:
Topics:
Broker DealerFintech
ASIC sues Diversa Trustees alleging failures relating to First Guardian
ASIC sues Diversa Trustees alleging failures relating to First Guardian
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC takes action against Adelaide-based Colin Oxlade and Spice Capital Partners over unlicensed financial services business
ASIC takes action against Adelaide-based Colin Oxlade and Spice Capital Partners over unlicensed financial services business
Sectors:
Topics:
Asset ManagerWealth Manager
ASIC issues over $2.2 million in infringement notices to 12 large proprietary companies for alleged failure to lodge financial reports
ASIC issues over $2.2 million in infringement notices to 12 large proprietary companies for alleged failure to lodge financial reports
Sectors:
Topics:
BankAsset ManagerWealth Manager
ASIC suspends AFS licence of MW Planning Pty Ltd following failure to replace responsible manager
ASIC suspends AFS licence of MW Planning Pty Ltd following failure to replace responsible manager
Sectors:
Topics:
Wealth Manager
Former CEO of Bruck Textile Technologies has conviction overturned following appeal
Former CEO of Bruck Textile Technologies has conviction overturned following appeal
Sectors:
Topics:
BankWealth ManagerAll Firms
Business lender and loan introducer together penalised $515,000 over credit law breaches
Business lender and loan introducer together penalised $515,000 over credit law breaches
Sectors:
Topics:
BankFintech
Victorian man sentenced in market manipulation case
Victorian man sentenced in market manipulation case
Sectors:
Topics:
Broker DealerAll Firms
ASIC announces transformational package to safeguard Australia’s financial markets in response to ASX Inquiry interim report
ASIC announces transformational package to safeguard Australia’s financial markets in response to ASX Inquiry interim report
Sectors:
Topics:
BankBroker DealerAll Firms
ASIC renews guidance on managing conflicts of interest in financial services
ASIC renews guidance on managing conflicts of interest in financial services
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC bans Sydney mortgage broker for ten years and cancels her Australian credit licence
ASIC bans Sydney mortgage broker for ten years and cancels her Australian credit licence
Sectors:
Topics:
All Firms
Federal Court appoints receivers over the assets of Gregory Raymond Cotton and First Mutual Private Equity Pty Ltd
Federal Court appoints receivers over the assets of Gregory Raymond Cotton and First Mutual Private Equity Pty Ltd
Sectors:
Topics:
Asset ManagerWealth Manager
Netwealth admits to First Guardian failures and agrees to compensate affected members $100 million
Netwealth admits to First Guardian failures and agrees to compensate affected members $100 million
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC cancels AFS licence of Rynco Pty Ltd
ASIC cancels AFS licence of Rynco Pty Ltd
Sectors:
Topics:
Asset ManagerWealth ManagerBank
CADB cancels registration of Sydney auditor for breaching duties across 10 ASX-listed audits
CADB cancels registration of Sydney auditor for breaching duties across 10 ASX-listed audits
Sectors:
Topics:
BankBroker Dealer
NGS blockchain mining companies and unregistered scheme wound up, found operating without a licence
NGS blockchain mining companies and unregistered scheme wound up, found operating without a licence
Sectors:
Topics:
Crypto ExchangeFintech
Macquarie Securities admits to misleading conduct and agrees to pay $35 million for systemic failures
Macquarie Securities admits to misleading conduct and agrees to pay $35 million for systemic failures
Sectors:
Topics:
Broker Dealer
ASIC bans former MWL financial services adviser and former UGC Head of Advice Louis Van Coppenhagen for 7 years
ASIC bans former MWL financial services adviser and former UGC Head of Advice Louis Van Coppenhagen for 7 years
Sectors:
Topics:
Wealth ManagerAsset Manager
Federal Court orders $925,000 in penalties against RM Capital and SMSF Club for conflicted remuneration breaches
Federal Court orders $925,000 in penalties against RM Capital and SMSF Club for conflicted remuneration breaches
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Federal Court orders $250 million combined penalties against ANZ
Federal Court orders $250 million combined penalties against ANZ
Sectors:
Topics:
BankWealth ManagerAll Firms
Market riggers sentenced in ASX ‘pump and dump’ case
Market riggers sentenced in ASX ‘pump and dump’ case
Sectors:
Topics:
Broker DealerCrypto Exchange
Pump and dump scammers put regulators on high alert
Pump and dump scammers put regulators on high alert
Sectors:
Topics:
Broker DealerFintechAll Firms
ASIC sues BDO Audit and its director Dean Just alleging materially false or misleading audit reports
ASIC sues BDO Audit and its director Dean Just alleging materially false or misleading audit reports
Sectors:
Topics:
BankWealth Manager
ASIC suspends Australian credit licence of Transitional Funding Pty Ltd
ASIC suspends Australian credit licence of Transitional Funding Pty Ltd
Sectors:
Topics:
All Firms
Directors of collapsed agri-businesses linked to corruption scandal disqualified for maximum 5-year period
Directors of collapsed agri-businesses linked to corruption scandal disqualified for maximum 5-year period
Sectors:
Topics:
BankWealth ManagerAsset Manager
Richard Ernest Auricht’s liquidator registration cancellation overturned on appeal, substituted with five-year suspension
Richard Ernest Auricht’s liquidator registration cancellation overturned on appeal, substituted with five-year suspension
Sectors:
Topics:
BankWealth ManagerAll Firms
ASIC secures nearly $40 million in refunds to investors and drives change after CFD sector falls short
ASIC secures nearly $40 million in refunds to investors and drives change after CFD sector falls short
Sectors:
Topics:
Broker DealerFintech
Former financial advisor Anthony Torre sentenced to six years imprisonment for fraud and stealing
Former financial advisor Anthony Torre sentenced to six years imprisonment for fraud and stealing
Sectors:
Topics:
Wealth ManagerBank
Former United Global Capital financial adviser Milutin Petrovic’s ban varied to three years
Former United Global Capital financial adviser Milutin Petrovic’s ban varied to three years
Sectors:
Topics:
Wealth ManagerAsset Manager
Fund manager sentenced to 6 years’ jail in $3 million Platinum Asset Management insider trading case
Fund manager sentenced to 6 years’ jail in $3 million Platinum Asset Management insider trading case
Sectors:
Topics:
Asset ManagerBroker Dealer
Chairman Selig to Sponsor the CFTC’s Agricultural Advisory Committee
No description available.
Sectors:
Topics:
BankBroker DealerFintech
New regime for securities and what consumers should look out for
We urge consumers thinking of investing in high-risk securities, such as mini-bonds and loan notes, to continue to be cautious. On 19 January 2026, the Public Offers and Admissions to Trading regime came into force. The regime sets new rules and standards about when an offer of securities to the public can be made.A security is a financial instrument that represents some type of financial value (for example, shares, bonds and stock) that can be traded on a financial exchange.The types of secu...
Sectors:
Topics:
BankWealth ManagerFintech
FCA seeks feedback on further rules for cryptoasset firms
We are seeking views on further rules for cryptoasset firms as the final step in our consultations on our crypto rules. We have made significant progress in delivering our crypto roadmap and are helping firms to meet our standards and get ready for when the gateway opens in September 2026.We have set out our proposals on how the Consumer Duty, conduct standards, redress and safeguarding will apply to cryptoasset firms. We are also seeking feedback on our proposed approach to international cry...
Sectors:
Topics:
Crypto ExchangeFintech
CFTC and SEC to Hold Joint Event on Harmonization, U.S. Financial Leadership in the Crypto Era
No description available.
Sectors:
Topics:
Crypto ExchangeFintech
SEC and CFTC to Hold Joint Event on Harmonization, U.S. Financial Leadership in the Crypto Era
Securities and Exchange Commission Chairman Paul S. Atkins and Commodity Futures Trading Commission Chairman Michael S. Selig will hold a joint event on Tuesday, Jan. 27, from 10 a.m. to 11 a.m. at CFTC headquarters to discuss harmonization between the…
Sectors:
Topics:
BankBroker DealerCrypto Exchange
SEC Small Business Advisory Committee to Continue Discussion on Regulatory Framework for Finders and Begin Exploring the Private Secondary Market
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a public meeting at the SEC Headquarters in Washington, D.C., on Tuesday, Feb. 24, 2026, at 10 a.m. ET. The meeting will also be…
Sectors:
Topics:
Broker DealerFintechCrypto Exchange
SEC Approves 2026 PCAOB Budget and Accounting Support Fee
The Securities and Exchange Commission today approved the 2026 budget for the Public Company Accounting Oversight Board (PCAOB) and the related accounting support fee.The 2026 PCAOB budget totals $362.1 million. The 2026 budget reflects a 9.4% ($37.6…
Sectors:
Topics:
Broker DealerBank
Letter from Claudia Buch, Chair of the Supervisory Board, to Mr Bas Eickhout, MEP, on banking supervision
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
SEC Seeks Candidates for Membership on the Investor Advisory Committee
The Securities and Exchange Commission is seeking candidates for appointment as members of the SEC’s Investor Advisory Committee, established pursuant to Section 39 of the Securities Exchange Act of 1934 to help protect investors and improve securities…
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
Leading Asset Management: BaFin warns consumers about WhatsApp groups and the LAM INT app
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered in WhatsApp groups operated by Leading Asset Management, Denver, USA. BaFin suspects the operators of offering consumers financial, investment and cryptoasset services in these groups without the required authorisation.
Sectors:
Topics:
Asset ManagerFintechCrypto Exchange
BaFin warns consumers about the website skyvault(.)ltd
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website skyvault(.)ltd. 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.
Sectors:
Topics:
BankCrypto ExchangeFintech
Aureus Trade: BaFin warns consumers about the website: aureus-trade(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered by Aureus Trade. BaFin suspects the unknown operators of the website aureus-trade(.)com of offering consumers financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankFintechCrypto Exchange
bxforex(.)com: BaFin warns consumers about website and identity theft
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website bxforex(.)com. According to information available to BaFin, this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankBroker DealerWealth Manager
Rostock24 Limited: BaFin warns consumers about the website Rostock24(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Rostock24 Limited and the services it is offering. BaFin suspects the unknown operators of the website rostock24(.)com of offering consumers financial, investment and cryptoasset services without the required authorisation. Rostock24 Limited, which purportedly has its head office in Nuremberg, claims to be registered with the British Companies House. This is not the case.
Sectors:
Topics:
BankFintechCrypto Exchange
Closing of the 2025 accounts: the AMF flags up points for vigilance and issues recommendations
Financial disclosures & corporate financing Periodic & ongoing disclosures Reporting ESEF Closing of the 2025 accounts: the AMF flags up points for vigilance and issues recommendations
Sectors:
Topics:
BankBroker DealerAsset Manager
List of members of the Consultative Committee for Prudential Regulation (Updated)
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
List of members of the Consultative Committee for the Audit Profession (Updated)
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
List of members of the Capital Markets Committee (Updated)
No description available.
Sectors:
Topics:
BankBroker Dealer
List of members of the Board (Updated)
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
List of members of the Executive Board (Updated)
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
CSSF organisation chart (Updated)
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
Monitoring the quality of transaction reports received under Article 26 of MiFIR
Press release 26/02
Sectors:
Topics:
BankBroker Dealer
SEC Seeks Candidates for Small Business Capital Formation Advisory Committee
The Securities and Exchange Commission is seeking candidates to fill a limited number of vacancies on the agency’s Small Business Capital Formation Advisory Committee, which provides advice and recommendations to the Commission on rules, regulations, and…
Sectors:
Topics:
Broker DealerAsset ManagerAll Firms
bb-consults(.)com: BaFin warns consumers about website and identity fraud
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website bb-consults(.)com. BaFin has information that this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
FintechCrypto ExchangeAll Firms
CSSF Newsletter No 300 - January 2026
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
SFC obtains $595 million compensation order and disqualification orders up to 15 years against three former directors and senior executives of Superb Summit International Group Limited
No description available.
Sectors:
Topics:
BankBroker DealerAsset Manager
Division of Corporation Finance Names Senior Staff
The Securities and Exchange Commission today announced the senior team from the Division of Corporation Finance responsible for advising division Director James Moloney on all matters the division has before the Commission. These include rulemaking…
Sectors:
Topics:
BankBroker DealerWealth Manager
Christina M. Thomas to Rejoin the Division of Corporation Finance as Deputy Director
The Securities and Exchange Commission today announced that Christina M. Thomas will rejoin the Division of Corporation Finance in February as deputy director and chief advisor on disclosure, policy, and rulemaking.“Christina brings her deep technical…
Sectors:
Topics:
All Firms
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (January 9, 2026)
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Chairman Selig: America’s Financial Markets are ready for a Golden Age
No description available.
Sectors:
Topics:
FintechCrypto ExchangeAll Firms
Publication of the update of the ML/FT Sub-Sector Risk Assessment on Specialised Professionals of the Financial Sector providing corporate services (trust and company service provider activities)
No description available.
Sectors:
Topics:
BankWealth ManagerPayment Provider
CFTC Chairman Selig Announces Senior Staff Appointments
No description available.
Sectors:
Topics:
Crypto ExchangeFintech
Resolution Reporting Requirements - track changes
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
BaFin product intervention regarding turbo certificates
No description available.
Sectors:
Topics:
BankBroker DealerAsset Manager
Keith E. Cassidy Named Director of the Division of Examinations
The Securities and Exchange Commission today announced that Keith E. Cassidy has been appointed Director of the Division of Examinations. Mr. Cassidy has served as Acting Director since May 2024 and previously was the division’s Deputy Director, Acting…
Sectors:
Topics:
BankBroker DealerAsset Manager
Publication,FSA Weekly Review No.671 January 20, 2026
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
The AMF publishes the findings of its inspections on the role and involvement of the compliance function at investment services providers
Supervision Compliance Journalists Investment services providers The AMF publishes the findings of its inspections on the role and involvement of the compliance function at investment services providers
Sectors:
Topics:
BankAsset ManagerBroker Dealer
ML/FT Sub-Sector Risk Assessment on Specialised Professionals of the Financial Sector providing corporate services (trust and company service provider activities) (Updated)
2026 update
Sectors:
Topics:
BankWealth ManagerFamily Office
Resolution Reporting Requirements (Updated)
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Deactivated validation rules and EBA small validation packages COFREP (Updated)
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Applications now open for next round of FCA’s AI Live Testing
We have opened applications for the second cohort of our AI Live Testing service. AI Live Testing is the first of its kind in the financial sector to help firms who are ready to use AI in UK financial markets. Participating firms receive tailored support from our regulatory team and our technical partner Advai to develop, assess and deploy safe and responsible AI.The service helps firms to consider key questions around evaluating AI including governance, risk management and monitoring to help...
Sectors:
Topics:
BankFintechAsset Manager
Sharon Donnery: The ECB’s approach to simplification in banking regulation and supervision
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Tribunal upholds ban and fines for corrupt and dishonest adviser
The FCA's decision to ban Darren Antony Reynolds from working in financial services and fine him £2,037,892 has been upheld by the Upper Tribunal. The FCA's decision to ban Darren Antony Reynolds from working in financial services and fine him £2,037,892 has been upheld by the Upper Tribunal.Mr Reynolds was dishonest when he gave pension transfer advice and investment recommendations to his customers, causing them significant harm.Mr Reynolds showed a clear disregard for his customers’ intere...
Sectors:
Topics:
Wealth ManagerAll Firms
Logic Investments Ltd enters special administration
On 16 January 2026, Logic Investments Ltd (Logic Investments) entered special administration. Alex Watkins and Ed Boyle of Interpath Ltd were appointed as joint special administrators. Logic Investments is FCA authorised and regulated to provide wealth management services. On 16 December 2025, Logic Investments agreed to an FCA requirement preventing it from accepting new clients, client money or assets; or moving existing client money or assets without FCA consent. This was done because of c...
Sectors:
Topics:
Wealth Manager
SAMA Decision on Repo and Reverse Repo Rates
SAMA Decision on Repo and Reverse Repo Rates
Sectors:
Topics:
BankWealth Manager
SAMA Updates Implementing Regulation of Finance Companies Control Law
SAMA Updates Implementing Regulation of Finance Companies Control Law
Sectors:
Topics:
BankFintechPayment Provider
SAMA Issues Fees Guide for Financial Institutions’ Services
SAMA Issues Fees Guide for Financial Institutions’ Services
Sectors:
Topics:
BankPayment Provider
SAMA Introduces Electronic Check Clearing System (ECCS) Service on its Website
SAMA Introduces Electronic Check Clearing System (ECCS) Service on its Website
Sectors:
Topics:
BankFintechPayment Provider
ADGM Academy Hosts groundbreaking activities under the theme “Bridging Knowledge & Building the Nation” at ADFW 2025
ADGM Academy Hosts groundbreaking activities under the theme “Bridging Knowledge & Building the Nation” at ADFW 2025
Sectors:
Topics:
BankWealth ManagerFintech
iCapital Expands Global Footprint with New Office in the United Arab Emirates
iCapital Expands Global Footprint with New Office in the United Arab Emirates
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
‘Courage’ Takes Centre Stage at RESOLVE 2025 as Experts Tackle Dispute Resolution in a Digital Era
‘Courage’ Takes Centre Stage at RESOLVE 2025 as Experts Tackle Dispute Resolution in a Digital Era
Sectors:
Topics:
BankWealth ManagerFintech
J.P. Morgan accelerates growth with full-scale Treasury services in ADGM
J.P. Morgan accelerates growth with full-scale Treasury services in ADGM
Sectors:
Topics:
BankWealth Manager
USD 9 Trillion in Assets Commit to ADGM as Abu Dhabi Finance Week Redefines Global Capital Flows
USD 9 Trillion in Assets Commit to ADGM as Abu Dhabi Finance Week Redefines Global Capital Flows
Sectors:
Topics:
Asset ManagerBankWealth Manager
UAE Sustainable Finance Working Group Publishes Fourth Statement During Abu Dhabi Finance Week 2025
UAE Sustainable Finance Working Group Publishes Fourth Statement During Abu Dhabi Finance Week 2025
Sectors:
Topics:
Asset ManagerBankWealth Manager
ADGM Registration Authority Publishes New Commercial Permits Rules for Events, Sales and Promotions and Temporary Commercial Activity
ADGM Registration Authority Publishes New Commercial Permits Rules for Events, Sales and Promotions and Temporary Commercial Activity
Sectors:
Topics:
BankWealth ManagerFintech
ADFW 2025 Delivers its Most Successful Edition, Showcasing Abu Dhabi’s Next Decade of Growth with Over 35,000 Attendees
ADFW 2025 Delivers its Most Successful Edition, Showcasing Abu Dhabi’s Next Decade of Growth with Over 35,000 Attendees
Sectors:
Topics:
BankWealth ManagerFintech
APIAC and Opus 2 Announce Office Openings in the ADGM Dispute Resolution Hearing Centre as Abu Dhabi’s Dispute Resolution Community Expands
APIAC and Opus 2 Announce Office Openings in the ADGM Dispute Resolution Hearing Centre as Abu Dhabi’s Dispute Resolution Community Expands
Sectors:
Topics:
BankWealth ManagerAll Firms
Bank of Palestine Expands Globally after Receiving an In-Principle Approval for a Full Banking License from ADGM Abu Dhabi, UAE
Bank of Palestine Expands Globally after Receiving an In-Principle Approval for a Full Banking License from ADGM Abu Dhabi, UAE
Sectors:
Topics:
Bank
ADGM’s FSRA issues alert concerning fraudulent scheme and false and misleading claims - SGV Advisory FZ LLC or Strategic Global Ventures
ADGM’s FSRA issues alert concerning fraudulent scheme and false and misleading claims - SGV Advisory FZ LLC or Strategic Global Ventures
Sectors:
Topics:
BankWealth ManagerFintech
ADGM’s Registration Authority Reshapes Services in the Real Estate Sector
ADGM’s Registration Authority Reshapes Services in the Real Estate Sector
Sectors:
Topics:
BankWealth ManagerFintech
Media releases
Media releases
Sectors:
Topics:
BankWealth ManagerAsset Manager
Two-five-management.com: BaFin warns about website and identity fraud
The German Financial Supervisory Authority (BaFin) warns about offers from the website two-five-management(.)com. According to information available to BaFin, the unknown operators of the website are offering banking services, in particular fixed-term deposits, and financial services without the required authorisation. They give the impression that their offers originate from TwoFive Management GmbH, which is registered with BaFin as an AIF asset management company, Section 2 (4) of the Germa...
Sectors:
Topics:
BankAsset ManagerWealth Manager
White Rock Financial Consultancy Limited: BaFin warns against offers on the website whiterock-financial(.)eu
The Federal Financial Supervisory Authority BaFin warns against offers on the website whiterock-financial(.)eu and against the alleged operator White Rock Financial Consultancy Limited from London, United Kingdom. According to information available to BaFin, the operator is providing financial and investment services without the required authorisation.
Sectors:
Topics:
BankWealth ManagerFintech
Court approves FCA’s proposals to distribute Asset Land investor funds
On 19 December 2025 the High Court approved the FCA’s proposals to distribute funds to Asset Land investors. The Court has directed the FCA to pay funds to investors in the Asset Land schemes who provide valid bank account details to the FCA on or before 20 February 2026.Investors who have not received previous communications from the FCA or who have not updated their contact information are requested to immediately contact the FCA using the details below.Please ensure this is completed no la...
Deadline: 20 February 2026
Sectors:
Topics:
Asset ManagerWealth Manager
Paragonix Edge: BaFin warns consumers about further Paragonix Edge websites
The Federal Financial Supervisory Authority (BaFin) warns consumers about “Paragonix Edge” and the services it is offering. BaFin suspects the unknown operators of the websites paragonixedge(.)org, hhessel(.)com, funkmp(.)com und altenweerth(.)com of offering consumers cryptoasset services without the required authorisation.
Sectors:
Topics:
Crypto ExchangeBankFintech
COIN Bull Vision: BaFin warns against offers on website coinbullvisionltd(.)com
The Federal Financial Supervisory Authority BaFin warns against offers on the website coinbullvisionltd(.)com. According to information available to BaFin, the trading platform COIN Bull Vision Ltd. (also: COIN Bull Vision GmbH) is providing financial, investment and crypto asset services without the required authorisation.
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Crypto Exchange
FragFinanz: BaFin warns against offers on website fragfinanz(.)com
The Federal Financial Supervisory Authority BaFin warns against offers on website fragfinanz(.)com. According to information available to BaFin, banking transactions, especially fixed-term deposits, financial or investment services are being provided by FragFinanz without the required authorisation.
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BankFintechAll Firms
Identity fraud: BaFin warns against offers on websites ubpmanagement(.)co, commerzglobal(.)com, longsharks(.)com and paribasgroup(.)net
The Federal Financial Supervisory Authority BaFin warns against offers on the websites ubpmanagement(.)co, commerzglobal(.)com, longsharks(.)com and paribasgroup(.)net. According to information available to BaFin, the companies UBP Management and Commerz Global, allegedly based in Frankfurt, and Longsharks Capital and Paribas Group, allegedly based in London, are offering financial or investment services and crypto asset services without the required authorisation. The offers do not originate...
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BankFintechCrypto Exchange
FCA fines oil rig consultant £309,843 for insider dealing
The FCA has fined Russel Gerrity £309,843 for using inside information to net himself £128,765. As a consultant, Mr Gerrity had access to information about whether oil and gas had been discovered during the drilling of wells. Between October 2018 and January 2022, he took advantage of this and used inside information to buy shares in Chariot Oil & Gas Limited and Eco (Atlantic) Oil and Gas Plc ahead of announcements that increased their price. On another occasion, he used inside information t...
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Broker DealerAsset Manager
Central Bank of Ireland and Banca d’Italia launch first joint Innovation Data Challenge
Central Bank of Ireland and Banca d’Italia are launching the Innovation Data Challenge 2026, a joint initiative designed to foster cutting-edge research and innovation in the retail payments sector. The Challenge reflects the shared commitment of the two Institutions to promoting applied research, international collaboration, and the responsible use of data and technology to shape the future of payments. The initiative brings together leading Irish and Italian universities, including Universi...
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FintechPayment Provider
ECB advances climate and nature work after delivering on 2024-2025 plan
No description available.
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BankAsset ManagerWealth Manager
SFC warns public of suspicious AI-themed investment product offered by Gold Fun and Angel Guardian Alliance Technology
No description available.
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Asset ManagerWealth ManagerFintech
Grand-ducal Regulation of 23 December 2022 (consolidated version) (Updated)
relating to the fees to be levied by the Commission de Surveillance du Secteur Financier
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BankAsset ManagerWealth Manager
parex-am(.)com: BaFin warns consumers about website and identity theft
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website parex-am(.)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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BankCrypto Exchange
J. Russell McGranahan Named SEC General Counsel
The Securities and Exchange Commission today announced that J. Russell “Rusty” McGranahan has been named SEC General Counsel. As the SEC’s chief legal officer, Mr. McGranahan will oversee the provision of legal expertise and advice to the Office of the…
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BankAsset ManagerBroker Dealer
Commission Implementing Regulation (EU) 2026/124 of 14 January 2026
amending Council Regulation (EU) No 833/2014 concerning restrictive measures in view of Russia’s actions destabilising the situation in Ukraine
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BankWealth ManagerAsset Manager
BaFin warns consumers about the website ownmoodspace(.)com.
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Own Mood Space and the services it is offering. BaFin suspects the unknown operators of the website ownmoodspace(.)com of offering consumers financial, investment and cryptoasset services without the required authorisation.
Sectors:
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FintechCrypto Exchange
PRA to streamline supervision as part of 2026 priorities
The Prudential Regulation Authority (PRA) has today published its supervisory priorities for 2026, outlining in a letter its sector-specific priorities for the coming year to all banks, building societies, insurers and other PRA-regulated firms.
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BankInsuranceAll Firms
Letter from Gareth Truran and Shoib Khan – Insurance Supervision: 2026 priorities
Letter to Chief Executive Officers of PRA-regulated Insurance firms
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Insurance
Letter from Rebecca Jackson and Alison Scott – International Banks Supervision: 2026 priorities
Letter to Chief Executive Officers of PRA regulated international banks active in the UK
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BankWealth Manager
Letter from Charlotte Gerken and Laura Wallis – UK Deposit Takers Supervision: 2026 priorities
Letter to Chief Executive Officers of PRA regulated UK deposit takers
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Bank
SSM Calendar Claude Wampach – 10/2025
No description available.
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BankWealth ManagerAsset Manager
Five Pillars DeFi: BaFin warns consumers about the website fivepillarstoken(.)com
The Federal Financial Supervisory Authority (BaFin) suspects the unknown operators of the website fivepillarstoken(.)com of offering consumers cryptoasset services in Germany without the required authorisation. The offers include “crypto debit cards” and staking using Five Pillars Tokens.
Sectors:
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Crypto ExchangeFintech
The AMF sets its priorities for 2026 for deeper, safer and more resilient financial markets open to innovation
Strategy Supervision Institutional Other professionals Retail investors Journalists Investment services providers Investment management companies Listed companies and issuers The AMF sets its priorities for 2026 for...
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Asset ManagerBroker DealerBank
Publication,FSA Weekly Review No.670 January 14, 2026
No description available.
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BankFintechCrypto Exchange
Telegram groups and trading app: BaFin warns consumers about identity theft in connection with the apps “NYLI” and “NYLIPLUS”
According to information available to the Federal Financial Supervisory Authority (BaFin), unknown persons are using Telegram groups and chats to contact German investors. The initiators of these messenger groups purport to be the US company “MacKay Shields”. This is a case of identity fraud.
Sectors:
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BankWealth ManagerFintech
WhatsApp groups and trading app: BaFin warns consumers about identity theft in connection with the app “PayDenPro”
According to information available to the Federal Financial Supervisory Authority (BaFin), unknown persons are using WhatsApp groups and chats to contact German investors. The initiators of these WhatsApp groups purport to be the US company “Payden & Rygel”. This is a case of identity theft misusing the names of real employees.
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BankFintechPayment Provider
The European Supervisory Authorities and UK financial regulators sign Memorandum of Understanding on oversight of critical ICT third-party service providers under DORA
The European Supervisory Authorities and UK financial regulators sign Memorandum of Understanding on oversight of critical ICT third-party service providers under DORA 14 January 2026 Digital Finance and Innovation International cooperation The European Supervisory Authorities (EBA, EIOPA and ESMA – the ESAs) have today signed a Memorandum of Understanding (MoU) with the Bank of England (BoE), the Prudential Regulation Authority (PRA), and the Financial Conduct Authority (FCA). This agreement...
Sectors:
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BankAsset ManagerWealth Manager
BaFin warns consumers about the website givhalbank(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website givhalbank(.)com. According to information available to BaFin, this website is being used to offer banking business and financial, investment and cryptoasset services without the required authorisation.
Sectors:
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BankCrypto Exchange
BaFin warns consumers about the website blitz365finance(.)org and identity fraud
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website blitz365finance(.)org. 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 are not supervised by BaFin. This is a case of identity fraud against a Swiss company.
Sectors:
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BankFintechCrypto Exchange
UK and EU regulators sign Memorandum of Understanding to strengthen oversight of critical third parties
The Financial Conduct Authority, Bank of England and Prudential Regulation Authority (UK regulators) have together signed a Memorandum of Understanding (MoU) with the European Supervisory Authorities to enhance cooperation and oversight of critical third parties (CTPs) that fall under the UK’s CTP regime.
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BankAsset ManagerWealth Manager
SFC obtains disqualification order against former executive director of National United Resources Holdings Limited
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
ESMA’s Digital and Data strategies support supervision of EU financial markets
ESMA’s Digital and Data strategies support supervision of EU financial markets 13 January 2026 About ESMA Market data Press Releases The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has adopted a new Digital Strategy and updated its Data Strategy . They reflect ESMA’s commitment to smarter regulatory reporting and technology-driven supervision, promote synergies and innovation while reducing unnecessary complexity. The digital strategy...
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All Firms
International central bankers on the statement by Federal Reserve Chair Powell on 11 January 2026
We stand in full solidarity with the Federal Reserve System and its Chair Jerome H. Powell.
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BankAsset ManagerWealth Manager
Register of EU/EEA Mortgage Credit Intermediaries operating in Luxembourg under the freedom to provide services in accordance with the Mortgage Credit Directive 2014/17/EU (Updated)
No description available.
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Bank
DFSA to host webinar on updated Crypto Token framework and DIFC’s digital assets…
DFSA to host webinar on updated Crypto Token framework and DIFC’s digital assets…
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Crypto ExchangeFintech
Chairman Selig Launches the CFTC Innovation Advisory Committee
No description available.
Sectors:
Topics:
FintechCrypto Exchange
FCA highlights good practice and risks in complex ETPs for retail investors
We reviewed how firms sell complex exchange traded products (ETPs) to retail consumers. Complex ETPs are a subset of the wider ETP market and include high-risk investment strategies that can be difficult for retail consumers to understand.We assessed how firms of different sizes and business models evaluate these products, communicate key risks and monitor outcomes under the Consumer Duty.Given the complexity and risk profile of ETPs, it is essential firms make sure investors have the knowled...
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Asset ManagerBroker DealerWealth Manager
Commission Delegated Regulation (EU) 2026/46 of 3 December 2025
amending Delegated Regulation (EU) 2016/1675 to add Russia to the list of high-risk third countries with strategic deficiencies
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BankAsset ManagerWealth Manager
FINMA publishes guidance on risks associated with the custody of cryptobased assets
In new guidance, the Swiss Financial Market Supervisory Authority FINMA explains how it assesses the risks associated with the custody of cryptobased assets. The guidance sets out the rules that institutions must abide by in order to keep cryptobased assets safe.
Sectors:
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Crypto ExchangeBankFintech
The DFSA implements major updates to Crypto Token Regulatory Framework,…
12 JAN 2026, 07:30 AM The DFSA implements major updates to Crypto Token Regulatory Framework,…
Sectors:
Topics:
Crypto ExchangeFintechAll Firms
SEC to Host Hybrid Event on Regulation S-P for Small Firms
The Securities and Exchange Commission today announced it will hold its third and final outreach event to help firms comply with amendments to Regulation S-P. The event, which is focused on small firms, is open to in-person or virtual attendance, and is…
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Asset ManagerBroker DealerWealth Manager
FCA obtains £265,523.96 confiscation order against Collateral fraudster Andrew Currie
The FCA has secured a confiscation order of £265,523.96 against Andrew Currie. Mr Currie was convicted in 2023 and sentenced to 2 years 6 months imprisonment for defrauding investors through the collapsed peer-to-peer lending platform Collateral (UK) Ltd.He diverted funds from Collateral investors and used them for personal gain, including the purchase of a property in Spain.At a hearing at Southwark Crown Court on 9 January 2026, Mr Currie was ordered to pay £265,523.96. This amount represen...
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BankWealth ManagerFintech
Finfluencers – Tips for responsible promotion
No description available.
Sectors:
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Asset ManagerWealth ManagerBank
SFC obtains court order to freeze up to $85.2 million of assets belonging to suspect traders of Wan Cheng shares
No description available.
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BankBroker DealerWealth Manager
New DFSA Thematic Review: Conflicts of Interest across DIFC Firms
09 JAN 2026, 09:13 AM New DFSA Thematic Review: Conflicts of Interest across DIFC Firms
Sectors:
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Asset ManagerWealth ManagerBank
Identity fraud: BaFin warns against offers on website ellis-ag(.)net
The Federal Financial Supervisory Authority BaFin warns against offers on the website ellis-ag(.)net. According to information available to BaFin, financial or investment services and crypto asset services are being offered on this platform without the required authorisation. According to the current state of knowledge, there is no connection to the Swiss company Ellis AG, Zurich. This is likely to be a case of identity fraud.
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BankFintechCrypto Exchange
SEC Publishes Staff Report on Capital-Raising Dynamics
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation today published and delivered to Congress its 2025 staff report that serves as a comprehensive and data-rich resource on capital-raising dynamics…
Sectors:
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Asset ManagerBroker DealerWealth Manager
CFTC Staff Issues No-Action Letter Regarding Event Contracts
No description available.
Sectors:
Topics:
Broker DealerCrypto Exchange
Asset Purchase Facility: Gilt Sales Amendment – Market Notice 8 January 2026
This Market Notice sets out amendment to the schedule for sales in Q1 2026 of gilts held in the Asset Purchase Facility (APF) for monetary policy purposes.
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BankBroker DealerAsset Manager
Pension value to be put under the spotlight
Pension schemes must now publish transparent data on their performance, costs, and service quality, according to new proposals from the FCA, DWP, and TPR. Pension schemes will need to publish clear data on their performance, costs and quality of service, under proposals announced today by the Financial Conduct Authority (FCA), the Department for Work and Pensions (DWP) and The Pensions Regulator (TPR). If a pension offers poor value, firms and trustees must then fix it by moving savers to bet...
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Asset ManagerWealth ManagerInsurance
2026 fines
This page contains information about fines published during 2026. The total amount of fines so far is £371,700. Firm or individual finedDateAmountReasonRichard Adam07/01/2026£232,800The Final Notice refers to knowing concern in breaches of Article 15 of the Market Abuse Regulations, Listing Rule 1.3.3R, Listing Principle 1 and Premium Listing Principle 2.Zafar Khan07/01/2026£138,900The Final Notice refers to knowing concern in breaches of Article 15 of the Market Abuse Regulations, Listing Ru...
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BankBroker DealerAsset Manager
Alpha Blue Capital und Blue Capital: BaFin warns against offers on the websites bluealphafx(.)com and h5.bluealphasystem(.)net, in the app “BCAAT,” and in WhatsApp groups
In the WhatsApp groups, investors are recommended to invest in financial instruments that can then be traded via the platform h5.bluealphasystem(.)net or the aforementioned app.
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BankWealth ManagerFintech
Cantor: BaFin warns against identity fraud in WhatsApp groups and against app CDAfin
The Federal Financial Supervisory Authority BaFin warns against offers in WhatsApp groups, which are allegedly operated by Cantor Fitzgerald and led by Leopold Schneider. BaFin is not aware of the existence of this person. According to information available to BaFin, recommendations for the purchase of financial instruments and cryptocurrencies, which can allegedly be traded via CDAfin app, are offered in various WhatsApp groups. According to the current state of knowledge, there is no connec...
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BankFintechCrypto Exchange
Future Banking Data: November CFO Roundtable: summary
On 12 November the PRA hosted a roundtable meeting with Chief Financial Officers (CFOs) of systemically important firms operating in the UK, to discuss Future Banking Data (FBD).
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BankAsset ManagerWealth Manager
Capital Holdings: BaFin warns about the website capitalholdings(.)icu
The German Financial Supervisory Authority (BaFin) warns about offers on the website capitalholdings(.)icu. According to information available to BaFin, the unknown operators of the websites are offering banking transactions and financial services without the required authorisation.
Sectors:
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BankFintechAll Firms
Sicherangelegt(.)de: BaFin warns consumers about website
The German Financial Supervisory Authority (BaFin) warns about fixed-term deposit offers from the website sicherangelegt(.)de. According to information available to BaFin, the unknown operators of the website are offering banking services, in particular fixed-term deposits, without the required authorisation.
Sectors:
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BankFintech
Baird Capital: BaFin warns against identity fraud in WhatsApp groups
The Federal Financial Supervisory Authority BaFin warns against offers in WhatsApp groups, which are allegedly operated by Baird Capital and led by a Thomas Becker. BaFin is not aware of the existence of this person. According to information available to BaFin, recommendations for the purchase of financial instruments and cryptocurrencies are offered in WhatsApp groups and the so-called Baird Capital Investment Program III is being promoted. According to the current state of knowledge, there ...
Sectors:
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BankFintechCrypto Exchange
blauline(.)ai: BaFin warns consumers about website
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website blauline(.)ai. BaFin has information that this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
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FintechCrypto ExchangeAll Firms
FCA fines former finance directors of Carillion plc (in liquidation)
The FCA has fined 2 former finance directors for their part in misleading statements being issued by Carillion plc. Richard Adam and Zafar Khan were both aware of serious financial troubles in Carillion’s UK construction business but failed to reflect this in company announcements or alert the Board and audit committee, leading to poor oversight.Mr Adam and Mr Khan have been fined £232,800 and £138,900, respectively. The fines were imposed after Mr Adam and Mr Khan withdrew their challenges t...
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BankWealth ManagerAll Firms
AIFM II: the AMF updates its doctrine to make introducing liquidity management tools easier for UCITS and AIFs
Asset management AIFMD UCIT AIFM II: the AMF updates its doctrine to make introducing liquidity management tools easier for UCITS and AIFs
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Asset ManagerHedge Fund
Global situation of undertakings for collective investment at the end of November 2025
Press release 26/01
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Asset ManagerWealth Manager
Minutes of the UK Money Markets Code Sub-Committee – December 2025
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.
Sectors:
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BankBroker DealerAsset Manager
ESMA publishes report on cross-border marking of funds including statistics on notifications
ESMA publishes report on cross-border marking of funds including statistics on notifications 06 January 2026 The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has today published its third report on marketing requirements and marketing communications under the Regulation on cross-border distribution of funds . For the first time, the report includes statistics on notifications of cross-border marketing of funds. Drawing on input from Na...
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Asset ManagerWealth Manager
PRA Regulatory Digest - December 2025
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.
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BankAsset ManagerWealth Manager
Bit500: BaFin warns consumers about the website bit500(.)eu
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website bit500(.)eu. 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.
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BankFintechCrypto Exchange
ESAs’ Joint Board of Appeal rules on reimbursement of costs in an appeal brought by NOVIS Insurance Company against the European Insurance and Occupational Pensions Authority (EIOPA)
ESAs’ Joint Board of Appeal rules on reimbursement of costs in an appeal brought by NOVIS Insurance Company against the European Insurance and Occupational Pensions Authority (EIOPA) 05 January 2026 Board of Appeal Joint Committee The Joint Board of Appeal (“The Board”) of the European Supervisory Authorities (ESAs) – the EBA, ESMA, EIOPA – has issued its decision on costs arising in the appeal brought by NOVIS Insurance Company, NOVIS Versicherungsgesellschaft, NOVIS Compagnia di Assicurazio...
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Insurance
FCA opens investigation into claims management company
The FCA has opened an enforcement investigation into The Claims Protection Agency Limited (TCPA) following concerns about its advertising and sales tactics in relation to potential motor finance claims. The FCA is investigating what customers were told about the amount of redress they might obtain, whether they were told they could make a claim for free, and whether they were pressurised to sign up.Announcing the investigation allows TCPA customers to consider their options.The FCA has not re...
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All Firms
Berne Financial Services Agreement (BFSA) Operational Direction and Guidelines for UK Insurers’ Section IV Notifications
The Berne Financial Services Agreement (BFSA) is a mutual recognition agreement between the UK and Switzerland, effective from 1 January 2026. This agreement enhances cross-border market access for financial services between the two countries.
Effective Date: 1 January 2026
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Insurance
CFTC Chairman Selig Announces Amir Zaidi as Chief of Staff
No description available.
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BankBroker DealerCrypto Exchange
Main updated figures regarding the financial centre
Extract from the CSSF Newsletter No 300 – January 2026
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BankAsset ManagerWealth Manager
SFC welcomes Process Review Panel Report 2024-25
No description available.
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BankWealth ManagerAsset Manager
TPK Vermögensverwaltungs KG: suspected offer to the public of shares in AuA 24 AG without the required prospectus
The Federal Financial Supervisory Authority (BaFin) has sufficient grounds to suspect that TPK Vermögensverwaltungs KG is offering securities to the public in Germany in the form of shares in AuA 24 AG without the required prospectus. There are no indications that the conditions for exemption from the prospectus requirement are met.
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Asset ManagerWealth Manager
SEC Announces Retirement of Division of Corporation Finance Deputy Director Cicely LaMothe
The Securities and Exchange Commission today announced that Cicely LaMothe, Deputy Director of the Division of Corporation Finance, has retired from the agency.“Cicely has gone above and beyond the call of duty over the past twenty-four years to serve…
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Asset ManagerBroker DealerWealth Manager
SFC withdraws restriction notices to brokers to facilitate return of misappropriated funds to affected parties
No description available.
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Broker DealerWealth ManagerBank
Michael Pettifer Insurance Brokers Limited enters liquidation
On 21 November 2025, Michael Pettifer Insurance Brokers Limited, trading as MPI Brokers, entered creditors’ voluntary liquidation. Robert Cooksey of Bridgestones Limited has been appointed as liquidator. MPI Brokers was authorised and regulated by the FCA to sell and arrange insurance policies. The firm specialised in travel insurance.If you need to contact the liquidator, please contact Bridgestones using the details below:Email: mail@bridgestones.co.ukIn writing: MPI Brokers (In Liquidation...
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Insurance
Minutes of the Meeting of the Court of Directors held on 28 October 2025
The Bank's Court of Directors acts as a unitary board, setting the organisation's strategy and budget and taking key decisions on resourcing and appointments. Required to meet a minimum seven times per year, it has five executive members from the Bank and up to nine non-executive members.
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BankAsset ManagerWealth Manager
App “RBC NL”: BaFin warns against offers in WhatsApp groups and indicates identity fraud at the expense of Robeco
The German Financial Supervisory Authority (BaFin) warns against WhatsApp groups such as „S373 Robeco Kernmitgliedergruppe“, “M2 Robeco Value Investing Kreis“ and „999 Robeco Investment Strategiezentrum - Blockhandel“, which are allegedly operated by the Frankfurt a.M.-based company Robeco Deutschland, Zweigniederlassung der Robeco Institutional Asset Management B.V. („Robeco“). In the WhatsApp groups consumers are enticed to trade financial products via the app „RBC NL“. It is suspected that...
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BankWealth ManagerFintech
Michael Selig Sworn In as 16th CFTC Chairman
No description available.
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BankBroker DealerCrypto Exchange
Acting Chairman Caroline D. Pham Announces Departure from CFTC
No description available.
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BankBroker DealerCrypto Exchange
Acting Chairman Pham Announces New Member of Global Markets Advisory Committee’s Digital Asset Markets Subcommittee
No description available.
Sectors:
Topics:
Crypto Exchange
SEC Charges Three Purported Crypto Asset Trading Platforms and Four Investment Clubs with Scheme That Targeted Retail Investors on Social Media
The Securities and Exchange Commission today filed charges against purported crypto asset trading platforms Morocoin Tech Corp., Berge Blockchain Technology Co. Ltd., and Cirkor Inc. and investment clubs AI Wealth Inc., Lane Wealth Inc., AI Investment…
Sectors:
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Crypto ExchangeBroker DealerAsset Manager
ESMA publishes 2024 data on cross-border investment activity of firms
ESMA publishes 2024 data on cross-border investment activity of firms 22 December 2025 Investor protection The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, in cooperation with National Competent Authorities (NCAs), completed an analysis of the cross-border provision of investment services in 2024 . Data was gathered from investment firms across 30 jurisdictions in the EU/EEA. The main findings include: Around 370 financial firms provid...
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Asset ManagerBroker DealerWealth Manager
Dissolution and judicial liquidation: ALFA ASSET MANAGEMENT (EUROPE) S.A.
Press release 25/21(published on 22 December 2025, updated on 31 December 2025)
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Asset ManagerWealth Manager
Acting Chairman Pham Announces Pilot Program to Unleash American Energy Dominance
No description available.
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Broker DealerCrypto Exchange
CFTC Staff Issues No-Action Letter Regarding CPO Registration for Certain SEC-Registered Investment Advisers
No description available.
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Asset ManagerBroker Dealer
Statement by Acting Chairman Caroline D. Pham on IOSCO Pre-Hedging Report
No description available.
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Broker DealerCrypto Exchange
CFTC Awards Two Whistleblowers More Than $1.8M
No description available.
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Topics:
BankBroker DealerCrypto Exchange
Asset Purchase Facility: Gilt Sales – Market Notice 19 December 2025
This Market Notice sets out the schedule for sales in Q1 2026 of gilts held in the Asset Purchase Facility (APF) for monetary policy purposes.
Sectors:
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BankBroker DealerAsset Manager
AMF 2025 Barometer: in search of autonomy, many French people turn to artificial intelligence when they want to invest
Long term investment Shares Artificial intelligence Retail investors Journalists AMF 2025 Barometer: in search of autonomy, many French people turn to artificial intelligence when they want to invest
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Asset ManagerWealth ManagerFintech
FCA stops Verus Financial Services Limited from carrying out regulated activities and tightens asset restrictions
The FCA has removed all regulatory permissions from Verus Financial Services Limited requiring it to stop conducting all regulated activities and imposed a more stringent assets restriction. The action follows concerns that the firm has repeatedly breached an existing asset restriction, which prevented it from selling, transferring or diminishing its assets without our approval. It also failed to comply with a Financial Ombudsman Service decision. We issued a First Supervisory Notice (PDF) on...
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Wealth ManagerBroker DealerAll Firms
Minutes of the Money Market Committee meeting – December 2025
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.
Sectors:
Topics:
BankBroker DealerAsset Manager
UAE Sustainable Finance Working Group Publishes Fourth Statement During Abu…
19 DEC 2025, 10:55 AM UAE Sustainable Finance Working Group Publishes Fourth Statement During Abu…
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BankAsset ManagerAll Firms
Profit and loss account of credit institutions as at 30 September 2025
Press release 25/20
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Bank
LIAF03/25 – Low Impact Amendments Finalisation December 2025
The PRA has published LIAF03/25, a collection of final low impact rule amendments.
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BankAsset ManagerWealth Manager
Paragonix Edge: BaFin warns consumers about the website paragonixedge(.)app
The Federal Financial Supervisory Authority (BaFin) warns consumers about the website paragonixedge(.)app. BaFin suspects the unknown operators of offering consumers cryptoasset services without the required authorisation.
Sectors:
Topics:
Crypto ExchangeFintech
ESMA selects EuroCTP to become the first Consolidated Tape Provider for shares and ETFs
ESMA selects EuroCTP to become the first Consolidated Tape Provider for shares and ETFs 19 December 2025 Press Releases Trading The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has selected EuroCTP as the first Consolidated Tape Provider (CTP) for shares and exchange-traded funds (ETFs) in the EU, in a step forward for the transparency of equity markets in the EU. Natasha Cazenave, ESMA’s Executive Director, said: “Today’s announcement...
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Asset ManagerBroker Dealer
“The Year That Was and Will Be”
In this, his final blog for 2025, Governor Gabriel Makhlouf reflects on Ireland and the euro area’s economic performance and looks ahead to 2026, drawing on the Quarterly Bulletin and latest eurosystem staff projections published this week.
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BankAsset ManagerWealth Manager
Greater flexibility to be given for setting future contactless limits
People could find it easier to pay using contactless, thanks to greater flexibility and the removal of red tape by the FCA. Banks and payment providers with strong fraud controls will be able to set their own limit for contactless payments, allowing them to better respond to changing consumer demands, inflation and new technology. They are also being encouraged to let customers set their own limit, or turn contactless off altogether, as many high street banks already do. People are using cont...
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BankPayment Provider
List of supervised entities - cut-off date 1 November 2025
No description available.
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BankAsset ManagerWealth Manager
BaFin warns consumers about series of platforms
The Federal Financial Supervisory Authority (BaFin) warns customers about online trading platforms that use the slogan “[...] invest your money in the world of cryptocurrencies with [...]”. BaFin suspects the unknown operators of offering consumers cryptoasset services without the required authorisation. The websites have the same text design and layout.
Sectors:
Topics:
Crypto ExchangeFintech
ECB launches fast-track assessments for capital and securitisation
No description available.
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Bank
Guide on the notification of significant risk transfer and implicit support for securitisations
No description available.
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BankAsset ManagerBroker Dealer
Quarterly Bulletin 2025:4 Prudent ambition needed as multinational investment underpins more positive growth outlook
MDD is projected to grow by just below 4 per cent in 2025. From 2026 to 2028, MDD is forecast to grow at an annual average rate of 2.9 per cent per annum. More positive momentum in MNE investment amid lower uncertainty contrasts with slower pace of growth in domestic sectors and cooling of the labour market as drag from capacity constraints becomes evident. Outlook for slightly higher overall inflation, as underlying services price growth more persistent at a higher rate than pre-pandemic. Th...
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BankAsset ManagerWealth Manager
CFTC Staff Seek Public Comment on Direct Clearing by Retail Participants
No description available.
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Broker DealerCrypto Exchange
CFTC Obtains Judgment Against Wisconsin Man for Fraud, Misappropriation Scheme
No description available.
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BankBroker DealerCrypto Exchange
Identity fraud: BaFin warns against offers from Ambassador Management GmbH, Ambassador Financial Group Ltd. and Ambassador Global Systems LLC
The Federal Financial Supervisory Authority BaFin warns against offers, in particular offers to purchase shares and alleged pre-IPO shares, which are purportedly brokered by Ambassador. According to information available to BaFin, Ambassador Management GmbH, supposedly based in Frankfurt am Main, Ambassador Financial Group Ltd. and Ambassador Global Systems LLC are providing financial or investment services without the required authorisation. According to the current state of knowledge, there...
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BankWealth ManagerFintech
Artificial Intelligence Consortium minutes – October 2025
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.
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BankAsset ManagerWealth Manager
Exchange of letters between the Governor and the Chancellor regarding CPI Inflation - December 2025
Exchange of letters between the Governor and the Chancellor
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BankAsset ManagerWealth Manager
Monetary Policy Committee dates for 2027
Provisional dates for Monetary Policy Committee (MPC) announcements on Bank Rate and publication of MPC meeting minutes and the quarterly Monetary Policy Report.
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BankAsset ManagerWealth Manager
Bank Rate reduced to 3.75% - December 2025 Monetary Policy Summary and Minutes
The Bank of England’s Monetary Policy Committee is responsible for making decisions about Bank Rate.
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BankWealth ManagerAsset Manager
Senvix: BaFin warns against offers on website senvix(.)de
The Federal Financial Supervisory Authority BaFin warns against offers on the website senvix(.)de. According to information available to BaFin, the trading platform Senvix, allegedly based in Frankfurt, is providing financial, investment and crypto asset services without the required authorisation.
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Crypto ExchangeFintech
Krypto Holdings Ltd: BaFin warns against offers on the website krypto-holdings(.)com
Krypto Holdings Ltd., allegedly based in Frankfurt am Main and Widnau, Switzerland, offers crypto asset services on its website krypto-holdings(.)com and via unsolicited telephone calls and emails. The necessary authorisation for this has not been granted.
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Crypto ExchangeFintech
Joshua T. White Named SEC Chief Economist
The Securities and Exchange Commission today announced that financial economist and academic scholar Dr. Joshua T. White will return to the agency beginning the week of Jan. 5, 2026, to serve as its Chief Economist and Director of the Division of…
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Asset ManagerBroker DealerBank
SEC Office of the Investor Advocate Delivers to Congress Report on Activities for Fiscal Year 2025
The Securities and Exchange Commission’s Office of the Investor Advocate today delivered its Report on Activities for the Fiscal Year 2025 to Congress, highlighting the initiatives and work of the office during the fiscal year.The report includes:An…
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Asset ManagerBroker DealerCrypto Exchange
ECB proposes to extend Frank Elderson’s term as Vice-Chair of the Supervisory Board
No description available.
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BankAsset ManagerWealth Manager
Index-linked Treasury Stock
Index-linked treasury stocks are gilts issued by the UK Government. They pay out twice a year, with the amount indexed to the Retail Prices Index.
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BankAsset ManagerBroker Dealer
Issue 9 2025
No description available.
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Asset ManagerBankWealth Manager
China All Access former executive jailed for false trading
No description available.
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Broker DealerBankWealth Manager
ESMA reviews impact of Guidelines on ESG or sustainability related terms in fund names
ESMA reviews impact of Guidelines on ESG or sustainability related terms in fund names 17 December 2025 Risk monitoring Sustainable finance The European Securities and Markets Authority (ESMA), the EU’s financial market regulator and supervisor, released research today assessing the impact of its fund naming guidelines on ESG and sustainability-related terms. The study found that ESMA’s Guidelines have: Improved consistency in the use of ESG terms by increasing alignment of fund names and the...
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Asset ManagerWealth ManagerAll Firms
ECB publishes supervisory banking statistics on significant institutions for the third quarter of 2025
No description available.
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BankAsset ManagerWealth Manager
Supervisory Banking Statistics for significant institutions - Third quarter 2025
No description available.
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BankAsset ManagerWealth Manager
Open banking: a year of progress
Open banking in the UK is growing rapidly. Latest industry figures show there are more than 16 million users now benefiting from the service. The number of open banking payments has soared by 53% year on year, reflecting a significant shift in how consumers and businesses manage their finances.See the API performance statsA key driver of this transformation is the rise of variable recurring payments (VRPs), which now account for 16% of all open banking transactions. VRPs allow consumers and b...
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BankFintechPayment Provider
Bespoke market risk rules could unlock growth
We’re seeking feedback on whether tailored market risk rules for non-bank trading firms could remove unnecessary barriers, free up capital and attract new market participants, ultimately supporting economic growth. The rules in place today were originally designed for banks to ensure they held enough capital to absorb major trading losses and protect depositors.While that approach is sensible, it means non-bank trading firms face the same standards even though the potential harm from their fa...
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Broker DealerHedge Fund
FCA seeks feedback on proposals for UK crypto rules
We are asking for views on new proposals as the next step in shaping the UK’s crypto rules. These proposals continue our progress towards an open, sustainable and competitive crypto market that people can trust. We want a market where innovation can thrive, but where people understand the risks. Regulation cannot – and should not – remove all risk. Instead, it should make sure anyone investing in crypto does so with their eyes open.Our proposals apply a similar approach to crypto as we do in ...
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Crypto ExchangeFintech
FINMA launches consultation on partially revised Circular 2016/7 “Video and online identification”
On 16 December 2025, the Swiss Financial Market Supervisory Authority FINMA launched the consultation on the partially revised Circular 2016/7 “Video and online identification”. The consultation will go on until 27 February 2026.
Deadline: 27 February 2026
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BankWealth ManagerFintech
FCA announces new members of its Sustainable Finance Advisory Committee
Earlier this year, we undertook a refresh of our Sustainable Finance Advisory Committee. In line with good governance, we planned to refresh the membership on a staggered basis, allowing us to bring in new expertise whilst benefiting from some continuity. Following this process, we are pleased to announce the appointment of two new members to the Committee:Elly Dowding, Director of ESG AccordFarnam Bidgoli, Independent AdviserThese appointments reflect our commitment to drawing on diverse exp...
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Asset ManagerWealth ManagerAll Firms
DFSA issues updated rules on the regulation of Crypto Tokens in the DIFC
15 DEC 2025, 03:03 PM DFSA issues updated rules on the regulation of Crypto Tokens in the DIFC
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Crypto ExchangeFintech
FCA sets out plans to help build mortgage market of the future
First-time buyers and the self-employed could get a step-up onto the housing ladder, under new plans from the FCA. Its priorities for reforms to the mortgage market also include helping homeowners unlock housing wealth for a more comfortable later life.The FCA will focus on 4 areas:First-time buyers & underserved consumers: Simplifying mortgage rules to allow more flexible products that reflect different working patterns and income levels at different stages of life.Later-life lending: Review...
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BankFintech
The AMF examines the transparency of executive succession plans as part of its 2025 Corporate Governance Report
Governance Annual report Executive & other private individuals Journalists Listed companies and issuers The AMF examines the transparency of executive succession plans as part of its 2025 Corporate Governance Report
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BankAsset ManagerWealth Manager
FCA confirms final guidance to tackle serious non-financial misconduct in financial services
We're providing guidance to support firms to tackle bullying, harassment and violence in financial services, after they asked for additional support. In July, we changed our rules – setting clearer standards for how financial services firms should address non-financial misconduct.This more closely aligned the rules for banks and non-banks. We wanted to give firms the confidence to act against serious misconduct, drive consistency and make it clearer when non-financial misconduct is a breach o...
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BankWealth ManagerAll Firms
ECB to assess banks’ stress testing capabilities to capture geopolitical risk
No description available.
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BankAsset ManagerWealth Manager
Notice of Consultation Paper Release: CP 169
11 DEC 2025, 06:08 PM Notice of Consultation Paper Release: CP 169
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BankWealth ManagerAsset Manager
Notice of Amendments to Legislation: December 2025
11 DEC 2025, 05:55 PM Notice of Amendments to Legislation: December 2025
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BankWealth ManagerAsset Manager
Issue 8 2025
No description available.
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Asset ManagerBankWealth Manager
David Roberts reappointed as Chair of the Bank of England’s Court of Directors and Dame Anne Glover and Diana Noble reappointed as Non‑Executive Directors
David Roberts has been reappointed as Chair of the Court of the Bank of England by His Majesty the King
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BankWealth Manager
The AMF adapts its policy on complex financial products in response to the rise of crypto-assets
MiCA Crypto-assets Financial products Marketing Journalists Investment management companies Listed companies and issuers The AMF adapts its policy on complex financial products in response to the rise of crypto-assets
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Crypto ExchangeAsset ManagerFintech
Governing Council proposes simplification of EU banking rules
No description available.
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BankAsset ManagerWealth Manager
Streamlining supervision, safeguarding resilience: the ECB’s agenda for more effective, efficient and risk-based European banking supervision
No description available.
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BankAsset ManagerWealth Manager
SEC Charges Canadian Citizen With Fraud Schemes That Targeted Retail Investors on Discord
The Securities and Exchange Commission today charged Canadian citizen Nathan Gauvin and three entities he controls—Blackridge, LLC, Gray Digital Capital Management USA, LLC, and Gray Digital Technologies, LLC—with orchestrating two fraudulent securities…
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Broker DealerCrypto Exchange
SEC Announces Agenda and Panelists for Roundtable on Rule 611 of Regulation NMS
The Securities and Exchange Commission today announced the agenda and panelists for its Dec. 16, 2025, roundtable on Rule 611 of Regulation NMS and other associated rules and regulatory requirements.The roundtable will be held at the University of Austin…
Sectors:
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Broker DealerAll Firms
PRA letter to the Prime Minister - December 2025
The Prudential Regulation Authority’s (PRA) update to the Prime Minister on work to support economic growth.
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BankAsset ManagerWealth Manager
CFTC Obtains Over $2M Restitution for Victims of Precious Metals, Foreign Currency Pool Fraud
No description available.
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Broker DealerAsset ManagerBank
Hedwig Ulmer Busenhart joins FINMA’s Executive Board
The Board of Directors of the Swiss Financial Market Supervisory Authority FINMA has appointed Hedwig Ulmer Busenhart as the new Head of the Insurance division. The qualified mathematician and actuary has over 25 years of management experience in the insurance sector and will take up her position on 1 April 2026. She succeeds Birgit Rutishauser, who left FINMA in April 2025.
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Insurance
Minutes of the London FXJSC Operations Sub-Committee Meeting – 18 September 2025
The Bank of England chairs the London Foreign Exchange Joint Standing Committee (FXJSC) Operations Sub-Committee. The FXJSC is made up of market participants, infrastructure providers and the UK financial regulators.
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BankBroker DealerPayment Provider
Minutes of the London FXJSC Legal Sub-committee Meeting – 17 September 2025
The Bank of England chairs the London Foreign Exchange Joint Standing Committee (FXJSC) Legal Sub-Committee. The FXJSC is made up of market participants, infrastructure providers and the UK financial regulators.
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BankBroker DealerFintech
Minutes of the London FXJSC Main Committee Meeting – 25 September 2025
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.
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BankBroker DealerPayment Provider
SEC Announces Departure of OIEA Director Lori J. Schock
The Securities and Exchange Commission today announced that Lori J. Schock, who has served as the Director of the Office of Investor Education and Assistance (OIEA) since 2009, will retire from the agency at the end of December.“I have known Lori for…
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Asset ManagerBroker DealerWealth Manager
Update to lending and deposit spread of the Operational Standing Facility – Market Notice 8 December 2025
In line with the Bank's transition to a repo-led, demand-driven operational framework for providing reserves, the Bank is today announcing a reduction in the spread to Bank Rate of the Operational Standing Facility (OSF). This Market Notice confirms the new, recalibrated spread of the OSF at Bank Rate +15bps for the lending facility and Bank Rate -15bps for the deposit facility. As with all SMF facilities, the OSFs are 'open for business' and should be used by SMF participants for the purpose...
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BankWealth ManagerAsset Manager
Read more
08 Dec 2025 Read more
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BankAsset ManagerBroker Dealer
ECB concludes asset quality review of Raiffeisen-Holding Niederösterreich-Wien
No description available.
Sectors:
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Bank
The Digital Euro: shaping the future while preserving trust
In this blog, Governor Gabriel Makhlouf writes about the development of the Digital Euro and how central banks foster trust and safety in the financial system and in the implementation of projects like the Digital Euro.
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BankFintechCrypto Exchange
Notice of Amendments to Legislation December 2025
05 DEC 2025, 02:37 PM Notice of Amendments to Legislation December 2025
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BankAsset ManagerBroker Dealer
SEC Announces Agenda and Panelists for Roundtable on Financial Surveillance and Privacy
The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its rescheduled Roundtable on Financial Surveillance and Privacy.“New technologies give us a fresh opportunity to recalibrate financial surveillance…
Sectors:
Topics:
BankBroker DealerCrypto Exchange
SEC to Host Webinar for Transfer Agents on Regulation S-P
The Securities and Exchange Commission today announced it will hold the second in its series of compliance outreach events regarding the 2024 adoption of amendments to Regulation S-P. The event, for transfer agents, is a webinar scheduled for December 17…
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Broker DealerAsset Manager
Regulators announce plans to support growth of mutuals sector
A raft of new measures designed to support the growth of the mutuals sector have been announced today by the financial regulators. They include a review of credit union regulations and the launch of a Mutual Societies Development Unit by the Financial Conduct Authority (FCA).
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BankWealth ManagerFintech
Mutuals landscape report
This report has been informed by the PRA and FCA’s ongoing regulation and supervision of mutuals and by direct engagement with mutuals and their trade associations in sessions around the country throughout 2025.
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BankAsset ManagerWealth Manager
The Autorité des Marchés Financiers takes note of the Cour de Cassation ruling in the Vivendi SE case
Financial disclosures & corporate financing Journalists Listed companies and issuers The Autorité des Marchés Financiers takes note of the Cour de Cassation ruling in the Vivendi SE case
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BankBroker DealerAsset Manager
Bank of England launches system-wide exploratory scenario exercise focused on private markets
The Bank of England (the Bank) has today launched its second system-wide exploratory scenario (SWES) exercise. This will focus on how the private markets ecosystem operates under stress and the potential implications for UK financial stability and the UK real economy.
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BankAsset ManagerWealth Manager
Rémi Bouchez, the new Ombudsman of the Autorité des Marchés Financiers
Mediation Appointment Institutional Other professionals Executive & other private individuals Retail investors Journalists Investment services providers Investment management companies Listed companies and issuers ...
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Asset ManagerBroker DealerWealth Manager
Global situation of undertakings for collective investment at the end of October 2025
Press release 25/19
Sectors:
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Asset ManagerWealth Manager
Financial Policy Committee Record - December 2025
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.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Remit and recommendations for the Financial Policy Committee – November 2025
Exchange of letters between the Governor and the Chancellor
Sectors:
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BankAsset ManagerWealth Manager
PRA Regulatory Digest - November 2025
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.
Sectors:
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BankAsset ManagerWealth Manager
Supply-chain attack using NPM packages
Press release 25/18
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BankFintechAll Firms
Other systemically important institutions (O-SII) buffer rates for ring-fenced banks, large domestic banks, and large building societies
The PRA has set the 2025 O-SII buffer rates for ring-fenced banks, large domestic firms, and large building societies
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Bank
2025 list of UK headquartered Globally Systemically Important Institutions (G-SIIs)
The PRA disclosure of UK headquartered G-SIIs for 2025.
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BankWealth ManagerAsset Manager
2025 list of UK firms designated as Other Systemically Important Institutions (O-SIIs)
The PRA has published the list of designated O-SIIs for 2025
Sectors:
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BankWealth ManagerAll Firms
Prudential Regulation Authority (PRA) annual assessment of the Credit Union sector
This letter sets out the key findings from our annual assessment and the actions we expect you to take.
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Topics:
Bank
Deep, liquid, and transparent (DLT) assessment for January 2026 implementation
The table below shows the outcomes of the annual DLT assessment for PRA relevant currencies, which will be effective from 1 January 2026.
Effective Date: 1 January 2026
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BankAsset ManagerWealth Manager
Patrick Montagner: Supervision in uncertain times: vigilance, governance and the case for effective supervision
No description available.
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BankAsset ManagerWealth Manager
Swiss Takeover Board: Beat Fellmann’s term of office extended by one year
The Board of Directors of the Swiss Financial Market Supervisory Authority FINMA has extended Beat Fellmann’s term of office by one year until the end of 2026.
Sectors:
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BankWealth Manager
The Autorité des Marchés Financiers has amended its doctrine to clarify its expectations of ELTIFs
Asset management Collective investments The Autorité des Marchés Financiers has amended its doctrine to clarify its expectations of ELTIFs
Sectors:
Topics:
Asset Manager
New DFSA Thematic Review: Continuing Professional Development for Money…
27 NOV 2025, 10:25 AM New DFSA Thematic Review: Continuing Professional Development for Money…
Sectors:
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Asset ManagerWealth ManagerBank
DFSA and HKMA co-host second Joint Climate Finance Conference, showcasing…
26 NOV 2025, 03:15 PM DFSA and HKMA co-host second Joint Climate Finance Conference, showcasing…
Sectors:
Topics:
BankAsset ManagerFintech
Remit for the Monetary Policy Committee - November 2025
Letter from the Chancellor to the Governor
Sectors:
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BankWealth ManagerAsset Manager
Issue 7 2025
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
Ex-post evaluation of Circular 2019/2 “Interest rate risks – banks”
The Swiss Financial Market Supervisory Authority FINMA is today publishing its ex-post evaluation report on the requirements for interest rate risk management in the banking book. The evaluation has shown that the supervisory practice has essentially been successful and that the objectives have been achieved. Specific improvements will be made as part of a partial revision of Circular 2019/2, which is planned from 2026. The interest rate shock scenarios updated by the Basel Committee on Banki...
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BankAsset ManagerWealth Manager
Cristina Martin Firvida to Conclude Tenure as Investor Advocate
The Securities and Exchange Commission today announced that Cristina Martin Firvida, who has served as the Director of the Office of the Investor Advocate since January 2023, will conclude her tenure with the agency at the end of January 2026. As…
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Asset ManagerWealth ManagerBroker Dealer
SEC Investor Advisory Committee to Host Dec. 4 Meeting on Regulatory Changes in Corporate Governance, the Tokenization of Equity Securities
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on Dec. 4, 2025, at 10 a.m. ET. The meeting will be webcast on the SEC website.The committee will host two panels:Regulatory Changes in Corporate…
Sectors:
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Broker DealerCrypto ExchangeAll Firms
FCA recognises the revised FX Global Code and UK Money Markets Code
The Bank of England welcomes the Financial Conduct Authority (FCA) recognition of the 2024 versions of the FX Global Code and UK Money Markets Code under its code recognition scheme.
Sectors:
Topics:
BankBroker DealerPayment Provider
Life Insurance Stress Test 2025 results: Annex 4 – insurer-specific results
This is the first exercise conducted under the new Solvency UK regulatory regime implemented in 2024.
Sectors:
Topics:
Insurance
SEC Announces New Date and Time for Roundtable on Financial Surveillance and Privacy
The Securities and Exchange Commission’s Crypto Task Force has rescheduled its Financial Surveillance and Privacy Roundtable, previously scheduled for October, to Monday, Dec. 15, 2025.“I am looking forward to getting this event back on the calendar…
Sectors:
Topics:
BankBroker DealerCrypto Exchange
SEC Announces Roundtable on Rule 611 of Regulation NMS at the University of Austin
The Securities and Exchange Commission announced today that it will hold a roundtable on Dec. 16, 2025, to discuss Rule 611 of Regulation NMS and other, associated rules and regulatory requirements. This roundtable is a follow-up to the SEC’s Sept. 18,…
Sectors:
Topics:
Broker DealerAll Firms
Pedro Machado: Fireside chat
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Statement on the Bank’s Black Heritage Sponsored Internship
Statement from the Bank of England
Sectors:
Topics:
BankWealth ManagerAsset Manager
TIBER-EU guide - How to implement the TIBER-EU framework for the DORA TLPT of significant institutions
No description available.
Sectors:
Topics:
BankFintechCrypto Exchange
DFSA hosts 2025 Annual Outreach for over 500 industry leaders – addressing…
19 NOV 2025, 02:00 PM DFSA hosts 2025 Annual Outreach for over 500 industry leaders – addressing…
Sectors:
Topics:
BankWealth ManagerFintech
Claudia Buch: The evidence is in: resilient banks build Europe’s growth on solid ground
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
ECB appoints three Directors General for banking supervision
No description available.
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Topics:
Bank
Federal Council appoints new member to FINMA’s Board of Directors
The Federal Council has appointed Katia Villard to the Board of Directors of the Swiss Financial Market Supervisory Authority FINMA. A professor of criminal law, Ms Villard will succeed Ursula Cassani Bossy who is stepping down from FINMA's Board of Directors at the end of the year.
Sectors:
Topics:
BankWealth Manager
Unpacking the puzzle of income growth and weak consumption in the UK and other mysteries - slides by Swati Dhingra
Slides by Swati Dhingra
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BankWealth ManagerFintech
Anneli Tuominen: Improving banks’ resilience to hybrid threats
No description available.
Sectors:
Topics:
BankWealth ManagerAll Firms
New DFSA-HKMA report reveals that labelled sustainable debt issuance in MENA and…
18 NOV 2025, 12:00 PM New DFSA-HKMA report reveals that labelled sustainable debt issuance in MENA and…
Sectors:
Topics:
BankAsset ManagerAll Firms
Claudia Buch: Introductory statement
No description available.
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Topics:
BankAsset ManagerWealth Manager
ECB keeps capital requirements broadly stable for 2026 amid persisting global challenges
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Supervisory priorities 2026-28
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
PRA confirms FSCS deposit limit to be increased to £120,000 from 1 December
From the start of December, UK bank customers will benefit from an increase to the maximum amount they would be reimbursed for if their bank were to fail
Sectors:
Topics:
BankWealth Manager
SEC Division of Examinations Announces 2026 Priorities
The Securities and Exchange Commission’s Division of Examinations today released its 2026 examination priorities. The Division publishes its annual examination priorities to provide transparency to registrants and investors about the topics that the…
Sectors:
Topics:
Asset ManagerBroker DealerCrypto Exchange
FINMA Risk Monitor 2025: accentuated geopolitical risks – cyber and real estate risks continue to grow
In its new 2025 Risk Monitor, FINMA reveals where it sees the greatest risks for the Swiss financial centre. It warns of an increase in geopolitical and technological risks and calls for more robust controls over the outsourcing of critical functions. The climate risk report is also part of the Risk Monitor for the first time.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Life Insurance Stress Test: 2025 Results
This is the first exercise conducted under the new Solvency UK regulatory regime implemented in 2024. The PRA published sector-level results on 17 November 2025 followed by individual firm disclosure for the core scenario on 24 November 2025.
Sectors:
Topics:
Insurance
The ACPR and the AMF present their joint approach helping professionals taking into account clients' sustainability preferences
Sustainable Finance MIFID Investment advice Long term investment Other professionals Journalists Investment services providers Investment management companies The ACPR and the AMF present their joint approach helping...
Sectors:
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Asset ManagerWealth ManagerBank
Frank Elderson: Resilient banks through effective supervision: a pillar of Europe’s competitiveness
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Megan Greene reappointed as external member of the Monetary Policy Committee
Megan Greene has been reappointed as an external member of the Monetary Policy Committee by the Chancellor of the Exchequer, Rachel Reeves
Sectors:
Topics:
BankAsset ManagerWealth Manager
Bank of England, Monetary Authority of Singapore, and Bank of Thailand to explore synchronised FX settlement across borders
The Bank of England, the Monetary Authority of Singapore, and the Bank of Thailand announced a collaboration to explore the technical and policy implications of settling foreign exchange (FX) transactions using synchronised settlement mechanisms.
Sectors:
Topics:
BankBroker DealerFintech
Minutes of the Market Participants Group meeting – 12 November 2025
This was the first meeting of the Market Participants Group (MPG), a senior-level forum for financial market participants to share their views on relevant themes and narratives in financial markets with members of the Bank of England’s Monetary Policy Committee.
Sectors:
Topics:
BankBroker DealerPayment Provider
Written overview for the exchange of views of the Chair of the Supervisory Board of the ECB with the Eurogroup on 12 Nocember 2025
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Minutes of the CBDC Engagement Forum - February 2025
Meeting of the CBDC Engagement Forum
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Topics:
BankFintechCrypto Exchange
New DFSA AI survey: Generative AI adoption has nearly tripled within the DIFC in…
12 NOV 2025, 10:00 AM New DFSA AI survey: Generative AI adoption has nearly tripled within the DIFC in…
Sectors:
Topics:
BankWealth ManagerFintech
Exchange of letters between the Governor and the Chancellor on the Asset Purchase Facility - November 2025
Exchange of letters between the Governor and the Chancellor
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Insurance intermediary certificates unlawfully obtained due to manipulation
An investigation by the Insurance Industry Vocational Training Association (VBV) has revealed that VBV intermediary certificates were wrongly issued in around 100 cases as a result of manipulation. The VBV is not supervised by FINMA. The association acts on behalf of the insurance and intermediary industry and will restore compliance with the law for these certificates. It has also filed a criminal complaint. Untied intermediaries are subject to direct supervision by FINMA. If there is eviden...
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Insurance
Minutes of the Money Market Committee meeting – September 2025
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.
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BankBroker DealerAsset Manager
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung 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
Minutes of the SONIA Stakeholder Advisory Group - 22 October 2025
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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BankAsset ManagerBroker Dealer
Update to Level A pricing in the Indexed Long-Term Repo Operation - Market Notice 7 November 2025
This Market Notice confirms that the previously announced increase to the minimum spread over Bank Rate on bids against Level A collateral in the Indexed Long-Term Repo (ILTR) operation will take effect from 17 November 2025.
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BankBroker Dealer
Bank Rate maintained at 4% - November 2025 Monetary Policy Summary and Minutes
Find out more about the Monetary Policy Committee’s latest decision
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BankWealth ManagerAll Firms
The Autorité des Marchés Financiers is running a new financial education campaign aimed at young investors
Long term investment Savings protection Investing wisely Retail investors Journalists The Autorité des Marchés Financiers is running a new financial education campaign aimed at young investors
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Asset ManagerWealth ManagerFintech
Minutes of the CBDC Engagement Forum - May 2025
Meeting of the CBDC Engagement Forum
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BankFintechCrypto Exchange
Individual investors remain active on the markets in the 3rd quarter of 2025
Shares ETF Fixed income Individual investors remain active on the markets in the 3rd quarter of 2025
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Asset ManagerBroker DealerWealth Manager
UK Berne Financial Services Agreement (BFSA) Guidelines
Guidelines to assist firms considering providing services under the Berne Financial Services Agreement.
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BankWealth ManagerAsset Manager
PRA Regulatory Digest - October 2025
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.
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BankAsset ManagerWealth Manager
SEC Issues Exemptive Order Regarding Compliance with Certain Rules Under Regulation NMS
The Securities and Exchange Commission today issued an order granting temporary exemptive relief from certain compliance dates adopted under Regulation NMS: Minimum Pricing Increments, Access Fees and Transparency of Better Priced Orders as follows:…
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Broker DealerBank
Minutes of the Meeting of the Court of Directors held on 19 September 2025
The Bank's Court of Directors acts as a unitary board, setting the organisation's strategy and budget and taking key decisions on resourcing and appointments. Required to meet a minimum seven times per year, it has five executive members from the Bank and up to nine non-executive members.
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BankAsset ManagerWealth Manager
SoP5/15 – The PRA's methodologies for setting Pillar 2 capital
Statement of Policy 5/15
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BankAsset ManagerWealth Manager
SoP8/25 – The PRA’s approach to the exercise of powers referred to in Articles 244(3)(b), 245(3)(b), 254(4) and 258(2) of the Securitisation (CRR) Part of the PRA Rulebook
Statement of policy 8/25
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BankAll Firms
SoP6/25 – The PRA’s approach to Internal Model Method (IMM) permission under the Counterparty Credit Risk (CRR) Part
Statement of policy 6/25
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Bank
SoP7/25 – The PRA’s approach to waivers and permissions under the Securitisation (CRR) Part of the PRA Rulebook
Statement of policy 7/25
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BankAll Firms
Global situation of undertakings for collective investment at the end of September 2025
Press release 25/17
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Asset ManagerWealth Manager
The Financial Stability Board and the International Organisation of Securities Commissions publish two reports assessing the implementation of recommendations on crypto-asset and stablecoin activities
Crypto-assets Investment services Financial services providers The Financial Stability Board and the International Organisation of Securities Commissions publish two reports assessing the implementation of recommendations on crypto-asset and stablecoin activities
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Topics:
Crypto ExchangeBankFintech
The SCA and DFSA strengthen regulatory cooperation with Memorandum of…
27 OCT 2025, 10:00 AM The SCA and DFSA strengthen regulatory cooperation with Memorandum of…
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BankBroker DealerWealth Manager
Issue 6 2025
No description available.
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Asset ManagerBankWealth Manager
List of supervised entities - Cut-off date 1 September 2025
No description available.
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BankAsset ManagerWealth Manager
Corporate sustainability reporting: AMF draws listed companies' attention to ESMA's 2025 recommendations
Periodic & ongoing disclosures Sustainable Finance Corporate sustainability reporting: AMF draws listed companies' attention to ESMA's 2025 recommendations
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Topics:
Asset ManagerBankBroker Dealer
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung 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.
Sectors:
Topics:
BankWealth ManagerAll Firms
The DFSA publishes summary of Consultation Paper 168 – Enhancements to the…
21 OCT 2025, 09:33 AM The DFSA publishes summary of Consultation Paper 168 – Enhancements to the…
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Topics:
Crypto ExchangeFintech
UK Islamic Finance and the Alternative Liquidity Facility - slides by Victoria Saporta
Slides by Victoria Saporta
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BankAsset ManagerWealth Manager
The AMF announces new measures to facilitate access to listing
Financial disclosures & corporate financing Public offer Prospectus Executive & other private individuals Professional investors Journalists Listed companies and issuers The AMF announces new measures to facilitate access to listing
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BankBroker Dealer
Dubai advances position as Middle East, Africa and South Asia’s leading global…
20 OCT 2025, 10:00 AM Dubai advances position as Middle East, Africa and South Asia’s leading global…
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BankAsset ManagerBroker Dealer
Effective practices: Cyber response and recovery capabilities
Publication from the Bank, PRA and FCA to firms and financial market infrastructures highlighting observed effective practices of cyber response and recovery capabilities.
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BankFintechPayment Provider
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung 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.
Sectors:
Topics:
BankWealth ManagerAll Firms
LIAF02/25 – Low Impact Amendments Finalisation October 2025
The PRA has published LIAF02/25, a collection of final low impact rule amendments.
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BankAsset ManagerWealth Manager
Live from GITEX: DFSA and VARA strengthen regulatory cooperation to support…
15 OCT 2025, 03:05 PM Live from GITEX: DFSA and VARA strengthen regulatory cooperation to support…
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Crypto ExchangeFintech
The Autorité des Marchés Financiers publishes the findings of its thematic inspections on governance and role of senior managers at asset management companies
Supervision Asset management Governance Journalists Investment management companies The Autorité des Marchés Financiers publishes the findings of its thematic inspections on governance and role of senior managers at asset management companies
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Asset Manager
PRA and FCA announce changes to banker bonuses for 2025
The PRA and FCA have today confirmed plans to increase flexibility around senior banker pay, alongside changes to create better links between bonus awards and responsible risk-taking.
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BankWealth Manager
FINMA to appeal partial decision of the Federal Administrative Court concerning AT1
The Swiss Financial Market Supervisory Authority FINMA takes note of the Federal Administrative Court’s partial decision concerning the write-down of AT1 capital instruments. FINMA will contest the judgment of 1 October 2025 and appeal to the Federal Supreme Court.
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Bank
DFSA Connect: new digital services streamline regulatory approvals processes,…
13 OCT 2025, 09:43 AM DFSA Connect: new digital services streamline regulatory approvals processes,…
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Topics:
BankWealth ManagerFintech
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung 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.
Sectors:
Topics:
BankWealth ManagerAll Firms
Minutes of the Securities Lending Committee meeting – September 2025
The Securities Lending Committee is a forum for market participants and authorities to discuss the UK securities lending market.
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Asset ManagerBankBroker Dealer
DFSA and HKMA to co-host second Climate Finance Conference to strengthen…
09 OCT 2025, 12:00 PM DFSA and HKMA to co-host second Climate Finance Conference to strengthen…
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BankAsset ManagerFintech
Minutes of the London FXJSC Main Committee Meeting - 26 June 2025
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.
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BankBroker DealerPayment Provider
Minutes of the London FXJSC Legal Sub-Committee Meeting - 24 June 2025
The Bank of England chairs the London Foreign Exchange Joint Standing Committee (FXJSC) Legal Sub-Committee. The FXJSC is made up of market participants, infrastructure providers and the UK financial regulators.
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BankBroker DealerFintech
Minutes of the London FXJSC Operations Sub-Committee Meeting - 18 June 2025
The Bank of England chairs the London Foreign Exchange Joint Standing Committee (FXJSC) Operations Sub-Committee. The FXJSC is made up of market participants, infrastructure providers and the UK financial regulators.
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BankBroker DealerPayment Provider
Financial Policy Committee Record – October 2025
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.
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BankAsset ManagerBroker Dealer
Foreign Currency Reserves 2025 – Market Notice 7 October 2025
Not for distribution, directly or indirectly, in or into the United States, Canada, Australia, Japan or any other jurisdiction where it is unlawful to distribute this announcement.
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BankAsset ManagerWealth Manager
Minutes: CBDC Academic Advisory Group - June 2025
Meeting of the CBDC Academic Advisory Group
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BankFintechCrypto Exchange
The Banque de France, the ACPR and the AMF launch a first system-wide stress test on interconnections within the financial system
Stress-testing Markets Asset management Journalists Investment services providers Investment management companies The Banque de France, the ACPR and the AMF launch a first system-wide stress test on interconnections within the financial system
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BankAsset ManagerBroker Dealer
Global situation of undertakings for collective investment at the end of August 2025
Press release 25/16
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Asset ManagerWealth Manager
Notice of Consultation Paper Release: CP 168
01 OCT 2025, 09:38 AM Notice of Consultation Paper Release: CP 168
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Crypto ExchangeFintechAll Firms
PRA Regulatory Digest - September 2025
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.
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BankAsset ManagerWealth Manager
SEC Announces Departure of Director of Office of the Advocate for Small Business Capital Formation Stacey Bowers
The Securities and Exchange Commission today announced that Stacey Bowers, who has served as the Director of the Office of the Advocate for Small Business Capital Formation, will depart the agency effective October 17, 2025. She has served as Director…
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All Firms
SEC Continues Efforts to Assist Market Participants During Implementation of Treasury Clearing Rules
The Securities and Exchange Commission today enhanced its efforts to assist broker-dealers and other market participants on the path to central clearing of U.S. Treasury securities, developing a one-stop webpage that puts the latest status updates, staff…
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Broker DealerBank
SEC Issues Order to Reduce Operating Costs of Consolidated Audit Trail
The Securities and Exchange Commission today issued an order granting conditional exemptive relief related to certain requirements of the National Market System Plan governing the Consolidated Audit Trail (CAT NMS Plan), Rule 613 of Regulation NMS, and…
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Broker DealerAsset Manager
Profit and loss account of credit institutions as at 30 June 2025
Press release 25/15
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Bank
SEC Seeks Public Comment to Improve Rules on Residential Mortgage-Backed Securities and Asset-Backed Securities
The Securities and Exchange Commission today published a concept release soliciting public comment on how to improve current SEC rules governing residential mortgage-backed securities (RMBS) and certain aspects of asset-backed securities (ABS) generally…
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BankBroker DealerAll Firms
CFTC Obtains Order for Over $5.5M Restitution for Victims in Commodity Pool Fraud by Tennessee Couple
No description available.
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Asset ManagerBroker DealerBank
UBS resolution report
The Swiss Financial Market Supervisory Authority FINMA has identified further progress in UBS’s resolvability and continues to view a resolution as feasible. However, there is a need for greater optionality, which will also require legislative changes. UBS’s emergency plan largely fulfils the current statutory requirements. However, it needs to be better integrated in the resolution plan in the future and thus cannot currently be regarded as executable. As in 2024, FINMA’s review of the recov...
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BankWealth Manager
SEC Announces Departure of Chief Operating Officer Ken Johnson
The Securities and Exchange Commission today announced that Ken Johnson, who has been serving as Chief Operating Officer (COO) since December 2017, will retire from the agency in December. “Ken has been an integral leader at the SEC for more than two…
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BankAsset ManagerBroker Dealer
Sustainable finance: retail investors have higher expectations of their financial advisors
Long term investment Sustainable Finance Retail investors Journalists Investment management companies Listed companies and issuers Sustainable finance: retail investors have higher expectations of their financial advisors
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Asset ManagerWealth ManagerBank
Masaar: DFSA welcomes 2025 cohort of its graduate programme, helping to foster…
22 SEP 2025, 11:05 AM Masaar: DFSA welcomes 2025 cohort of its graduate programme, helping to foster…
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Asset ManagerWealth ManagerBank
FINMA and the UK supervisory authorities strengthen cooperation in financial services
The Swiss Financial Market Supervisory Authority FINMA and the UK Financial Conduct Authority FCA and Prudential Regulation Authority PRA today signed a memorandum of understanding. The memorandum sets out details of the co-operation under the Berne Financial Services Agreement and opens up new cross-border opportunities in insurance and investment services.
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BankAsset ManagerInsurance
CFTC Obtains $1.2M for Fraud Victims, $2.8M Overall From Florida Commodity Firm, Owner
No description available.
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Broker DealerCrypto ExchangeAll Firms
Supervisory Banking Statistics for significant institutions - Second quarter 2025
No description available.
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BankAsset ManagerWealth Manager
European supervision of capital markets: the AMF calls for an enhanced role for ESMA to promote a true Savings and Investments Union
Supervision Other professionals Fintech Market Infrastructures Professional investors Journalists Investment management companies Listed companies and issuers European supervision of capital markets: the AMF calls for an enhanced...
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Asset ManagerWealth ManagerBank
New DFSA Thematic Review: High-Growth Firms
16 SEP 2025, 02:18 PM New DFSA Thematic Review: High-Growth Firms
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Asset ManagerBankFintech
CFTC Obtains $6.9M Restitution Order Against Three Individuals, Three Florida Firms in Metals Fraud Case
No description available.
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Broker DealerCrypto ExchangeAll Firms
CFTC Obtains Court Order to Return $750,000 to Voyager Victims in Fraud Action
No description available.
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Topics:
Crypto ExchangeFintech
The French, Austrian and Italian markets authorities call for a stronger European framework for crypto-asset markets
MiCA Other professionals Fintech Journalists Listed companies and issuers The French, Austrian and Italian markets authorities call for a stronger European framework for crypto-asset markets
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Crypto ExchangeFintechBank
Future Banking Data roundtable with members of UK Finance and the Building Societies Association
On 1 July, the PRA and the Bank of England held a roundtable meeting with representatives of non-systemic UK banks and building societies.
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Bank
DFSA and Securities and Futures Commission bolster ties in supervising…
10 SEP 2025, 11:01 AM DFSA and Securities and Futures Commission bolster ties in supervising…
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Asset ManagerBroker DealerWealth Manager
Issue 5 2025
No description available.
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Topics:
Asset ManagerBankWealth Manager
Withdrawal of KOREGRAF's authorisation as a crowdfunding service provider
Savings protection Withdrawal of KOREGRAF's authorisation as a crowdfunding service provider
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
Joint Statement from the Chairman of the SEC and Acting Chairman of the CFTC
No description available.
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Broker DealerCrypto Exchange
Acting Chairman Pham Statement on Spring 2025 Unified Agenda
No description available.
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Topics:
BankBroker DealerCrypto Exchange
FINMA publishes consolidated ordinance covering the insolvency proceedings at financial market institutions
The Swiss Financial Market Supervisory Authority FINMA is transferring the FINMA Banking Insolvency Ordinance, FINMA Insurance Bankruptcy Ordinance and FINMA Collective Investment Schemes Bankruptcy Ordinance to a new consolidated FINMA Insolvency Ordinance. The existing regulations have been revised and adapted where necessary – based on findings from practical experience and academia. In addition, the FINMA Insolvency Ordinance implements the amendments made necessary by the revisions to th...
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BankAsset ManagerWealth Manager
DFSA publishes FAQ on the annual AML Return and reminds Firms of 30 September…
03 SEP 2025, 03:20 PM DFSA publishes FAQ on the annual AML Return and reminds Firms of 30 September…
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BankAsset ManagerWealth Manager
Swiss insurance sector posts mixed results in the 2024 financial year
The 2024 insurance market report, which was published today by FINMA, offers an overview of the Swiss insurance market last year. Swiss insurance companies achieved aggregate annual profits of CHF 10.4 billion in 2024, which represents a 24% decrease over the previous year. While life and non-life insurers were able to increase their profits, reinsurers recorded a significant decline.
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Insurance
CFTC-SEC Joint Staff Statement (Project Crypto-Crypto Sprint)
No description available.
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Topics:
Crypto ExchangeFintech
Letter from Claudia Buch, Chair of the Supervisory Board, to Mr Markus Ferber, MEP, on banking supervision
No description available.
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Topics:
BankWealth ManagerAsset Manager
Global situation of undertakings for collective investment at the end of July 2025
Press release 25/14
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Topics:
Asset ManagerWealth Manager
FINMA assesses the emergency and recovery plans for PostFinance, Raiffeisen and Zürcher Kantonalbank
The Swiss Financial Market Supervisory Authority FINMA has completed its annual assessment of the emergency and recovery plans for the domestic systemically important banks. The emergency plans for Zürcher Kantonalbank and Raiffeisen fulfil the regulatory requirements. The emergency plan for PostFinance is still not ready to implement. The recovery plans for all institutions were approved.
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Bank
Commissioner Kristin Johnson Announces Departure from CFTC
No description available.
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Topics:
Broker DealerCrypto Exchange
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung 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.
Sectors:
Topics:
BankWealth ManagerAll Firms
List of supervised entities – cut-off date 1 July 2025
No description available.
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Topics:
BankAsset ManagerWealth Manager
Sanktionen: Harmonisierung von Sanktionsverordnungen
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
The Autorité des Marchés Financiers (AMF) revoked the authorisation of alternative investment fund manager (AIFM) APICAP
Asset management The Autorité des Marchés Financiers (AMF) revoked the authorisation of alternative investment fund manager (AIFM) APICAP
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Asset Manager
Supervisory Banking Statistics for significant institutions - First quarter 2025
No description available.
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Topics:
BankAsset ManagerWealth Manager
Methodological note for the publication of aggregated Supervisory Banking Statistics
No description available.
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Topics:
BankAsset ManagerWealth Manager
Spreadsheet: High-level individual results for banks not included in the EBA sample
No description available.
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Topics:
BankAsset ManagerWealth Manager
Counterparty credit risk exploratory scenario exercise
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Press release regarding BGL BNP Paribas
Press release 25/13
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Topics:
Bank
Global situation of undertakings for collective investment at the end of June 2025
Press release 25/12
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Topics:
Asset ManagerWealth Manager
Isabelle Guezet and Julien Laroche appointed Deputy Directors of the Corporate Finance Division
Appointment Institutional Isabelle Guezet and Julien Laroche appointed Deputy Directors of the Corporate Finance Division
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Topics:
BankAsset ManagerBroker Dealer
Retail investor activity in equities at its highest since 2020
Shares ETF Retail investor activity in equities at its highest since 2020
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Topics:
Asset ManagerBroker DealerWealth Manager
The AMF and the AFA call for vigilance of the risk of private corruption by criminal networks of natural persons with access to inside information
MAR Financial disclosures & corporate financing Shares The AMF and the AFA call for vigilance of the risk of private corruption by criminal networks of natural persons with access to inside information
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Topics:
BankAsset ManagerBroker Dealer
The AMF reminds distributors of their requirements regarding marketing of investment fund
Asset management Marketing PRIIPs The AMF reminds distributors of their requirements regarding marketing of investment fund
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Topics:
Asset ManagerWealth Manager
FINMA Executive Board: Thomas Hirschi to leave FINMA
Thomas Hirschi has decided to leave the Swiss Financial Market Supervisory Authority FINMA effective 31 August 2025. The Head of the Banks division will pursue a new career outside FINMA. FINMA’s Board of Directors and Executive Board thank Thomas Hirschi for his valuable contribution during his time at FINMA.
Effective Date: 31 August 2025
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Topics:
Bank
The AMF publishes a summary of its SPOT inspections on asset management companies' voting and engagement policies
Supervision Governance Sustainable Finance Journalists Investment management companies The AMF publishes a summary of its SPOT inspections on asset management companies' voting and engagement policies
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Topics:
Asset Manager
French retail investor stock market activity: the AMF analyses changes in behaviour between women and men
Long term investment Equity Retail investors Journalists Investment services providers Investment management companies Listed companies and issuers French retail investor stock market activity: the AMF analyses changes in behaviour between...
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
Notice of Consultation Paper Release: CP 167
04 JUL 2025, 11:40 AM Notice of Consultation Paper Release: CP 167
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Implementation of MiCA: The AMF applies ESMA and EBA Guidelines on the assessment of the suitability of members of the management body
MiCA Crypto-assets Innovation Implementation of MiCA: The AMF applies ESMA and EBA Guidelines on the assessment of the suitability of members of the management body
Sectors:
Topics:
Crypto ExchangeFintech
The AMF publishes its 2025 Markets and Risk Outlook
Risk and Trend Mapping Markets Fixed income Asset management Other professionals Executive & other private individuals Fintech The AMF publishes its 2025 Markets and Risk Outlook
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Asset ManagerBroker DealerFintech
Global situation of undertakings for collective investment at the end of May 2025
Press release 25/11
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Topics:
Asset ManagerWealth Manager
FINMA launches consultations on the ordinances concerning risk diversification and liquidity for banks and securities firms
On 3 July 2025, the Swiss Financial Market Supervisory Authority FINMA launched the consultations on the new Ordinances on the Risk Diversification of Banks and Securities Firms and on the Liquidity of Banks and Securities Firms. The consultations will go on until 29 September 2025.
Deadline: 29 September 2025
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Topics:
BankBroker DealerAsset Manager
New DFSA report explores regulatory insights into cybersecurity, Artificial…
30 JUN 2025, 03:18 PM New DFSA report explores regulatory insights into cybersecurity, Artificial…
Sectors:
Topics:
BankFintechAsset Manager
Profit and loss account of credit institutions as at 31 March 2025
Press release 25/10
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Topics:
Bank
Rene W. Keller resigns from FINMA’s Board of Directors
At its meeting on 25 June 2025, the Federal Council was informed of the resignation of Rene W. Keller from the Board of Directors of the Swiss Financial Market Supervisory Authority FINMA.
Sectors:
Topics:
BankWealth Manager
The DFSA publishes FAQ on revised Client Assets regime
24 JUN 2025, 01:45 PM The DFSA publishes FAQ on revised Client Assets regime
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Topics:
Asset ManagerBroker DealerWealth Manager
Crowdfunding: the AMF urges investors to exercise extreme caution due to the risks of project owner default or crowdfunding platform failure
Asset management Collective investments Savings protection Crowdfunding: the AMF urges investors to exercise extreme caution due to the risks of project owner default or crowdfunding platform failure
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
The AMF publishes the findings of its inspections on the verification and assessment of employee knowledge within asset management companies
Supervision Professional certification Asset management Journalists Investment management companies The AMF publishes the findings of its inspections on the verification and assessment of employee knowledge within asset management companies
Sectors:
Topics:
Asset ManagerWealth Manager
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung 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.
Sectors:
Topics:
BankWealth ManagerAll Firms
The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment has published its 2024 Annual Report
Annual report Savings protection Marketing Retail investors Journalists The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment has published its 2024 Annual Report
Sectors:
Topics:
BankAsset ManagerInsurance
Crypto-assets: the AMF clarifies its policy on DASPs authorised under the PACTE Law to take account of the transitional period and facilitate the transition to MiCA
MiCA Crypto-assets Crypto-assets: the AMF clarifies its policy on DASPs authorised under the PACTE Law to take account of the transitional period and facilitate the transition to MiCA
Sectors:
Topics:
Crypto ExchangeFintech
The stock market investor journey: the AMF analyses the mobile applications of 14 institutions
Marketing Long term investment Other professionals Retail investors Journalists The stock market investor journey: the AMF analyses the mobile applications of 14 institutions
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
Global situation of undertakings for collective investment at the end of April 2025
Press release 25/09
Sectors:
Topics:
Asset ManagerWealth Manager
The AMF publishes its 2024 Annual Report
Annual report Institutional Other professionals Executive & other private individuals Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers ...
Sectors:
Topics:
Asset ManagerBroker DealerFintech
Retail investor activity up again
Shares ETF Retail investor activity up again
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
Second thematic review on the use of Artificial Intelligence in the Luxembourg financial sector
Press release 25/08
Sectors:
Topics:
BankAsset ManagerWealth Manager
Issue 4 2025
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
Women on Boards Directive: the AMF is now the competent authority for analysing and monitoring gender balance among the directors of listed companies
Governance Journalists Listed companies and issuers Women on Boards Directive: the AMF is now the competent authority for analysing and monitoring gender balance among the directors of listed companies
Sectors:
Topics:
Asset ManagerWealth ManagerBank
AMF Household Savings Newsletter: financial investment fees continue their downward trend
Fees Shares Collective investments AMF Household Savings Newsletter: financial investment fees continue their downward trend
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF applies ESMA's guidelines on updating stress scenario parameters, in accordance with Article 28 of the Money Market Funds Regulation
Asset management MMF The AMF applies ESMA's guidelines on updating stress scenario parameters, in accordance with Article 28 of the Money Market Funds Regulation
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Topics:
Asset ManagerBankBroker Dealer
Global situation of undertakings for collective investment at the end of March 2025
Press release 25/07
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Topics:
Asset ManagerWealth Manager
The AMF applies the joint guidelines issued by the European Supervisory Authorities to facilitate the exchange of information between National Competent Authorities
Cooperation Europe & international The AMF applies the joint guidelines issued by the European Supervisory Authorities to facilitate the exchange of information between National Competent Authorities
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Topics:
BankAsset ManagerWealth Manager
Fees: the AMF updates its doctrine following the announcement of the abolition of transaction fees in situations of discretionary management
Asset management Individual investment mandate Fees: the AMF updates its doctrine following the announcement of the abolition of transaction fees in situations of discretionary management
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Topics:
Asset ManagerWealth Manager
Issue 3 2025
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF reminds financial investment advisors of their professional obligations when using financial product listing platforms
Marketing Investment advice The AMF reminds financial investment advisors of their professional obligations when using financial product listing platforms
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Topics:
Asset ManagerWealth Manager
Anti-money laundering and countering the financing of terrorism: the AMF applies the guidelines of the European Banking Authority on restrictive measures for crypto-asset service providers
Anti-money Laundering Asset management Crypto-assets Anti-money laundering and countering the financing of terrorism: the AMF applies the guidelines of the European Banking Authority on restrictive measures for crypto-asset service providers
Sectors:
Topics:
Crypto ExchangeBankAsset Manager
Issue 2 2025
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF and ACPR Joint Unit publishes its analysis of the French structured product market
Marketing Derivatives or structured products Executive & other private individuals Journalists Listed companies and issuers The AMF and ACPR Joint Unit publishes its analysis of the French structured product market
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Topics:
BankBroker DealerAsset Manager
Internal Auditors Committee Mandate and Audit Charter for the Eurosystem/ESCB and the Single Supervisory Mechanism
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Global situation of undertakings for collective investment at the end of February 2025
Press release 25/06
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Topics:
Asset ManagerWealth Manager
Profit and loss account of credit institutions as at 31 December 2024
Press release 25/05
Sectors:
Topics:
BankAsset ManagerWealth Manager
Financial stability, artificial intelligence, data quality and financial education at the heart of the discussions at the AMF 2025 international seminar for securities regulators
Europe & international Cooperation Financial stability, artificial intelligence, data quality and financial education at the heart of the discussions at the AMF 2025 international seminar for securities regulators
Sectors:
Topics:
Asset ManagerBankBroker Dealer
Employee savings: employees and firms are genuinely satisfied, but there is still a great need for support and education
Employee savings scheme Retail investors Journalists Employee savings: employees and firms are genuinely satisfied, but there is still a great need for support and education
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Topics:
Asset ManagerWealth ManagerBank
The AMF introduces a fast-track approval procedure for “defence” investment funds
Asset management Journalists Investment management companies The AMF introduces a fast-track approval procedure for “defence” investment funds
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Topics:
Asset ManagerWealth Manager
The International Organization of Securities Commissions (IOSCO) publishes a report on artificial intelligence in financial markets
Artificial intelligence Markets Innovation The International Organization of Securities Commissions (IOSCO) publishes a report on artificial intelligence in financial markets
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Topics:
All Firms
Employee savings: a high level of satisfaction but a persistent need for support
Employee savings scheme Employee savings: a high level of satisfaction but a persistent need for support
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF calls on the European Commission for an ambitious strategy on the Savings and Investments Union project
Markets Europe & international Other professionals Journalists Investment services providers The AMF calls on the European Commission for an ambitious strategy on the Savings and Investments Union project
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Topics:
Asset ManagerWealth ManagerBank
Issue 1 2025
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF shares the lessons learned from its latest experiments with automated processing of regulatory data
Artificial intelligence Innovation Market infrastructures Post-trading infrastructures Markets The AMF shares the lessons learned from its latest experiments with automated processing of regulatory data
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Topics:
All Firms
Publication of the 2023 asset management key figures report
Asset management Publication of the 2023 asset management key figures report
Sectors:
Topics:
Asset ManagerWealth Manager
The AMF publishes the findings of its thematic inspections of asset management companies’ monitoring of fund investment ratios, compensation and claims
Supervision Asset management Collective investments UCIT Other professionals Journalists Investment services providers Investment management companies The AMF publishes the findings of its thematic inspections of asset management...
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Topics:
Asset ManagerWealth Manager
The AMF approves its first bond prospectus for European green bonds under the ‘EuGB’ standard
Prospectus Fixed income Sustainable Finance Professional investors Journalists Listed companies and issuers The AMF approves its first bond prospectus for European green bonds under the ‘EuGB’ standard
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Topics:
Asset ManagerBank
DEROGATION TAKEOVER LAW: Iris Financial S.A. (renamed Younited Financial S.A.) - ISIN: KYG7552D1354
Press release 25/03
Sectors:
Topics:
BankWealth Manager
The Autorité des Marchés Financiers (AMF) has published an analysis of the performance of the French real estate crowdfunding market, based on data collected from the 10 largest platforms in terms of inflows.
Asset management The Autorité des Marchés Financiers (AMF) has published an analysis of the performance of the French real estate crowdfunding market, based on data collected from the 10 largest platforms in terms of inflows.
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
End of life of private equity funds: the AMF amends its General Regulation and policy
Asset management Collective investments End of life of private equity funds: the AMF amends its General Regulation and policy
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Topics:
Asset Manager
ETFs: strong growth for retail investors in 2024
Shares ETF ETFs: strong growth for retail investors in 2024
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
Publication of the first study on the performance of unlisted financial asset funds aimed at non-professional clients
Asset management Marketing Publication of the first study on the performance of unlisted financial asset funds aimed at non-professional clients
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Topics:
Asset ManagerWealth Manager
Operational resilience – The AMF applies the Joint Guidelines on the oversight cooperation and information exchange under the Digital Operational Resilience Act (DORA)
Europe & international Innovation Financial services providers Operational resilience – The AMF applies the Joint Guidelines on the oversight cooperation and information exchange under the Digital Operational Resilience Act (DORA)
Sectors:
Topics:
BankAsset ManagerWealth Manager
The AMF publishes its action and supervisory priorities for 2025
Strategy Supervision Institutional Executive & other private individuals Journalists Investment services providers Investment management companies Listed companies and issuers The AMF publishes its action and supervisory...
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Topics:
Asset ManagerBroker Dealer
The AMF is recognized by INATBA for Its Innovative Approach to Digital Asset Regulation
Innovation Institutional Crypto-assets MiCA The AMF is recognized by INATBA for Its Innovative Approach to Digital Asset Regulation
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Topics:
Crypto ExchangeFintech
Pilot Regime: the AMF publishes an in-depth report on the implementation of the regulation
Innovation Market infrastructures MIFID Pilot Regime: the AMF publishes an in-depth report on the implementation of the regulation
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Topics:
Asset ManagerBroker Dealer
AMF 2024 Barometer: French equity investment intentions remain high
Long term investment Shares Collective investments AMF 2024 Barometer: French equity investment intentions remain high
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF awards its 2024 prize for young researchers in economics to Maxime Bonelli
Asset management Marketing Innovation Other professionals Professional investors Journalists Investment management companies Listed companies and issuers The AMF awards its 2024 prize for young researchers in economics to Maxime...
Sectors:
Topics:
Asset Manager
The AMF updates its policy following its decision to comply with the ESMA guidelines on the names of ESG funds
Asset management The AMF updates its policy following its decision to comply with the ESMA guidelines on the names of ESG funds
Sectors:
Topics:
Asset Manager
EMIR Refit: Update of the AMF website on notifications forms
Derivatives or structured products EMIR Refit: Update of the AMF website on notifications forms
Sectors:
Topics:
Asset ManagerBroker DealerBank
Combating money laundering and terrorist financing: the AMF applies the guidelines issued by the European Banking Authority regarding certain transfers of crypto-assets
Asset management Anti-money Laundering Crypto-assets Combating money laundering and terrorist financing: the AMF applies the guidelines issued by the European Banking Authority regarding certain transfers of crypto-assets
Sectors:
Topics:
Asset ManagerBankCrypto Exchange
Closing of the 2024 accounts: The AMF publishes recommendations and the results of its examinations of financial statements
Financial disclosures & corporate financing Periodic & ongoing disclosures Reporting ESEF Closing of the 2024 accounts: The AMF publishes recommendations and the results of its examinations of financial statements
Sectors:
Topics:
Asset ManagerBankBroker Dealer
The AMF amends its Programme of Operations Guide for Asset Management Companies
Asset management The AMF amends its Programme of Operations Guide for Asset Management Companies
Sectors:
Topics:
Asset Manager
The Autorité des Marchés Finances has decided to apply ESMA's Guidelines on funds' names
Sustainable Finance Asset management The Autorité des Marchés Finances has decided to apply ESMA's Guidelines on funds' names
Sectors:
Topics:
Asset ManagerWealth Manager
Issue 13 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
Faced with dense and complex information, the AMF is encouraging financial institutions to continue their efforts to improve the transparency of their Taxonomy reporting
Sustainable Finance Periodic & ongoing disclosures Journalists Listed companies and issuers Faced with dense and complex information, the AMF is encouraging financial institutions to continue their efforts to improve the transparency of their Taxonomy reporting
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Topics:
Asset ManagerBankWealth Manager
The AMF publishes an educational report on listed companies' sustainability reporting
Sustainable Finance Periodic & ongoing disclosures Journalists Listed companies and issuers The AMF publishes an educational report on listed companies' sustainability reporting
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Topics:
Asset ManagerBroker Dealer
The Listing Act is entering into force on December 4, 2024
Financial disclosures & corporate financing Periodic & ongoing disclosures Regulatory developments The Listing Act is entering into force on December 4, 2024
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Topics:
BankBroker DealerAsset Manager
Issue 12 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF releases an updated stocktake of French funds equipped with liquidity management tools
Asset management Collective investments The AMF releases an updated stocktake of French funds equipped with liquidity management tools
Sectors:
Topics:
Asset ManagerWealth Manager
Issue 11 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
Stock market tumbles: still a rare phenomenon on the Paris market
Short selling Equity Stock market tumbles: still a rare phenomenon on the Paris market
Sectors:
Topics:
Broker DealerAsset ManagerWealth Manager
ETFs win over newcomers as they invest into the stock market
ETF Equity MIFID Executive & other private individuals Professional investors Journalists Listed companies and issuers ETFs win over newcomers as they invest into the stock market
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Topics:
Asset ManagerWealth ManagerBroker Dealer
Issue 10 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
Publication of the first CSRD sustainability statements: AMF draws issuers’ attention to ESMA's 2024 recommendations
Periodic & ongoing disclosures Sustainable Finance Publication of the first CSRD sustainability statements: AMF draws issuers’ attention to ESMA's 2024 recommendations
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Topics:
Asset ManagerBankBroker Dealer
The AMF and the AMMC are strengthening their cooperation
Cooperation Markets Executive & other private individuals Professional investors Journalists Investment services providers Investment management companies Listed companies and issuers The AMF and the AMMC are strengthening their...
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Topics:
Asset ManagerBankBroker Dealer
The Autorité des Marchés Financiers (AMF) has published a recommendation governing the distribution of actively managed certificates (AMCs) to retail clients
Asset management Marketing The Autorité des Marchés Financiers (AMF) has published a recommendation governing the distribution of actively managed certificates (AMCs) to retail clients
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Topics:
Asset ManagerBroker DealerWealth Manager
Issue 9 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
In Q3 2024, for the first time, new ETF investors outnumbered new equity investors
Shares ETF Investment services In Q3 2024, for the first time, new ETF investors outnumbered new equity investors
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Topics:
Asset ManagerWealth ManagerBroker Dealer
The AMF publishes the findings of a new series of SPOT inspections on the quality of regulatory reporting data
Supervision Asset management MMF AIFMD Journalists Investment services providers Investment management companies The AMF publishes the findings of a new series of SPOT inspections on the quality of regulatory reporting data
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Topics:
Asset Manager
The AMF analyses new investment practices: listed shares, ETFs and crowdfunding
Shares ETF The AMF analyses new investment practices: listed shares, ETFs and crowdfunding
Sectors:
Topics:
Asset ManagerBroker DealerFintech
The Autorité des Marchés Financiers (AMF) launches a major financial education campaign aimed at young investors
Long term investment Savings protection Retail investors Journalists The Autorité des Marchés Financiers (AMF) launches a major financial education campaign aimed at young investors
Sectors:
Topics:
Asset ManagerWealth ManagerAll Firms
AMF amends its Programme of Operations Guide for Asset Management Companies
Asset management Regulatory developments AMF amends its Programme of Operations Guide for Asset Management Companies
Sectors:
Topics:
Asset Manager
ESMA’s communications to support the implementation and supervision of corporate sustainability reporting
Sustainable Finance Periodic & ongoing disclosures ESMA’s communications to support the implementation and supervision of corporate sustainability reporting
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Topics:
Asset ManagerBankBroker Dealer
Issue 8 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
Issue 7 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
The Autorité des Marchés Financiers (AMF) signs #JamaisSansElles Charter
Institutional Organisational rules Journalists The Autorité des Marchés Financiers (AMF) signs #JamaisSansElles Charter
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Topics:
Asset ManagerBroker DealerWealth Manager
MiCA Regulation: AMF now accepting applications for authorisation as a CASP
MiCA Crypto-assets MiCA Regulation: AMF now accepting applications for authorisation as a CASP
Sectors:
Topics:
Crypto Exchange
The AMF publishes its 2023 CSR Report
AMF activity Institutional The AMF publishes its 2023 CSR Report
Sectors:
Topics:
Asset ManagerBankWealth Manager
The Autorité des Marchés Financiers (AMF) announces withdrawal of the authorisation of the portfolio asset management company Wide Asset Management as of 8 July 2024
Asset management The Autorité des Marchés Financiers (AMF) announces withdrawal of the authorisation of the portfolio asset management company Wide Asset Management as of 8 July 2024
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Topics:
Asset Manager
AMF and Banque de France call for a well-anticipated move to T+1 Settlement Cycle
Regulatory developments Post-trading infrastructures Market infrastructures Cooperation Journalists AMF and Banque de France call for a well-anticipated move to T+1 Settlement Cycle
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Topics:
BankBroker DealerAsset Manager
The activity of retail investors active in equities and ETFs increased further in Q2 2024
Shares ETF Collective investments Long term investment The activity of retail investors active in equities and ETFs increased further in Q2 2024
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Topics:
Asset ManagerBroker DealerWealth Manager
The AMF proposes a methodology for calibrating the thresholds determining the transparency regime applicable to corporate bond transactions.
MIFID Fixed income The AMF proposes a methodology for calibrating the thresholds determining the transparency regime applicable to corporate bond transactions.
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Topics:
BankBroker Dealer
Notification forms for the cross-border exercise of the activities of passemanagement companies, and the marketing of UCITS and AIFs: the AMF updates its doctrine
Asset management Notification forms for the cross-border exercise of the activities of passemanagement companies, and the marketing of UCITS and AIFs: the AMF updates its doctrine
Sectors:
Topics:
Asset ManagerWealth Manager
The Autorité des Marchés Financiers (AMF) publishes the findings of three supervisory initiatives on sustainable finance
Sustainable Finance Asset management Other professionals Journalists Investment management companies The Autorité des Marchés Financiers (AMF) publishes the findings of three supervisory initiatives on sustainable finance
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Topics:
Asset ManagerWealth ManagerAll Firms
AMF launches its "innovation workshops"
Innovation Artificial intelligence AMF launches its "innovation workshops"
Sectors:
Topics:
BankAsset ManagerFintech
Artificial intelligence: the AMF encourages market stakeholders to take part in two European Commission initiatives on issues specific to the financial sector
Artificial intelligence Innovation Financial products Financial services providers Artificial intelligence: the AMF encourages market stakeholders to take part in two European Commission initiatives on issues specific to the financial sector
Sectors:
Topics:
Asset ManagerBankFintech
The AMF has published a summary of its SPOT inspections of financial management delegation arrangements at asset management companies
Supervision Asset management Journalists Investment management companies The AMF has published a summary of its SPOT inspections of financial management delegation arrangements at asset management companies
Sectors:
Topics:
Asset Manager
The AMF and the ACPR have published their report on the monitoring and assessment of the climate commitments made by Paris financial centre participants
Sustainable Finance Governance Financing the economy Other professionals Journalists Investment management companies Listed companies and issuers The AMF and the ACPR have published their report on the monitoring and assessment of the climate...
Sectors:
Topics:
Asset ManagerBankBroker Dealer
AMF Chair Marie-Anne Barbat-Layani meets with CSRC Vice Chairman, Fang Xinghai
Institutional Europe & international Cooperation AMF Chair Marie-Anne Barbat-Layani meets with CSRC Vice Chairman, Fang Xinghai
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Topics:
BankAsset ManagerBroker Dealer
Issue 6 2024
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment has published its 2023 Annual Report
Annual report Savings protection Marketing Retail investors Journalists The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment has published its 2023 Annual Report
Sectors:
Topics:
BankAsset ManagerInsurance
Mystery shopping visits to bank branches: the collection of client sustainability preferences remains fragmented
Sustainable Finance Investment advice Long term investment Retail investors Journalists Mystery shopping visits to bank branches: the collection of client sustainability preferences remains fragmented
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Topics:
BankWealth ManagerAsset Manager
Money laundering and terrorist financing: the AMF publishes its sectoral risk analysis
Asset management Anti-money Laundering Money laundering and terrorist financing: the AMF publishes its sectoral risk analysis
Sectors:
Topics:
Asset ManagerWealth Manager
The Autorité des Marchés Financiers (AMF) withdraws the authorisation of the portfolio asset management company Wide Asset Management
Asset management The Autorité des Marchés Financiers (AMF) withdraws the authorisation of the portfolio asset management company Wide Asset Management
Sectors:
Topics:
Asset Manager
AMF Ombudsman publishes her 2023 Annual Report
Mediation Annual report Retail investors Professional investors Journalists AMF Ombudsman publishes her 2023 Annual Report
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Active ETFs: the AMF publishes a recommendation on the transparency of portfolios
Asset management ETF Active ETFs: the AMF publishes a recommendation on the transparency of portfolios
Sectors:
Topics:
Asset ManagerBroker DealerCrypto Exchange
AMF complies with ESMA guidelines on updating the stress scenario parameters provided for in Article 28 of the Money Market Funds Regulation for 2024
Asset management MMF AMF complies with ESMA guidelines on updating the stress scenario parameters provided for in Article 28 of the Money Market Funds Regulation for 2024
Sectors:
Topics:
Asset ManagerBankBroker Dealer
The AMF has set up a CSR Committee
AMF activity Institutional The AMF has set up a CSR Committee
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF publishes a research paper on French funds’ costs
Financial products The AMF publishes a research paper on French funds’ costs
Sectors:
Topics:
Asset ManagerWealth Manager
Marie Seiller appointed Resources, Operations and Transformation Director at the Autorité des Marchés Financiers
Appointment AMF activity Journalists Marie Seiller appointed Resources, Operations and Transformation Director at the Autorité des Marchés Financiers
Sectors:
Topics:
Asset ManagerBankBroker Dealer
AMF publishes its 2023 Annual Report
Annual report Institutional AMF activity Other professionals Executive & other private individuals Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment...
Sectors:
Topics:
Asset ManagerBroker DealerFintech
ESMA's 20 recommendations for more efficient and attractive European markets
Markets Investment services Financing the economy Supervision ESMA's 20 recommendations for more efficient and attractive European markets
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
France Mayer appointed Retail Investor Relations and Protection Director at the Autorité des Marchés Financiers
Appointment AMF activity Retail investors Journalists France Mayer appointed Retail Investor Relations and Protection Director at the Autorité des Marchés Financiers
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Issue 5 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
Dashboard of retail investors active on the stock market: sharp increase in retail ETF activity in Q1 2024
Long term investment Equity ETF Retail investors Professional investors Journalists Dashboard of retail investors active on the stock market: sharp increase in retail ETF activity in Q1 2024
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Topics:
Asset ManagerBroker DealerWealth Manager
Issue 4 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF completes its policy on gates in master-feeder structures
Asset management The AMF completes its policy on gates in master-feeder structures
Sectors:
Topics:
Asset ManagerWealth Manager
Amendment to the AMF General Regulation makes "retail" tranche optional for initial public offerings
Financial disclosures & corporate financing Equity Journalists Listed companies and issuers Amendment to the AMF General Regulation makes "retail" tranche optional for initial public offerings
Sectors:
Topics:
Broker Dealer
Austrian, French, Italian and Spanish financial market authorities give their key priorities for a macro-prudential approach to asset management
Asset management Europe & international Journalists Investment management companies Austrian, French, Italian and Spanish financial market authorities give their key priorities for a macro-prudential approach to asset management
Sectors:
Topics:
Asset ManagerBankBroker Dealer
Less expensive investment funds for savers in 2023 according to the AMF's Household Savings Newsletter
Fees Collective investments Shares ETF Less expensive investment funds for savers in 2023 according to the AMF's Household Savings Newsletter
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Envviron token offering: decision to withdraw approval
Innovation Financial disclosures & corporate financing Envviron token offering: decision to withdraw approval
Sectors:
Topics:
Crypto Exchange
The Autorité des Marchés Financiers announces the new composition of the Financial Skills Certification Board
Professional certification AMF activity Journalists The Autorité des Marchés Financiers announces the new composition of the Financial Skills Certification Board
Sectors:
Topics:
Asset ManagerBroker DealerBank
Pauline Briand joins the Autorité des Marchés Financiers (AMF) as Head of Communications
Appointment AMF activity Journalists Pauline Briand joins the Autorité des Marchés Financiers (AMF) as Head of Communications
Sectors:
Topics:
Asset ManagerBankBroker Dealer
ROSA Extranet: changes to authorisation and declaration processes for collective investments
Asset management ROSA Extranet: changes to authorisation and declaration processes for collective investments
Sectors:
Topics:
Asset ManagerWealth Manager
Combatting money laundering and terrorist financing: AMF applies two sets of European Banking Authority guidelines
Asset management Anti-money Laundering Combatting money laundering and terrorist financing: AMF applies two sets of European Banking Authority guidelines
Sectors:
Topics:
Asset ManagerBankWealth Manager
Open Data: publication on data.gouv.fr of the list of Asset Management Companies (AMCs) authorized by the AMF, of the white lists of Digital Asset Service Providers (DASPs) and offers of investments in miscellaneous assets
Innovation Savings protection AMF activity Open Data: publication on data.gouv.fr of the list of Asset Management Companies (AMCs) authorized by the AMF, of the white lists of Digital Asset Service Providers (DASPs) and offers of investments in miscellaneous assets
Sectors:
Topics:
Asset ManagerCrypto Exchange
Issue 3 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
Issue 2 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
AMF calls on investment services providers to take account of the specific nature of temporary ownership dismemberment when marketing SCPI units
Supervision Marketing MIFID Journalists Investment services providers Investment management companies AMF calls on investment services providers to take account of the specific nature of temporary ownership dismemberment when marketing SCPI units
Sectors:
Topics:
Asset ManagerWealth Manager
The AMF publishes, in a position paper, the key principles it believes should guide the SFDR review
Sustainable Finance Financial products Asset management Europe & international Regulatory developments The AMF publishes, in a position paper, the key principles it believes should guide the SFDR review
Sectors:
Topics:
Asset Manager
Ten new key figures admitted to the Board of the Autorité des Marchés Financiers
AMF activity Appointment Journalists Ten new key figures admitted to the Board of the Autorité des Marchés Financiers
Sectors:
Topics:
Asset ManagerBroker DealerBank
Definition of investment advice: AMF updates its doctrine
Investment advice Asset management Definition of investment advice: AMF updates its doctrine
Sectors:
Topics:
Asset ManagerWealth Manager
EMIR Refit: Update of the AMF website on notifications forms
Derivatives or structured products EMIR Refit: Update of the AMF website on notifications forms
Sectors:
Topics:
Asset ManagerBroker DealerBank
The European single access point for financial and non-financial information on European entities (ESAP) enters its implementation phase
Europe & international Periodic & ongoing disclosures The European single access point for financial and non-financial information on European entities (ESAP) enters its implementation phase
Sectors:
Topics:
Asset ManagerBankBroker Dealer
Issue 1 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
AMF publishes an educational guide on companies’ climate transition plans prepared by its Climate and Sustainable Finance Commission
Sustainable Finance Periodic & ongoing disclosures Journalists Listed companies and issuers AMF publishes an educational guide on companies’ climate transition plans prepared by its Climate and Sustainable Finance Commission
Sectors:
Topics:
Asset ManagerWealth Manager
Consequences from 2024 of the transposition of the CSRD for large listed companies
Periodic & ongoing disclosures Sustainable Finance Consequences from 2024 of the transposition of the CSRD for large listed companies
Sectors:
Topics:
Asset ManagerBankWealth Manager
AMF encourages investment services providers to strengthen their procedures for handling client complaints
Supervision Investment services Journalists Investment services providers AMF encourages investment services providers to strengthen their procedures for handling client complaints
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
The AMF reminds investment firms of the rules for identifying retail investors when reporting transactions
Innovation MIFID The AMF reminds investment firms of the rules for identifying retail investors when reporting transactions
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
Astrid Milsan will act as Secretary General of the AMF until 15 April 2024
AMF activity Institutional Journalists Astrid Milsan will act as Secretary General of the AMF until 15 April 2024
Deadline: 15 April 2024
Sectors:
Topics:
BankAsset ManagerWealth Manager
Entry into force of the revised European Long-Term Investment Fund Regulation (ELTIF 2) - AMF clarifies fund authorisation requirements
Asset management Entry into force of the revised European Long-Term Investment Fund Regulation (ELTIF 2) - AMF clarifies fund authorisation requirements
Sectors:
Topics:
Asset ManagerWealth Manager
The AMF publishes its action plan and supervisory priorities for 2024
Strategy Supervision Institutional Other professionals Executive & other private individuals Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services...
Sectors:
Topics:
Asset ManagerBroker DealerFintech
Equity investment: intentions on the rise again, driven by young people
Long term investment Collective investments Shares Retail investors Journalists Equity investment: intentions on the rise again, driven by young people
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
The AMF publishes summary of third thematic inspection of asset management companies' cybersecurity systems
Supervision Asset management Journalists Investment management companies The AMF publishes summary of third thematic inspection of asset management companies' cybersecurity systems
Sectors:
Topics:
Asset Manager
The AMF updates its policy on disclosures by collective investment schemes incorporating non-financial methods
Asset management UCIT Collective investments The AMF updates its policy on disclosures by collective investment schemes incorporating non-financial methods
Sectors:
Topics:
Asset ManagerWealth ManagerAll Firms
Changes to CIU authorisation and declaration processes
Asset management Changes to CIU authorisation and declaration processes
Sectors:
Topics:
Asset Manager
Requirements for investment committees and the affiliation of fund managers of asset management companies: the AMF updates its policy
Asset management Requirements for investment committees and the affiliation of fund managers of asset management companies: the AMF updates its policy
Sectors:
Topics:
Asset Manager
AMF proposes enhanced investor information when evaluating boards of listed companies
Governance Periodic & ongoing disclosures Journalists Listed companies and issuers AMF proposes enhanced investor information when evaluating boards of listed companies
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF presents its 2023 Young Researcher Award to Sylvain Carré
Markets Institutional Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers Investment management companies Listed companies and issuers The AMF presents...
Sectors:
Topics:
Asset Manager
The AMF releases a research paper on French bond funds' flow-performance relationship
Asset management UCIT The AMF releases a research paper on French bond funds' flow-performance relationship
Sectors:
Topics:
Asset ManagerBankBroker Dealer
Issue 10 2023
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
Gamification tends to increase investment risk-taking, according to behavioural finance experiment conducted for the AMF
Long term investment Risk and Trend Mapping Retail investors Professional investors Journalists Investment management companies Listed companies and issuers Gamification tends to increase investment risk-taking, according to behavioural...
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
The AMF publishes a second educational report on taxonomy reporting by listed companies
Sustainable Finance Periodic & ongoing disclosures Journalists Investment services providers Investment management companies Listed companies and issuers The AMF publishes a second educational report on taxonomy reporting by listed companies
Sectors:
Topics:
Asset Manager
An OECD study for the AMF profiles new French retail investors
Long term investment Equity Journalists Investment services providers Investment management companies Listed companies and issuers An OECD study for the AMF profiles new French retail investors
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
The ACPR and AMF encourage financial institutions to continue their efforts to take account of the vulnerability of ageing clients
Marketing Savings protection Retail investors Professional investors Journalists The ACPR and AMF encourage financial institutions to continue their efforts to take account of the vulnerability of ageing clients
Sectors:
Topics:
BankWealth ManagerAll Firms
Issue 9 2023
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF and the US CFTC sign MOU for supervision of certain cross-border firms
Cooperation Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers Investment management companies Listed companies and issuers The AMF and the US...
Sectors:
Topics:
Asset ManagerBroker Dealer
Pan-European Personal Pension Products: the AMF complies with EIOPA guidelines
Asset management Pan-European Personal Pension Products: the AMF complies with EIOPA guidelines
Sectors:
Topics:
Asset ManagerInsurance
Loans originated by AIFs: the AMF amends its guidelines on reporting requirements
Asset management Loans originated by AIFs: the AMF amends its guidelines on reporting requirements
Sectors:
Topics:
Asset ManagerBank
Regulatory reporting by asset management companies: the AMF calls for greater diligence
Supervision Asset management Compliance Journalists Investment management companies Regulatory reporting by asset management companies: the AMF calls for greater diligence
Sectors:
Topics:
Asset Manager
AMF Chair Marie-Anne Barbat-Layani meets with ASIC Chair Joseph Longo
Cooperation AMF Chair Marie-Anne Barbat-Layani meets with ASIC Chair Joseph Longo
Sectors:
Topics:
BankWealth ManagerAll Firms
The AMF ensures that retail investors are properly informed on fees of financial products
Fees Savings protection Other professionals Retail investors Journalists Investment services providers The AMF ensures that retail investors are properly informed on fees of financial products
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF announces the appointment of its new Secretary General, Sébastien Raspiller
Appointment Institutional AMF activity Other professionals Executive & other private individuals Retail investors Fintech Professional investors Journalists Investment services providers Investment management...
Sectors:
Topics:
Asset ManagerBankBroker Dealer
Issue 8 2023
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
Regime applicable to financial investment advisers: update of Position-Recommendation DOC-2006-23
Asset management Investment advice Regime applicable to financial investment advisers: update of Position-Recommendation DOC-2006-23
Sectors:
Topics:
Asset ManagerWealth Manager
MiFID II product governance requirements: the AMF applies the updated ESMA guidelines
Asset management MIFID Financial services providers MiFID II product governance requirements: the AMF applies the updated ESMA guidelines
Sectors:
Topics:
Asset ManagerBroker DealerBank
Markets in crypto-assets: publication of the MiCA regulation
MiCA Crypto-assets Innovation Markets in crypto-assets: publication of the MiCA regulation
Sectors:
Topics:
Crypto ExchangeFintechBank
The AMF and the ARPP launch the Responsible Influence Certificate in Finance
Savings protection Cooperation Crypto-assets Retail investors Fintech Journalists The AMF and the ARPP launch the Responsible Influence Certificate in Finance
Sectors:
Topics:
Asset ManagerFintechCrypto Exchange
Investment service: amendment of the French definition of reception and transmission of orders
Investment services Investment service: amendment of the French definition of reception and transmission of orders
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
The AMF publishes a study on the margins applied by brokers in the French bond market
Fixed income Markets Financial services providers The AMF publishes a study on the margins applied by brokers in the French bond market
Sectors:
Topics:
Broker DealerBank
The AMF pays tribute to Jacques Delmas-Marsalet
Institutional AMF activity Journalists The AMF pays tribute to Jacques Delmas-Marsalet
Sectors:
Topics:
BankWealth ManagerAsset Manager
Digital assets: the AMF amends its General Regulation and its policy on DASP in light of enhanced registration and the MiCA Regulation
MiCA Crypto-assets Regulatory developments Digital assets: the AMF amends its General Regulation and its policy on DASP in light of enhanced registration and the MiCA Regulation
Sectors:
Topics:
Crypto ExchangeFintech
The Autorité des Marchés Financiers (AMF) announces withdrawal of the authorisation of the portfolio asset management company Quantology Capital Management as of 30 June 2023
Asset management The Autorité des Marchés Financiers (AMF) announces withdrawal of the authorisation of the portfolio asset management company Quantology Capital Management as of 30 June 2023
Sectors:
Topics:
Asset Manager
The AMF updates its policy on the information to be provided by collective investment schemes incorporating non-financial approaches
Collective investments Asset management The AMF updates its policy on the information to be provided by collective investment schemes incorporating non-financial approaches
Sectors:
Topics:
Asset ManagerWealth Manager
Market infrastuctures on blockchain technology: adaptation of the French securities laws
Crypto-assets Innovation Market infrastructures Post-trading infrastructures Market infrastuctures on blockchain technology: adaptation of the French securities laws
Sectors:
Topics:
BankFintechCrypto Exchange
Anti-money laundering and combating the financing of terrorism: the AMF applies the guidelines of the European Banking Authority
Anti-money Laundering Asset management Anti-money laundering and combating the financing of terrorism: the AMF applies the guidelines of the European Banking Authority
Sectors:
Topics:
Asset ManagerBankWealth Manager
Central counterparties’ recovery and resolution: AMF complies with ESMA guidelines
Regulatory developments Post-trading infrastructures Market infrastructures Central counterparties’ recovery and resolution: AMF complies with ESMA guidelines
Sectors:
Topics:
Asset ManagerBroker DealerBank
Close to 40% of new equity investors are under 35
Long term investment Equity Retail investors Journalists Close to 40% of new equity investors are under 35
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
Digital assets: the AMF amends its policy on DASPs to clarify the transition to "enhanced" DASP registration
Crypto-assets Digital assets: the AMF amends its policy on DASPs to clarify the transition to "enhanced" DASP registration
Sectors:
Topics:
Crypto ExchangeFintech
The AMF updates its instructions on AMF certification and the sustainable finance module
Professional certification Sustainable Finance The AMF updates its instructions on AMF certification and the sustainable finance module
Sectors:
Topics:
Asset ManagerWealth ManagerAll Firms
Sustainable investment: growing interest among French people, especially the youngest
Long term investment Sustainable Finance Collective investments Retail investors Journalists Sustainable investment: growing interest among French people, especially the youngest
Sectors:
Topics:
Asset ManagerWealth ManagerAll Firms
The AMF reinforces the visibility of its blacklists through Open Data
Innovation Savings protection AMF activity The AMF reinforces the visibility of its blacklists through Open Data
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF publishes its 2023 Markets and Risk Outlook
Risk and Trend Mapping Markets Europe & international Asset management Other professionals Market Infrastructures Journalists Investment services providers Investment management companies Listed companies and issuers ...
Sectors:
Topics:
Asset ManagerBroker Dealer
The AMF examines the systems for valuation of the less liquid assets of UCITS and AIFs
Supervision Asset management Journalists Investment management companies The AMF examines the systems for valuation of the less liquid assets of UCITS and AIFs
Sectors:
Topics:
Asset ManagerWealth Manager
The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment publishes its 2022 annual report
Annual report Savings protection Marketing Financial products Retail investors Journalists The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment publishes its 2022 annual report
Sectors:
Topics:
BankAsset ManagerInsurance
Impact 2027: six main strategic guidelines for 2023-2027
Annual report Institutional Strategy AMF activity Retail investors Post-trade Infrastructures Journalists Investment management companies Listed companies and issuers Impact 2027: six main strategic guidelines for...
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF supports issuers in implementing new sustainability reporting obligations
Periodic & ongoing disclosures Sustainable Finance The AMF supports issuers in implementing new sustainability reporting obligations
Sectors:
Topics:
Asset ManagerBankAll Firms
European Crowdfunding Services Providers: the AMF publishes a position on marketing communications
Financial services providers Asset management Marketing European Crowdfunding Services Providers: the AMF publishes a position on marketing communications
Sectors:
Topics:
Asset ManagerBroker DealerFintech
MiFID II suitability assessment: the AMF applies the updated ESMA guidelines
Investment advice MIFID Asset management MiFID II suitability assessment: the AMF applies the updated ESMA guidelines
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
Employee savings funds: the AMF amends its policy on the simplified integration of liquidity management tools
Asset management Employee savings funds: the AMF amends its policy on the simplified integration of liquidity management tools
Sectors:
Topics:
Asset ManagerWealth Manager
The AMF publishes a summary on the internal processes that aim to ensure compliance with non-financial contractual commitments by asset management companies of ESG/SRI funds
Supervision Asset management Sustainable Finance Journalists Investment management companies The AMF publishes a summary on the internal processes that aim to ensure compliance with non-financial contractual commitments by asset management companies of ESG/SRI funds
Sectors:
Topics:
Asset Manager
The AMF Ombudsman publishes her 2022 Annual Report
Mediation Annual report Retail investors Journalists Investment services providers Investment management companies Listed companies and issuers The AMF Ombudsman publishes her 2022 Annual Report
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
Central counterparties’ recovery plan: AMF complies with ESMA guidelines on recovery plan indicators and scenarios
Regulatory developments Post-trading infrastructures Market infrastructures Central counterparties’ recovery plan: AMF complies with ESMA guidelines on recovery plan indicators and scenarios
Sectors:
Topics:
BankBroker DealerAll Firms
MiFID II remuneration requirements: the AMF applies the ESMA Guidelines
Asset management Governance MiFID II remuneration requirements: the AMF applies the ESMA Guidelines
Sectors:
Topics:
Asset Manager
Reporting under Article 29 of the Energy-Climate Law: the AMF updates its policy on how to prepare and submit reports
Asset management Sustainable Finance Organisational rules Reporting under Article 29 of the Energy-Climate Law: the AMF updates its policy on how to prepare and submit reports
Sectors:
Topics:
Asset ManagerWealth Manager
The AMF revises position limits applicable to agricultural commodity derivatives
Innovation Markets Derivatives or structured products The AMF revises position limits applicable to agricultural commodity derivatives
Sectors:
Topics:
Broker DealerAll Firms
Equity savings plans : the AMF working group proposes avenues for improvement
Savings protection Equity Savings Plan Shares Long term investment Retail investors Journalists Investment services providers Listed companies and issuers Equity savings plans : the AMF working group proposes avenues for...
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
Provision of market data: the AMF conducts a series of SPOT inspections and identifies shortcomings in compliance with requirements
Supervision MIFID Financial services providers Other professionals Journalists Investment services providers Provision of market data: the AMF conducts a series of SPOT inspections and identifies shortcomings in compliance with requirements
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
Crypto-asset markets: the MiCA regulation adopted by the European Parliament
MiCA Crypto-assets Innovation Crypto-asset markets: the MiCA regulation adopted by the European Parliament
Sectors:
Topics:
Crypto ExchangeFintech
The Autorité des Marchés Financiers (AMF) has withdrawn the authorisation of the portfolio asset management company Quantology Capital Management
Asset management The Autorité des Marchés Financiers (AMF) has withdrawn the authorisation of the portfolio asset management company Quantology Capital Management
Sectors:
Topics:
Asset Manager
Slight recovery of retail investor activity in the stock market
Long term investment Equity Savings Plan Retail investors Journalists Slight recovery of retail investor activity in the stock market
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
The AMF makes available to listed companies the English version of its recommendations and the results of its examination work of the financial statements
Financial disclosures & corporate financing The AMF makes available to listed companies the English version of its recommendations and the results of its examination work of the financial statements
Sectors:
Topics:
BankBroker DealerAsset Manager
The AMF complies with the ESMA guidelines on updating stress test scenarios in accordance with Article 28 of the Money Market Fund Regulation for 2023
MMF Asset management Regulatory developments The AMF complies with the ESMA guidelines on updating stress test scenarios in accordance with Article 28 of the Money Market Fund Regulation for 2023
Sectors:
Topics:
Asset Manager
Laure Tertrais is appointed Head of the AMF Chair’s Executive Office with effect from 1 April 2023
Appointment AMF activity Institutional Journalists Laure Tertrais is appointed Head of the AMF Chair’s Executive Office with effect from 1 April 2023
Sectors:
Topics:
Asset ManagerBankAll Firms
Sustainable Finance Disclosure Regulation: the AMF publishes a study on classifications and fossil fuel exposure in the French funds universe
Sustainable Finance Asset management Sustainable Finance Disclosure Regulation: the AMF publishes a study on classifications and fossil fuel exposure in the French funds universe
Sectors:
Topics:
Asset ManagerBankBroker Dealer
Employee savings: a sharp increase in awareness and ownership of employee savings schemes; support for employees and company managers should be reinforced
Employee savings scheme Long term investment Collective investments Retail investors Professional investors Journalists Employee savings: a sharp increase in awareness and ownership of employee savings schemes; support for employees and company managers...
Sectors:
Topics:
Asset ManagerWealth ManagerAll Firms
The AMF has produced the standard profile of active investors in 2022
Long term investment Equity Retail investors Professional investors Journalists The AMF has produced the standard profile of active investors in 2022
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
Publication by the Climate and Sustainable Finance Commission: climate resolutions
Sustainable Finance Publication by the Climate and Sustainable Finance Commission: climate resolutions
Sectors:
Topics:
Asset ManagerBankWealth Manager
Shareholder dialogue on environmental and climate issues
Sustainable Finance Executive & other private individuals Journalists Listed companies and issuers Shareholder dialogue on environmental and climate issues
Sectors:
Topics:
Asset ManagerBankBroker Dealer
Mystery shopping campaign to bank branches: progress made in the questioning to client, improvements needed in the information provided
MIFID Supervision Retail investors Journalists Mystery shopping campaign to bank branches: progress made in the questioning to client, improvements needed in the information provided
Sectors:
Topics:
BankWealth Manager
Contributions payable to the AMF: a new complaints form for a more effective follow-up
AMF activity Asset management Contributions payable to the AMF: a new complaints form for a more effective follow-up
Sectors:
Topics:
Asset ManagerWealth Manager
AI enthusiasts, the AMF challenges you
Innovation Markets AI enthusiasts, the AMF challenges you
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
Market infrastructures on blockchain: Application of the EU DLT Pilot Regime from March 23rd
Innovation Market infrastructures Post-trading infrastructures Market infrastructures on blockchain: Application of the EU DLT Pilot Regime from March 23rd
Sectors:
Topics:
FintechCrypto Exchange
Anti-money laundering and combating the financing of terrorism: the AMF applies the guidelines of the European Banking Authority
Asset management Anti-money Laundering Anti-money laundering and combating the financing of terrorism: the AMF applies the guidelines of the European Banking Authority
Sectors:
Topics:
Asset ManagerBankWealth Manager
Money Laundering and Terrorist Financing: update of the COLB’s National Risk Assessment
Asset management Anti-money Laundering Money Laundering and Terrorist Financing: update of the COLB’s National Risk Assessment
Sectors:
Topics:
Asset ManagerWealth Manager
Termination of membership towards Indian central counterparties: a transition period planned for the French credit institutions
EMIR Termination of membership towards Indian central counterparties: a transition period planned for the French credit institutions
Sectors:
Topics:
Bank
The AMF calls on listed companies to improve investor information regarding the risks incurred in the case of dilutive financing transactions
Financial disclosures & corporate financing Financial products Journalists Listed companies and issuers The AMF calls on listed companies to improve investor information regarding the risks incurred in the case of dilutive financing transactions
Sectors:
Topics:
All Firms
Extension of the preparation of a Key Information Document to all collective investments: the AMF updates its policy
Asset management Extension of the preparation of a Key Information Document to all collective investments: the AMF updates its policy
Sectors:
Topics:
Asset ManagerWealth Manager
The Sustainable Finance Disclosure Regulation: the AMF proposes a targeted review to include minimum environmental criteria
Financial products Sustainable Finance Asset management Journalists Investment management companies The Sustainable Finance Disclosure Regulation: the AMF proposes a targeted review to include minimum environmental criteria
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Taxonomy Article 8 reporting: publication of Frequently Asked Questions by the European Commission
Sustainable Finance Periodic & ongoing disclosures Taxonomy Article 8 reporting: publication of Frequently Asked Questions by the European Commission
Sectors:
Topics:
Asset ManagerWealth ManagerAll Firms
Marketing of financial products to ageing populations: publication of an independent academic research report on customer relations and sales processes
Savings protection Marketing Marketing of financial products to ageing populations: publication of an independent academic research report on customer relations and sales processes
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Over 1.5 million retail investors bought or sold shares in 2022
Long term investment Equity Equity Savings Plan Retail investors Journalists Investment services providers Investment management companies Listed companies and issuers Over 1.5 million retail investors bought or sold shares in...
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
Publication of the new directive on corporate sustainability reporting (CSRD)
Sustainable Finance Periodic & ongoing disclosures Publication of the new directive on corporate sustainability reporting (CSRD)
Sectors:
Topics:
Asset ManagerBankBroker Dealer
Artificial intelligence, towards new contributions for regulators
Artificial intelligence Financial disclosures & corporate financing Innovation Prospectus Artificial intelligence, towards new contributions for regulators
Sectors:
Topics:
Asset ManagerBroker DealerFintech
The AMF has published its action and supervisory priorities for 2023
Strategy Executive & other private individuals Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers Investment management companies Listed companies and...
Sectors:
Topics:
Asset ManagerBroker DealerFintech
Marie-Anne Barbat-Layani to chair ESMA's Investor Protection Standing Committee
Europe & international Savings protection Marie-Anne Barbat-Layani to chair ESMA's Investor Protection Standing Committee
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF renews its consultative commissions and the Climate and Sustainable Finance Commission
Institutional AMF activity Executive & other private individuals Retail investors Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers ...
Sectors:
Topics:
Asset ManagerWealth ManagerAll Firms
Digital assets: the AMF strengthens its policy on DASPs in relation to good repute and skills and promotional communications
Crypto-assets Innovation Digital assets: the AMF strengthens its policy on DASPs in relation to good repute and skills and promotional communications
Sectors:
Topics:
Crypto ExchangeFintech
The AMF’s latest savings barometer finds that the French are a little less inclined to invest in the stock market
Long term investment Shares Collective investments Retail investors Journalists The AMF’s latest savings barometer finds that the French are a little less inclined to invest in the stock market
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
Social and environmental responsibility, the focus of the AMF's 2022 report on corporate governance and executive compensation of listed companies
Governance Sustainable Finance Executive & other private individuals Journalists Listed companies and issuers Social and environmental responsibility, the focus of the AMF's 2022 report on corporate governance and executive compensation of listed companies
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF is supplementing its policy on liquidity management tools
Asset management The AMF is supplementing its policy on liquidity management tools
Sectors:
Topics:
Asset ManagerWealth Manager
AMF modifies its policy to facilitate the implementation by asset management companies of the Delegated Regulation of the SFDR
Asset management AMF modifies its policy to facilitate the implementation by asset management companies of the Delegated Regulation of the SFDR
Sectors:
Topics:
Asset Manager
The AMF publishes two analyses of the information provided by listed companies under Taxonomy reporting and concerning the effects of climate risk in financial statements
Sustainable Finance Periodic & ongoing disclosures Executive & other private individuals Journalists Listed companies and issuers The AMF publishes two analyses of the information provided by listed companies under Taxonomy reporting and concerning the effects of...
Sectors:
Topics:
Asset ManagerBank
Marie-Anne Barbat-Layani appointed Chair of the Autorité des Marchés Financiers
Appointment Institutional AMF activity Other professionals Executive & other private individuals Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services...
Sectors:
Topics:
BankAsset ManagerWealth Manager
The Autorité des marchés financiers (AMF) has requested the resumption of listing of ORPEA’s securities today
Markets Financial disclosures & corporate financing The Autorité des marchés financiers (AMF) has requested the resumption of listing of ORPEA’s securities today
Sectors:
Topics:
Asset ManagerBroker DealerBank
The AMF and the ACPR publish their third report on the monitoring and assessment of the climate commitments of Paris financial centre actors
Sustainable Finance Governance Financing the economy Other professionals Executive & other private individuals Fintech Market Infrastructures Professional investors Journalists Investment services providers ...
Sectors:
Topics:
Asset ManagerBankBroker Dealer
The AMF issues a request for candidates for its consultative commissions
Institutional AMF activity Executive & other private individuals Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers Investment management companies ...
Sectors:
Topics:
Asset ManagerWealth ManagerAll Firms
Significant drop in the number of active retail investors amid a stock market downturn
Long term investment Shares Executive & other private individuals Retail investors Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers ...
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
The AMF publishes a study on the share price performance of companies using dilutive financing in the form of OCABSAs or equity lines
Financial disclosures & corporate financing Financial products Executive & other private individuals Professional investors Journalists Listed companies and issuers The AMF publishes a study on the share price performance of companies using dilutive...
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
The AMF updates its policy on management fees for collective investment undertakings (CIUs)
Asset management The AMF updates its policy on management fees for collective investment undertakings (CIUs)
Sectors:
Topics:
Asset ManagerWealth Manager
The AMF calls on investment fund depositaries to strengthen their arrangements for the onboarding and monitoring of asset management companies
Supervision UCIT Asset management Journalists Investment management companies The AMF calls on investment fund depositaries to strengthen their arrangements for the onboarding and monitoring of asset management companies
Sectors:
Topics:
Asset ManagerBank
The AMF awards its 2022 prize for young researchers in economics
Markets Executive & other private individuals Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers Investment management companies Listed companies and issuers ...
Sectors:
Topics:
Asset ManagerBroker Dealer
The AMF updates its doctrine to facilitate the adoption of liquidity management tools
Asset management The AMF updates its doctrine to facilitate the adoption of liquidity management tools
Sectors:
Topics:
Asset ManagerWealth ManagerBank
AMF and ACPR announce the withdrawal of BYKEPS SAS’s registration as a DASP
Crypto-assets Anti-money Laundering Supervision Journalists Investment services providers AMF and ACPR announce the withdrawal of BYKEPS SAS’s registration as a DASP
Sectors:
Topics:
Crypto Exchange
The AMF creates a working group on equity savings plans (PEAs)
Equity Savings Plan Long term investment Savings protection Retail investors Journalists The AMF creates a working group on equity savings plans (PEAs)
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Call for candidates: renewal of the members of the Climate and Sustainable Finance Commission
Sustainable Finance AMF activity Journalists Call for candidates: renewal of the members of the Climate and Sustainable Finance Commission
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF urges market participants to notify it of any anomalies found in net short position notifications
Short selling Markets The AMF urges market participants to notify it of any anomalies found in net short position notifications
Sectors:
Topics:
Broker DealerCrypto Exchange
The AMF publishes a summary of its SPOT inspections on simple, transparent and standardised securitisation
Supervision Journalists Investment services providers The AMF publishes a summary of its SPOT inspections on simple, transparent and standardised securitisation
Sectors:
Topics:
Asset ManagerBankBroker Dealer
Sustainability requirements in the distribution of financial instruments: update on upcoming legislation and its implementation dates
MIFID Sustainable Finance Asset management Sustainability requirements in the distribution of financial instruments: update on upcoming legislation and its implementation dates
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF complies with the ESMA guidelines on updating stress test scenarios in accordance with Article 28 of the Money Market Fund Regulation
MMF Asset management The AMF complies with the ESMA guidelines on updating stress test scenarios in accordance with Article 28 of the Money Market Fund Regulation
Sectors:
Topics:
Asset Manager
End of the term of office of the AMF chairman and interim chairmanship
AMF activity Appointment Journalists End of the term of office of the AMF chairman and interim chairmanship
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Common procedures and methodologies on supervisory review and evaluation process of CCPs under Article 21 of EMIR: the AMF complies with ESMA guidelines
Market infrastructures Post-trading infrastructures EMIR Common procedures and methodologies on supervisory review and evaluation process of CCPs under Article 21 of EMIR: the AMF complies with ESMA guidelines
Sectors:
Topics:
BankBroker DealerAll Firms
Crypto-asset markets: Agreement reached on the European Crypto-Assets regulation (MiCA)
MiCA Crypto-assets Innovation Cooperation Europe & international Crypto-asset markets: Agreement reached on the European Crypto-Assets regulation (MiCA)
Sectors:
Topics:
Crypto ExchangeFintech
The AMF and the ARPP are stepping up their cooperation to promote clear and responsible advertising of financial products
Savings protection Cooperation Crypto-assets Fintech Journalists The AMF and the ARPP are stepping up their cooperation to promote clear and responsible advertising of financial products
Sectors:
Topics:
BankFintechCrypto Exchange
The AMF reviews the key issues raised by the Veolia-Suez public offer
Bids Financial disclosures & corporate financing The AMF reviews the key issues raised by the Veolia-Suez public offer
Sectors:
Topics:
BankAsset ManagerBroker Dealer
The AMF has published a study of the profile of participants and their positions in the Matif agricultural commodities derivatives market
Derivatives or structured products Journalists The AMF has published a study of the profile of participants and their positions in the Matif agricultural commodities derivatives market
Sectors:
Topics:
Broker DealerAsset Manager
Publication of the SPOT inspection campaign summary on market abuse prevention systems in asset management companies
Supervision MAR Journalists Investment services providers Investment management companies Publication of the SPOT inspection campaign summary on market abuse prevention systems in asset management companies
Sectors:
Topics:
Asset Manager
The AMF publishes its 2022 Markets and Risk Outlook
Risk and Trend Mapping Markets Europe & international Asset management Executive & other private individuals Journalists Investment services providers Investment management companies Listed companies and issuers The...
Sectors:
Topics:
Asset ManagerBroker Dealer
The AMF publishes a summary of its SPOT inspections on the theme of best execution in asset management companies
Supervision MIFID Journalists Investment services providers Investment management companies The AMF publishes a summary of its SPOT inspections on the theme of best execution in asset management companies
Sectors:
Topics:
Asset Manager
Grégoire Vuarlot is appointed coordinator of the ACPR and AMF Joint Unit starting 1st July 2022
AMF activity Appointment Journalists Grégoire Vuarlot is appointed coordinator of the ACPR and AMF Joint Unit starting 1st July 2022
Sectors:
Topics:
BankWealth ManagerAsset Manager
The AMF continues its data strategy with the release of short selling data to the public
Innovation AMF activity Journalists Investment services providers Investment management companies Listed companies and issuers The AMF continues its data strategy with the release of short selling data to the public
Sectors:
Topics:
Asset ManagerBroker Dealer
Market infrastructures on blockchain technology: publication of the European Pilot Regime regulation
Crypto-assets Innovation Market infrastructures on blockchain technology: publication of the European Pilot Regime regulation
Sectors:
Topics:
Crypto ExchangeFintech
The AMF ensures compliance with major holding reporting obligations
Financial disclosures & corporate financing The AMF ensures compliance with major holding reporting obligations
Sectors:
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Asset ManagerBroker DealerBank
The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment publishes its 2021 annual report
Annual report Savings protection Journalists Investment services providers Investment management companies Listed companies and issuers The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment publishes its 2021 annual report
Sectors:
Topics:
Asset ManagerBankInsurance
Digital assets: the AMF updates its policy on DASPs
Crypto-assets Digital assets: the AMF updates its policy on DASPs
Sectors:
Topics:
Crypto ExchangeFintech
Assessing appropriateness and execution only in MiFID II: the AMF applies the ESMA guidelines
Asset management Assessing appropriateness and execution only in MiFID II: the AMF applies the ESMA guidelines
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Topics:
Asset ManagerBroker Dealer
The AMF reiterates its call for a European regulation of ESG data, ratings, and related services
Europe & international Sustainable Finance Asset management The AMF reiterates its call for a European regulation of ESG data, ratings, and related services
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF publishes a summary of its findings regarding the costs and fees of UCITS marketed to retail investors
Supervision Asset management Journalists Investment services providers Investment management companies The AMF publishes a summary of its findings regarding the costs and fees of UCITS marketed to retail investors
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Topics:
Asset ManagerWealth Manager
The AMF updates its policy on funds with high fees
Asset management The AMF updates its policy on funds with high fees
Sectors:
Topics:
Asset ManagerWealth Manager
With the publication of its 2021 annual report, the AMF reviews its five-year strategic plan, #Supervision2022
Annual report Institutional Other professionals Executive & other private individuals Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers ...
Sectors:
Topics:
Asset ManagerBroker DealerFintech
Appointments in the Investigations Directorate and the Asset Management Directorate
Appointment AMF activity Other professionals Executive & other private individuals Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers Investment management...
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The ACPR and AMF are urging professionals to improve their practices in online marketing of savings products and financial instruments
Marketing Investing wisely Retail investors Journalists The ACPR and AMF are urging professionals to improve their practices in online marketing of savings products and financial instruments
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF Ombudsman publishes her 2021 Annual Report
Mediation Annual report Retail investors Journalists The AMF Ombudsman publishes her 2021 Annual Report
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Review of the central clearing framework in the EU: the AMF publishes a position paper
Market infrastructures Post-trading infrastructures Review of the central clearing framework in the EU: the AMF publishes a position paper
Sectors:
Topics:
BankBroker DealerAsset Manager
The AMF publishes a summary of its SPOT inspections on post-trade transparency in the bond market
Supervision Fixed income Journalists Investment services providers The AMF publishes a summary of its SPOT inspections on post-trade transparency in the bond market
Sectors:
Topics:
Broker DealerBank
The AMF updates its policy on portfolio asset management company control systems and programmes of operations
Asset management The AMF updates its policy on portfolio asset management company control systems and programmes of operations
Sectors:
Topics:
Asset ManagerWealth Manager
The AMF announces the appointment of Jessica Reyes as Director of the Asset Management Regulation Division
Appointment Journalists Investment management companies The AMF announces the appointment of Jessica Reyes as Director of the Asset Management Regulation Division
Sectors:
Topics:
Asset ManagerWealth Manager
The AMF and TRACFIN sign a new cooperation protocol
Anti-money Laundering Asset management The AMF and TRACFIN sign a new cooperation protocol
Sectors:
Topics:
Asset ManagerBankWealth Manager
EBA, ESMA and EIOPA warn consumers on the risks of crypto-assets
Savings protection EBA, ESMA and EIOPA warn consumers on the risks of crypto-assets
Sectors:
Topics:
BankCrypto ExchangeAll Firms
AMF publishes an analysis of retail investor order execution on French stocks
Market infrastructures Order Retail investors Market Infrastructures Journalists AMF publishes an analysis of retail investor order execution on French stocks
Sectors:
Topics:
Broker DealerWealth ManagerAsset Manager
The AMF publishes a stock-take analysis of the market for short-term debt instruments in Europe
MMF The AMF publishes a stock-take analysis of the market for short-term debt instruments in Europe
Sectors:
Topics:
Asset ManagerBankBroker Dealer
The AMF announces the appointment of Viet-Linh Nguyen as Head of the Strategy and Sustainable Finance Unit as well as Secretary of the Executive Committee
Appointment AMF activity Other professionals Executive & other private individuals Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers ...
Sectors:
Topics:
Asset ManagerBankFintech
A liquidator of the funds previously managed by "Nestadio Capital" has been appointed at the request of the AMF
Asset management A liquidator of the funds previously managed by "Nestadio Capital" has been appointed at the request of the AMF
Sectors:
Topics:
Asset Manager
French and Dutch market authorities publish a joint analysis of the impact of the short selling ban at the onset of the Covid-19 crisis
Short selling Equity Financial Crisis Executive & other private individuals Market Infrastructures Post-trade Infrastructures Professional investors Journalists French and Dutch market authorities publish a joint analysis of the...
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
The AMF announces the creation of a working group on the end-of-life of private equity funds
Asset management Savings protection Journalists Investment management companies The AMF announces the creation of a working group on the end-of-life of private equity funds
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Topics:
Asset ManagerWealth Manager
Focus on inDECx: the new tool to be used when interacting with the AMF during an inspection or investigation
AMF activity Focus on inDECx: the new tool to be used when interacting with the AMF during an inspection or investigation
Sectors:
Topics:
Asset ManagerBroker DealerCrypto Exchange
Closing of the 2021 financial statements: the AMF publishes its recommendations and the results of its recent work examining financial statements
Financial disclosures & corporate financing Covid-19 Closing of the 2021 financial statements: the AMF publishes its recommendations and the results of its recent work examining financial statements
Sectors:
Topics:
Asset ManagerBankBroker Dealer
The AMF proposes measures to promote a wider adoption of liquidity management tools by fund managers
Asset management Prospectus Journalists Investment services providers Investment management companies The AMF proposes measures to promote a wider adoption of liquidity management tools by fund managers
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Topics:
Asset Manager
Benchmarks: the AMF will apply ESMA Guidelines
Market infrastructures Benchmark Benchmarks: the AMF will apply ESMA Guidelines
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Topics:
Asset ManagerBankBroker Dealer
Settlement fails reporting: the AMF complies with ESMA guidelines
Market infrastructures Post-trading infrastructures Settlement fails reporting: the AMF complies with ESMA guidelines
Sectors:
Topics:
BankBroker DealerAll Firms
The AMF proposes targeted measures to make financial markets more attractive for companies
Financial disclosures & corporate financing Executive & other private individuals Journalists Listed companies and issuers Takeover listed companies The AMF proposes targeted measures to make financial markets more attractive for companies
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BankBroker DealerAsset Manager
The AMF updates its policy on the marketing communications of collective investments
Asset management Collective investments The AMF updates its policy on the marketing communications of collective investments
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Topics:
Asset ManagerWealth Manager
New step forward in the adoption of the regulation on a Pilot Regime for market infrastructures based on the blockchain technology
Crypto-assets Innovation Market infrastructures New step forward in the adoption of the regulation on a Pilot Regime for market infrastructures based on the blockchain technology
Sectors:
Topics:
FintechCrypto Exchange
Update of the AMF's policy on funds that use Total Return Swaps and communicate about their consideration of non-financial criteria
Asset management Update of the AMF's policy on funds that use Total Return Swaps and communicate about their consideration of non-financial criteria
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Topics:
Asset Manager
More than one million new retail investors have entered equity markets in France over the last 3 years, according to the AMF's dashboard
Long term investment Retail investors Journalists More than one million new retail investors have entered equity markets in France over the last 3 years, according to the AMF's dashboard
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
The AMF informs about the liquidation of the portfolio asset management company « Nestadio Capital »
Asset management The AMF informs about the liquidation of the portfolio asset management company « Nestadio Capital »
Sectors:
Topics:
Asset Manager
Stimulating the diversification of long-term savings: the AMF proposes an educational approach to equity investment
Long term investment Shares Stimulating the diversification of long-term savings: the AMF proposes an educational approach to equity investment
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF publishes its priorities for 2022, the last year of its five-year strategy
Strategy Supervision Other professionals Executive & other private individuals Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers ...
Sectors:
Topics:
Asset ManagerBroker DealerFintech
The ACPR and AMF publish their report on climate-related commitments of French financial institutions
Sustainable Finance Journalists Investment services providers Investment management companies Listed companies and issuers The ACPR and AMF publish their report on climate-related commitments of French financial institutions
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Topics:
Asset ManagerBankWealth Manager
Settlement discipline: supervisory approach on the implementation of the CSDR provisions
CSDR Supervision Settlement discipline: supervisory approach on the implementation of the CSDR provisions
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Topics:
BankBroker DealerAsset Manager
Money laundering and terrorist financing: the AMF applies EBA guidelines on risk factors
Asset management Anti-money Laundering Money laundering and terrorist financing: the AMF applies EBA guidelines on risk factors
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF and the Banque de France publish an update of the inventory of liquidity management tools in French funds
Asset management Prospectus The AMF and the Banque de France publish an update of the inventory of liquidity management tools in French funds
Sectors:
Topics:
Asset ManagerBankWealth Manager
Market Data: the AMF applies ESMA Guidelines
MIFID Market Data: the AMF applies ESMA Guidelines
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Topics:
Asset ManagerBroker DealerBank
Responsible finance: the AMF draws an overview of communications practices abroad
Sustainable Finance Savings protection Collective investments Responsible finance: the AMF draws an overview of communications practices abroad
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Topics:
Asset ManagerWealth ManagerAll Firms
Certification in sustainable finance: the AMF names the first certified training organisations
Professional certification Sustainable Finance Certification in sustainable finance: the AMF names the first certified training organisations
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Topics:
Asset ManagerWealth ManagerBank
The AMF updates its investigation and inspection charters
Supervision The AMF updates its investigation and inspection charters
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Topics:
BankAsset ManagerBroker Dealer
Marketing communications under the Regulation on cross-border distribution of funds : the AMF complies with ESMA’s Guidelines
Asset management Marketing communications under the Regulation on cross-border distribution of funds : the AMF complies with ESMA’s Guidelines
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Topics:
Asset ManagerWealth Manager
The AMF and the European Central Bank (ECB) sign a supervisory cooperation arrangement
Europe & international Cooperation The AMF and the European Central Bank (ECB) sign a supervisory cooperation arrangement
Sectors:
Topics:
BankAsset ManagerWealth Manager
Taxonomy Article 8: The AMF informs issuers about the phased application of reporting requirements
Sustainable Finance Annual report Disclosure Obligations Taxonomy Article 8: The AMF informs issuers about the phased application of reporting requirements
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Topics:
Asset ManagerBankAll Firms
The AMF updates its policy on the pre-approval of changes to UCITS and AIFs during their lifetime
Asset management The AMF updates its policy on the pre-approval of changes to UCITS and AIFs during their lifetime
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Topics:
Asset Manager
Transposition of the directive on the cross-border distribution of collective investment undertakings: the AMF amends its General Regulation and its policy
Asset management Transposition of the directive on the cross-border distribution of collective investment undertakings: the AMF amends its General Regulation and its policy
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Topics:
Asset ManagerWealth Manager
The AMF and the ACPR sign two cooperation agreements with the SEC regarding the regime applicable to Security Based Swap Dealers (SBSD) in the U.S
Cooperation Derivatives or structured products Europe & international Markets Post-trading infrastructures The AMF and the ACPR sign two cooperation agreements with the SEC regarding the regime applicable to Security Based Swap Dealers (SBSD) in the U.S
Sectors:
Topics:
Broker DealerBank
The AMF complies with the ESMA guidelines on updating stress test scenarios in accordance with Article 28 of the Money Market Fund Regulation
Asset management MMF The AMF complies with the ESMA guidelines on updating stress test scenarios in accordance with Article 28 of the Money Market Fund Regulation
Sectors:
Topics:
Asset Manager
The AMF publishes a study about potential explanatory variables for the record outflows that French MMFs faced in March 2020
MMF The AMF publishes a study about potential explanatory variables for the record outflows that French MMFs faced in March 2020
Sectors:
Topics:
Asset ManagerBankBroker Dealer
The AMF emphasises the importance of independence in financial analysis
Financial analysis The AMF emphasises the importance of independence in financial analysis
Sectors:
Topics:
Asset ManagerBroker DealerBank
The AMF publishes a study on the development of the SPAC market and its challenges
Financial products Bids Shares Financial disclosures & corporate financing Markets The AMF publishes a study on the development of the SPAC market and its challenges
Sectors:
Topics:
Asset ManagerBroker DealerBank
Application Form – Third country auditors and audit entities
No description available.
Sectors:
Topics:
BankWealth Manager
List of notifications received
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
New Data Series: Insurance Data – Solvency and Financial Condition Reports
The Central Bank of Ireland has today published a consolidated view of publically available data for insurance and reinsurance firms. Under new Solvency II regulations, firms must provide public disclosures. The public disclosures take the form of a Solvency and Financial Condition Report (SFCR), which firms produce on an annual basis. All Individual SFCRs from firms regulated by the Central Bank are available in a dedicated repository on the Central Bank’s website . This year the Central Ban...
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Topics:
Insurance