ASIC launches small business strategy, helping to educate and protect small businesses
ASIC launches small business strategy, helping to educate and protect small businesses
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Regulatory News
General regulatory news and announcements from financial authorities worldwide.
2396 Updates
23 Regulators
18 Jurisdictions
ASIC launches new digital resources for small business directors
ASIC launches new digital resources for small business directors
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Written reply to Parliamentary Question on centralised digital service
Written reply to Parliamentary Question on centralised digital service
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BankPayment Provider
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of Finance and Minister of State for Financial Services (July 24, 2026)
No description available.
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Asset ManagerBankWealth Manager
Bafin warns consumers about the website lotus-handeln(.)com
The Federal Financial Supervisory Authority (Bafin) warns consumers about the services offered on the website lotus-handeln(.)com. According to information available to Bafin, the operators are offering cryptoasset services on the website without the required authorisation. The operators of the website are not supervised by Bafin.
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Crypto ExchangeFintech
alta-roc(.)com: Bafin warns about new website and identity theft
The German Financial Supervisory Authority (Bafin) warns about offers on the website alta-roc(.)com. The website is identical to the one previously operated at alta-roc(.)de.
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Tribunal upholds FCA ban on pair involved in pension transfer advice and reduces fines
The Upper Tribunal upheld the FCA's decision to ban Richard Fenech and Heather Dunne from working in financial services. The Tribunal agreed that both acted dishonestly by providing a backdated appointed representative agreement to the FCA.The Tribunal found that Ms Dunne falsely claimed she had given advice to some pension schemes before she had done so. Also, that she had failed to take proper care when giving pension transfer advice. Meanwhile Mr Fenech failed to properly oversee her work....
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Wealth ManagerAll Firms
Publication,FSA Weekly Review No.698 August 4, 2026
No description available.
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BankAsset ManagerBroker Dealer
Advice on crypto-assets: the AMF updates its doctrine in relation to FIAs
Investment advice MiCA Asset management Advice on crypto-assets: the AMF updates its doctrine in relation to FIAs
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Wealth ManagerAsset ManagerFintech
ASIC proposes improved pre-IPO advertising flexibility and global alignment
ASIC proposes improved pre-IPO advertising flexibility and global alignment
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Broker DealerAsset Manager
ASIC disqualifies Victorian director Antonio Torcasio for 5 years
ASIC disqualifies Victorian director Antonio Torcasio for 5 years
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zinsanlageprofi(.)net: Bafin warns about fraudulent fixed-term deposit offers and possible identity fraud
The German Financial Supervisory Authority (Bafin) warns about fixed-term deposit offers on the website zinsanlageprofi(.)net. Contrary to the information given in the websiteโs legal notice, the company is not regulated by Bafin. Furthermore, based on current information, there is no connection between the website and MOS Finanzmakler GmbH, Bad Kreuznach, Germany. This is likely a case of identity fraud.
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BankPayment ProviderFintech
Aktualisierte Sanktionsmeldung: Taliban
Das Staatssekretariat fรผr Wirtschaft (SECO) hat eine รnderung der Liste der sanktionierten natรผrlichen Personen, Unternehmen und Organisationen der Verordnung vom 21. Mรคrz 2025 รผber Massnahmen gegenรผber Personen und Organisationen, die mit den Taliban in Verbindung stehen (SR 946.231.07), publiziert.
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Written reply to Parliamentary Questions on access to cash and physical banking services
Written reply to Parliamentary Questions on access to cash and physical banking services
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BankPayment Provider
Written reply to Parliamentary Question on minors who incurred excessive or unauthorised spending through online platforms
Written reply to Parliamentary Question on minors who incurred excessive or unauthorised spending through online platforms
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BankPayment Provider
Publication,Publication of Slogan of Financial Sector Policy
No description available.
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The ACPR and AMF Joint Unit publishes its analysis on the distribution, fees and performance of structured products
Derivatives or structured products Marketing Retail investors Journalists Investment management companies The ACPR and AMF Joint Unit publishes its analysis on the distribution, fees and performance of structured products
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Asset ManagerBroker DealerWealth Manager
CFTC Orders UBS Financial Services Inc. to Pay $8 Million for Supervision Failures Impacting Its AML Transaction Monitoring Systems
No description available.
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Broker DealerBank
Kingston Horizon Partners: Bafin warns consumers about the websites kingstonhorizonpartners(.)com and kingstonhorizonpartners(.)pro and about identity fraud
The Federal Financial Supervisory Authority (Bafin) warns consumers about the services offered on the websites kingstonhorizonpartners(.)com and the login area at kingstonhorizonpartners(.)pro. According to information available to Bafin, the operators are providing financial and investment services on the websites without the required authorisation.
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eurowerte(.)de: Bafin warns about fraudulent term deposit offers and identity fraud
The financial supervisory authority Bafin warns about term deposit offers on the website eurowerte(.)de. It is suspected that the unknown operators of the website are offering banking transactions and financial services without the required authorisation.
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westcapital(.)ai and westcapital(.)pro: Bafin warns against websites and identity fraud
The German Financial Supervisory Authority (Bafin) warns against the websites westcapital(.)ai and westcapital(.)pro, which are operated under the name WestCapital. It is suspected that the unknown operators are offering financial and crypto-asset services without authorisation.
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FintechCrypto ExchangeAll Firms
FCA finalises rules to cut firms' transaction reporting costs by over ยฃ100m a year
Transaction reporting requirements become smarter, simpler and more proportionate under new rules from the FCA. Transaction reports are critical to the FCAโs ability to detect and investigate market abuse, monitor market functioning and supervise firms effectively.The new rules are designed to ensure the FCA continues to receive accurate, high-quality data while eliminating duplicative or low-value reporting. By removing unnecessary reporting the changes will reduce regulatory burden and supp...
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Broker DealerAsset ManagerAll Firms
ASIC cancels Australian credit licence of Zenoz Enterprises Pty Ltd
ASIC cancels Australian credit licence of Zenoz Enterprises Pty Ltd
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Fintech
ASIC seeks orders against Royce Capital, Royce (Aust) Real Estate, Louie Kortesis and Paul Chiodo for alleged misconduct
ASIC seeks orders against Royce Capital, Royce (Aust) Real Estate, Louie Kortesis and Paul Chiodo for alleged misconduct
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Asset ManagerWealth Manager
PRA Regulatory Digest โ July 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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BankInsuranceAll Firms
The CSSF launches a dedicated webpage to clarify the process to notify and assess notifying material operations
No description available.
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Bank
Processing time of initial authorisations of regulated investment vehicles
No description available.
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Asset ManagerHedge Fund
SFC and CSRC jointly announce new measures to deepen practical cooperation and close coordinated development between the two markets
No description available.
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Asset ManagerBroker DealerBank
CFTC Orders George Santos to Pay $35,000 for Manipulative Trading of State-of-the-Union Event Contract
No description available.
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Broker Dealer
Banks,Publication of a "Report on the Monitoring and Analysis of Deposit-Taking Financial Institutions"
No description available.
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Bank
Publication,Publication of "FSA Analytical Notes (2026.7) vol.2: I. Analysis of Lending to Overseas Borrowers by Major Banks, etc., II. An Analysis Toward the Development of a Corporate Default Rate Estimation Model, and III. Attempt to Understand Deposit Trends and Quantitatively Analyze Factors Affecting Changes in Deposit Balances" in Japanese
No description available.
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Bank
ICYMI: Members of the CFTCโs Agricultural Advisory Committee Join Chairman Selig in Washington at First Meeting of 2026
No description available.
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Broker DealerAll Firms
iponexus(.)net: Bafin warns consumers about website
The Federal Financial Supervisory Authority (Bafin) warns consumers about the services offered on the website iponexus(.)net. According to information available to Bafin, this website is being used to offer financial and investment services without the required authorisation. Investors are being asked to transfer funds to third-party accounts for stock shares they have allegedly purchased.
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Market Misconduct Tribunal finds Sir Dickson Poon culpable of insider dealing ahead of disclosure of HK$1.15 billion corporate windfall
No description available.
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ECB publishes results of 2026 geopolitical risk reverse stress test
No description available.
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Bank
Geopolitical risk reverse stress test of euro area banks โ 2026 SSM thematic stress test: final results
No description available.
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Bank
FCA advances package of equity market transparency reforms
The FCA has published a package of reforms designed to improve transparency, strengthen access to market-wide information and support confidence in UK equity markets. The package confirms the framework for a future equity consolidated tape, consults on targeted market structure reforms and introduces an interim market activity reporting tool for shares.UK equity markets offer investors a wide choice of trading options. The FCA's assessment is that competition and innovation have delivered sig...
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Broker DealerAsset ManagerAll Firms
An economy rooted in community: what Iโve learned from visiting 26 counties
In his latest blog, Governor Gabriel Makhlouf reflects on his outreach visits to all 26 counties and what they taught him for his second term as governor of the Central Bank.
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BankAll Firms
Fsra Publishes Proposed Regulatory Framework For Transfer Schemes
Fsra Publishes Proposed Regulatory Framework For Transfer Schemes
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ASIC sues Auditeo and auditors over alleged First Guardian audit failures
ASIC sues Auditeo and auditors over alleged First Guardian audit failures
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Asset ManagerWealth Manager
31 Jul 2026 Read more
31 Jul 2026 Read more
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Broker Dealer
Trial date set for individual charged with illegal promotions
On 30 July 2026, Lucy Beck attended Southwark Crown Court for a hearing in relation to unauthorised promotions on social media. Ms Beck entered a not guilty plea and the date of her trial has been set as 12 June 2028.It is alleged that Ms Beck promoted buying and selling Foreign Exchange Contracts for Difference through social media accounts and websites, without being authorised to do so, contrary to sections 21 and 25 of the Financial Services and Markets Act 2000.Notes to editorsLucy Beckโ...
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Blue Motor Finance Limited enters administration
On 30 July 2026, Blue Motor Finance Limited (BMFL) was placed into administration. Simon Edel, Richard Barker and Alan Michael Hudson of Ernst & Young LLP were appointed as joint administrators. BMFL (firm reference number 737682) operated as a motor finance lender.The firm had been running at a loss for a number of years and faced significant compensation liabilities it could not meet.Simon Edel, Richard Barker and Alan Michael Hudson have been appointed as joint administrators. They are now...
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Fintech
SEC Announces Continuation of Small Business Advisory Committee Meeting
The Securities and Exchange Commission announced that the Small Business Capital Formation Advisory Committee meeting held on July 21, 2026, will reconvene August 6, 2026, at 1 p.m. ET, virtually, on SEC.gov. The committee willโฆ
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Bafin warns consumers about the website becker-brandt(.)com
The Federal Financial Supervisory Authority (Bafin) warns consumers about the services offered on the website becker-brandt(.)com. Bafin has information that the operators are offering banking business and/or financial services on this website without the required authorisation. The operators of the website are not supervised by Bafin.
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Minutes of the Meeting of the Court of Directors held on 4 June 2026
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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Bank
Others,Publication of Analytical Report on IT Resilience in the Financial Sector
No description available.
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All Firms
Bank Rate maintained at 3.75% - July 2026 Monetary Policy Summary and Minutes
The Bank of Englandโs Monetary Policy Committee is responsible for making decisions about Bank Rate.
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Bank
FCA censures Equity for Growth (Securities) Limited
The FCA has censured Equity for Growth (Securities) Limited (EFG) for approving financial promotions relating to minibonds that were unfair, unclear and misleading. EFG approved financial promotions which failed to disclose very high commission fees charged by its appointed representatives and other introducers for marketing the minibonds to investors. Appointed representatives carry out regulated activities under the responsibility of an authorised firm, known as โthe principalโ.The promotio...
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Broker DealerWealth Manager
Bafin warns consumers about the series of platforms with the slogan "Secure. Fast. Effortless Crypto Management"
The Federal Financial Supervisory Authority (Bafin) warns consumers about a series of almost identical websites. According to information available to Bafin, the operators are providing crypto services on these websites without the required authorisation. The operators of the websites are not supervised by Bafin.
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Topics:
Crypto ExchangeFintech
SFC issues restriction notice to broker to freeze assets of over $125 million linked to suspected IPO fraud
No description available.
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Broker Dealer
Galldium Immobilien Fรผnfte GmbH: Bafin prohibits the public offering of participation certificates issued by AMAGVIK Int. AG
In a letter dated 10 July 2026, Bafin prohibited Galldium Immobilien Fรผnfte GmbH, based in Konstanz, Germany, from offering participation certificates in AMAGVIK Int. AG to the public. Bafin imposed the prohibition because the company had infringed the German Capital Investment Act (VermAnlG). Galldium Immobilien Fรผnfte GmbH is therefore not authorised to offer participation certificates in AMAGVIK Int. AG in Germany.
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Asset Manager
Federal Court imposes permanent directorโs disqualification order against Larry Dawson
Federal Court imposes permanent directorโs disqualification order against Larry Dawson
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Wealth ManagerAll Firms
Issue 15 2026
No description available.
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Asset ManagerAll Firms
Communication regarding management notifications and de-notifications with a European passport for Luxembourg-domiciled IFMs - Changes introduced by the AIFMD II
No description available.
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Asset ManagerHedge Fund
Money market funds: the ANC has confirmed the presumption of classification as "cash equivalents"
MMF Asset management AIFMD Money market funds: the ANC has confirmed the presumption of classification as "cash equivalents"
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Asset Manager
hub-wiser(.)com: Bafin warns consumers about website
The Federal Financial Supervisory Authority (Bafin) warns consumers about the services offered on the website hub-wiser(.)com. According to information available to Bafin, this website is being used to offer banking business, financial and investment services without the required authorisation.
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Notification letter โ Notification of the intention of an AIFM to manage AIFs established in a Member State other than its Home Member State in accordance with Article 33(2) of Directive 2011/61/EU or to establish a branch in accordance with Article 33(3) of Directive 2011/61/EU (Updated)
Version 3.1
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Asset ManagerHedge Fund
Notification letter โ Notification made by a Management Company of its intention to pursue the activities for which it has been authorised in another Member State in accordance with Article 17(2) or Article 18(1) of Directive 2009/65/EC (Updated)
Version 4.1
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Asset Manager
The AMF analyses the rise in closingย auctionย trading activity on the French equity market
Equity Market infrastructures Microstructure The AMF analyses the rise in closing auction trading activity on the French equity market
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Broker DealerAsset Manager
ubstrade-fx(.)com: Bafinย warns consumers about the website ubstrade-fx(.)com and investigates the unknown operators of the website
The Federal Financial Supervisory Authority (Bafin) warns consumers about the services offered on the website ubstrade-fx(.)com. According to information available to Bafin, the operators are offering financial and investment services on the website without the required authorisation.
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All Firms
LIAF02/26 โ Low Impact Amendments Finalisation July 2026
Low Impact Amendments Finalisation July 2026
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Bank
Market surveillance of AI: Bafin granted new powers
In future, Bafin will monitor the use of AI systems by companies in the financial sector. Its key objectives will be to promote innovation and to protect fundamental rights.
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BankInsuranceAll Firms
Hidden mortgage offset failures costing Australians millions in lost interest savings
Hidden mortgage offset failures costing Australians millions in lost interest savings
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Topics:
Bank
Quantumย AI:ย Bafin also warns consumers about the website quantum-ai(.)art
The Federal Financial Supervisory Authority (Bafin) warns consumers again about the services offered by Quantum AI. Bafin suspects the unknown operators of the website quantum-ai(.)art of offering consumers financial, investment and cryptoasset services without the required authorisation.
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Topics:
Crypto ExchangeFintech
Harvey Norman and Latitude ordered to pay combined $55 million penalties for misleading customers
Harvey Norman and Latitude ordered to pay combined $55 million penalties for misleading customers
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Topics:
BankFintechPayment Provider
Court winds up Capital Guard and appoints liquidators following successful ASIC application
Court winds up Capital Guard and appoints liquidators following successful ASIC application
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Wealth ManagerAsset Manager
IDS System AG: suspected offer to the public of registered shares in IDS System AG without the required prospectus
The Federal Financial Supervisory Authority (Bafin) has sufficient grounds to suspect that IDS System AG is offering securities to the public in Germany in the form of registered shares without the required prospectus.
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All Firms
Sharon Donnery: Interview with Liberal.gr
No description available.
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Bank
Basic statistical data on UCIs โ June 2026 (only in French)
No description available.
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Asset Manager
Development of net assets and number of UCIs
Situation as at 30 June 2026
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Asset Manager
Application for administrative authorisation to act as UCI depositary (Updated)
Version 3.3
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Asset ManagerBank
Remarks by Mr Chia Der Jiun, Managing Director, MAS, at the MAS Annual Report 2025/2026 Media Conference on 28 July 2026
Mr Chia Der Jiun, Managing Director of MAS, spoke on economic developments and monetary policy as well as the developments in Singapore's financial sector.
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MAS and ABS Establish Taskforce to Strengthen Cyber and Technology Resilience against AI-driven Threats
MAS and ABS announced the establishment of the AI-Driven Cyber and Technology Risk Taskforce (ACT), an industry-wide initiative to strengthen collective cyber and technology resilience in response to the emerging risks posed by frontier AI models.
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BankPayment ProviderAll Firms
Small Business Forumโs Report to Congress Highlights Recommendations to Improve Capital-Raising Policy
The Securities and Exchange Commission released a report to Congress today highlighting policy recommendations from the SECโs 45th Annual Government-Business Forum on Small Business Capital Formation. The report provides a summary of the forumโฆ
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Publication,FSA Weekly Review No.697 July 27, 2026
No description available.
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All Firms
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of Finance and Minister of State for Financial Services (July 21, 2026)
No description available.
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Topics:
Asset ManagerAll Firms
ESMA authorises EuroCTP as the Consolidated Tape Provider for shares and exchange-traded funds
ESMA authorises EuroCTP as the Consolidated Tape Provider for shares and exchange-traded funds 27 July 2026 Market data Press Releases Trading The European Securities and Markets Authority (ESMA), the EUโs financial markets regulator and supervisor, has authorised EuroCTP B.V. (EuroCTP) to operate as the Consolidated Tape Provider (CTP) for shares and exchange-traded funds (ETFs). Natasha Cazenave, ESMAโs Executive Director, said: โThis authorisation marks a key step in the implementation of ...
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Broker DealerAsset ManagerAll Firms
FCA secures majority of victimsโ money back from convicted fraudster
Victims of convicted fraudster John Burford are set to recover the majority of the money they invested after the FCA obtained a confiscation order against him. In September 2025 Mr Burford, 86, was sentenced to 2 years in prison for defrauding over 100 investors out of ยฃ1m.He offered trade alerts and investment opportunities in managed 'funds', despite lacking FCA authorisation. The FCA found he repeatedly misled investors about fund performance, concealed losses and used their money for pers...
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Asset ManagerWealth Manager
T+1-detailregels zijn bekend: aan de slag met de voorbereidingen
Op 11 oktober 2027 stappen de financiรซle markten in de Europese Unie over op een T+1-afwikkelingscyclus. De Europese Commissie heeft inmiddels de detailregels voor deze overgang vastgesteld. Daarom vraagt de AFM marktpartijen om verder te gaan - of te starten - met de T+1-voorbereidingen. Financiรซle ondernemingen die te laat starten met T+1 voorbereidingen, lopen het risico op operationele verstoringen, hogere kosten en reputatieschade. Wij vragen marktpartijen om zich actief voor te bereiden...
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Broker DealerBankAsset Manager
FCA and Bank appoint members to their Transaction and Post-trade Reporting Harmonisation Taskforce
The FCA and Bank of England (Bank) have appointed members to their Transaction and Post-trade Reporting Harmonisation Taskforce. The taskforce will inform our long-term approach to harmonising transaction and post-trade reporting requirements across UK Markets in Financial Instruments Regulation (UK MiFIR), UK European Market Infrastructure Regulation (UK EMIR) and UK Securities Financing Transactions Regulation (UK SFTR).The taskforce comprises 3 separate working groups: a main Policy workin...
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utewealth(.)com: Bafin warns consumers about website and identity fraud
The Federal Financial Supervisory Authority (Bafin) warns consumers about the services offered on the website utewealth(.)com. Bafin suspects the unknown operators of the website of offering consumers financial and investment services without the required authorisation.
Sectors:
Topics:
Wealth ManagerAll Firms
depothandel(.)com: Bafin warns about fraudulent offers related to cryptocurrency trading
The German Financial Supervisory Authority (Bafin) warns about offers from the website depothandel(.)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 permission.
Sectors:
Topics:
Crypto ExchangeFintech
You don't need to pay to claim: FCA launches nationwide car finance campaign
Millions of car finance customers who may be owed compensation can get help making a complaint for free, as the FCA launches a national advertising campaign. Research by the FCA found that 27% of car finance customers lack confidence to make a complaint without using a claims management company (CMC) or law firm, despite free tools from the FCA being available.Sheree Howard, executive director at the FCA, said: 'Many people who may be owed compensation arenโt sure where to start or donโt real...
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Topics:
BankAll Firms
Launch of the ESMA Common Supervisory Action on the risk management function of UCITS Management Companies and Alternative Investment Fund Managers
No description available.
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Topics:
Asset ManagerHedge Fund
Notification of white papers under Title II of MiCAR
No description available.
Sectors:
Topics:
Crypto ExchangeFintech
Law of 12 November 2004 (consolidated version) (Updated)
on the fight against money laundering and terrorist financing
Sectors:
Topics:
All Firms
MAS Monetary Policy Statement - July 2026
Read the Monetary Policy Statement for July 2026.
Sectors:
Topics:
All Firms
Internal rules of the Board (being updated) (Updated)
No description available.
Sectors:
Topics:
All Firms
27 Jul 2026 Read more
27 Jul 2026 Read more
Sectors:
Topics:
All Firms
CFTC Releases Advisory on Self-Certification of an Event Contract Series
No description available.
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Topics:
Broker Dealer
CFTC Staff Issues No-Action Position on Designated Contract Market Procedures
No description available.
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Topics:
Crypto Exchange
Others,Publication of "Progress Report 2026 for Advancing Asset Management Services in Japan"
No description available.
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Topics:
Asset Manager
Council Regulation (EU) 2026/1844 of 23 July 2026
amending 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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Topics:
All Firms
Council Regulation (EU) 2026/1848 of 23 July 2026
amending Regulation (EU) No 833/2014 concerning restrictive measures in view of Russiaโs actions destabilising the situation in Ukraine
Sectors:
Topics:
All Firms
Council Implementing Regulation (EU) 2026/1843 of 23 July 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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Topics:
All Firms
Council Regulation (EU) 2026/1846 of 23 July 2026
amending Regulation (EC) No 765/2006 concerning restrictive measures in view of the situation in Belarus and the involvement of Belarus in the Russian aggression against Ukraine
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Topics:
All Firms
Council Implementing Regulation (EU) 2026/1817 of 23 July 2026
implementing Article 8a(1) of Regulation (EC) No 765/2006 concerning restrictive measures in view of the situation in Belarus and the involvement of Belarus in the Russian aggression against Ukraine
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Topics:
All Firms
No change to the policy rate: what I will be watching before September
In this weeks blog, the governor outlines why his ECB Governing Council colleagues and him decided to leave interest rates unchanged. The Deposit Facility Rate, through which they steer the monetary policy stance, remains at 2.25 per cent.
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Topics:
Bank
The AMF has published an updated version of its guide for UCITS and AIF depositaries
Asset management UCIT Crypto-assets The AMF has published an updated version of its guide for UCITS and AIF depositaries
Sectors:
Topics:
Asset ManagerFintech
SFC enhances regulatory framework for daily leveraged and inverse products to ensure orderly market trading
No description available.
Sectors:
Topics:
Asset ManagerBroker Dealer
ASIC bans former NextGen Financial Group Pty Ltd directors Nicholas Brookes and Vitorio Turco for three years
ASIC bans former NextGen Financial Group Pty Ltd directors Nicholas Brookes and Vitorio Turco for three years
Sectors:
Topics:
Wealth ManagerAll Firms
Former construction industry director Vickie Vella sentenced after using $1.2 million in company money for personal use
Former construction industry director Vickie Vella sentenced after using $1.2 million in company money for personal use
Sectors:
Topics:
All Firms
ASIC acts against 36 SMSF auditors, expanding its total enforcement actions this financial year
ASIC acts against 36 SMSF auditors, expanding its total enforcement actions this financial year
Sectors:
Topics:
All Firms
Monetary Authority of Singapore and Bank of Thailand Sign Memorandum of Understanding on Cybersecurity Cooperation and Digital Fraud Protection
The Monetary Authority of Singapore and the Bank of Thailand signed a Memorandum of Understanding (MoU) on Cybersecurity Cooperation and Digital Fraud Protection.
Sectors:
Topics:
BankAll Firms
Publication,Cybersecurity Issues and Countermeasures in Crypto-Asset-Related Businesses
No description available.
Sectors:
Topics:
Crypto ExchangeFintech
Chairman Selig Announces Agenda for July 29 Agricultural Advisory Committee Meeting in Washington
No description available.
Sectors:
Topics:
Broker DealerAll Firms
Tethers Xau Recognized As Accepted Spot Commodity In Adgm
Tethers Xau Recognized As Accepted Spot Commodity In Adgm
Sectors:
Topics:
Crypto ExchangeFintechAll Firms
Letter from the Governor to the Daily Mail
Letter from Governor Andrew Bailey to the Daily Mail on the subject of AI and cyber-attacks
Sectors:
Topics:
BankAll Firms
SEC Announces Roundtable on Preparations for 24-Hour Trading
The Securities and Exchange Commission announced today that it will host a roundtable on Sept. 17, 2026, to discuss moving towards 24-hour trading in the U.S. equity markets, including preparations to support overnight trading, operations and resiliencyโฆ
Sectors:
Topics:
Broker DealerAll Firms
allenbygroup(.)com: Bafin warns consumers about website and identity fraud
The Federal Financial Supervisory Authority (Bafin) warns consumers about the services offered on the website allenbygroup(.)com. According to information available to Bafin, the operators are offering financial services on the website without the required authorisation.
Sectors:
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All Firms
The Autoritรฉ des Marchรฉs Financiers (AMF) is updating its doctrine in light of the recent revision of the European Benchmarks Regulation and the new regulatory framework for deposits with the Caisse des Dรฉpรดts et Consignations
Asset management The Autoritรฉ des Marchรฉs Financiers (AMF) is updating its doctrine in light of the recent revision of the European Benchmarks Regulation and the new regulatory framework for deposits with the Caisse des Dรฉpรดts et Consignations
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Asset ManagerBroker Dealer
SFC and Securities Commission Malaysia co-host industry roundtables on mutual recognition of funds and simplified dual IPO listing framework
No description available.
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Asset ManagerBroker DealerAll Firms
FCA decides to ban father and son following fraud and misuse of client money
The FCA has decided to ban a father and son from UK financial services after the High Court found that they had engaged in fraud and misused client money.
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Broker DealerInsurance
CSSF Newsletter No 306 โ July 2026
No description available.
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All Firms
Dissolution and judicial liquidation: DIVERSIFIED ASSET MANAGEMENT S.A.
Press release 26/15
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Asset Manager
Brendan Gunn sentenced in connection with suspected international cryptocurrency scam
Brendan Gunn sentenced in connection with suspected international cryptocurrency scam
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FintechBank
SFC and Securities Commission Malaysia sign MoU to expand mutual recognition of funds and facilitate simplified dual IPO listing framework
No description available.
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Asset ManagerBroker DealerAll Firms
23 Jul 2026 Read more
23 Jul 2026 Read more
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Consumer Price Developments in June 2026
This June 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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Response to Letter "5ๅ้ฑ็กฌๅธไธบไฝ้ญๆๆถ?" - Lianhe Zaobao, 14 July 2026
In response to a forum letter suggesting about the use and acceptance of 5-cent coins, MAS explained there remains a use for 5-cent coins in Singapore and will continue issuing 5-cent coins to meet demand. Under the Currency Act, merchants are allowed to decide if they do not wish to accept certain coins for payment but must put up a written notice to inform customers.
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Payment ProviderAll Firms
31st Executivesโ Meeting of East Asia-Pacific Central Banks (EMEAP) Governorsโ Meeting
Singapore, 23 July 2026โฆ The 31st Executivesโ Meeting of East Asia-Pacific Central Banks (EMEAP)1 Governorsโ Meeting was hosted by the Monetary Authority of Singapore (MAS) in Singapore on 23 July 2026.
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BankAll Firms
Areas for attention for compliance and internal audit functions at fund managers
Many fund managers have their compliance and internal audit functions well organised. Nevertheless, improvements are needed. For example, documentation is not always up to date, fund managers do not always retain sufficient control when outsourcing, and decisions based on proportionality are often insufficiently substantiated. This is evident from research carried out by the Dutch Authority for the Financial Markets (AFM) among Dutch fund managers, conducted as part of a European Common Super...
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Asset Manager
mindora(.)group / mindora(.)to / mybloomx(.)de: Bafin warns about websites and identity fraud
The German Financial Supervisory Authority (Bafin) warns about offers on the websites mindora(.)group, mindora(.)to, and mybloomx(.)de, which are operated under the name Mindora Group and BloomX. It is suspected that the unknown operators are offering financial and crypto-asset services without authorisation.
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FintechCrypto ExchangeAll Firms
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of Finance and Minister of State for Financial Services (July 10, 2026)
No description available.
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BankPayment ProviderAll Firms
Publication,FSA Weekly Review No.696 July 22, 2026
No description available.
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BankInsuranceAll Firms
Anthropic to support FCAโs Supercharged Sandbox
Anthropic will support the second group of firms in the FCA's Supercharged Sandbox. The Sandbox is a controlled environment where firms can safely experiment with advanced AI.Anthropic will provide access to Claude for participants โ including Claude Code and Claude Cowork โ to help speed up their development work.The second group of firms in the Supercharged Sandbox will explore a range of AI use cases. This includes testing solutions designed to:enable safer agent-led payments and commerced...
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FintechPayment ProviderAll Firms
Arrests and searches made as part of a fraud and money laundering investigation
Four people have been arrested and search warrants executed in Hackney, Beckenham and Slough as part of a FCA and police investigation into fraud and money laundering. The arrests and searcheswere carried out by the policeโs Eastern Region Special Operations Unit and South East Regional Organised Crime Unit with the FCA.The suspects were interviewed under caution by the FCA and released on bail. The investigation is ongoing and further updates will be provided in due course.Notes to editorsTh...
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ETF Admiral(s): Bafin warns about website and identity fraud
The German Financial Supervisory Authority (Bafin) warns about offers on the website etf-admiral(.)global (previously, amongst others, etf-admiral(.)net, etf-admiral(.)cc, etf-admiral(.)info,). It is suspected that the unknown operators are offering banking, financial, securities and crypto-asset services without the required authorisation.
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Broker DealerFintechCrypto Exchange
broadreacheu(.)com: Bafin warns about fraudulent term deposit offers and identity theft
The German Financial Supervisory Authority (Bafin) warns about term deposit offers on the website broadreacheu(.)com. It is suspected that the unknown operators of the website are offering banking transactions and financial services without the required authorisation.
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BankAsset ManagerFintech
ASIC cancels the registered agent status of Registry Australia Pty Ltd
ASIC cancels the registered agent status of Registry Australia Pty Ltd
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ASIC reminds Registered Company Auditors of their obligations and outlines stronger oversight
ASIC reminds Registered Company Auditors of their obligations and outlines stronger oversight
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All Firms
ASIC bans Queensland property developer Jack Gould from financial services for 4 years
ASIC bans Queensland property developer Jack Gould from financial services for 4 years
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Asset ManagerWealth Manager
Federal Court finds former Noumi CEO breached directorsโ duties and financial reporting obligations
Federal Court finds former Noumi CEO breached directorsโ duties and financial reporting obligations
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From design to delivery: The AFM and the AMF identify five enablers for effective EU-level market supervision
Supervision Europe & international Markets Journalists Investment management companies Listed companies and issuers From design to delivery: The AFM and the AMF identify five enablers for effective EU-level market supervision
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Asset ManagerBroker DealerAll Firms
Bafin warns consumers about the website astenorag(.)com
The Federal Financial Supervisory Authority (Bafin) warns consumers about the services offered on the website astenorag(.)com. Bafin has information that the operators are offering banking business and/or financial services on this website without the required authorisation. The operators of the website are not supervised by Bafin.
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donze-unlimited(.)com: Bafin warns consumers about website and identity fraud
The Federal Financial Supervisory Authority (Bafin) warns consumers about the services offered on the website donze-unlimited(.)com. According to information available to Bafin, the operators are offering financial and cryptoasset services on the website without the required authorisation. The unknown operators claim to be a Swiss company and fraudulently use its name for their purposes. The operators are not supervised by Bafin.
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FintechCrypto ExchangeAll Firms
clearmarketeurope(.)com: Bafin warns consumers about website and identity fraud
The Federal Financial Supervisory Authority (Bafin) warns consumers about the services offered on the website clearmarketeurope(.)com. According to information available to Bafin, the operators are offering financial and cryptoasset services on the website without the required authorisation. The unknown operators claim to be a British company and fraudulently use its name for their purposes. The operators are not supervised by Bafin.
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BankFintechCrypto Exchange
Series of platforms "Trade on the global financial market across all five marketsโ: Bafin warns consumers about the services offered on several websites
The Federal Financial Supervisory Authority (Bafin) warns consumers about the services offered on the websites alpinenova(.)io, degiropartners(.)io and deltaprivatecapital(.)com.
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Issue 14 2026
No description available.
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Councils,Finalization of the Corporate Governance Code (2026 Revision)
No description available.
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ESMA calls on firms to finalise preparations ahead of T+1 settlement deadlines
ESMA calls on firms to finalise preparations ahead of T+1 settlement deadlines 20 July 2026 Post Trading The European Securities and Markets Authority (ESMA), the EU regulator and supervisor, has published a statement highlighting key deadlines and action points to be ready for the transition to a T+1 settlement cycle in EU financial markets. With the move scheduled for 11 October 2027, ESMA underlines that 2026 is a critical year for market participants to finalise their preparations. The st...
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Broker DealerAsset ManagerBank
whitelake-invest(.)de: Bafin warns consumers about website and identity fraud
The Federal Financial Supervisory Authority (Bafin) warns consumers about the services offered on the website whitelake-invest(.)de. Bafin suspects the unknown operators of the website of offering consumers financial and investment services without the required authorisation.
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Prosper Capital LLP enters creditorsโ voluntary liquidation
On 1 June 2026, Prosper Capital LLP (Prosper) went into creditorsโ voluntary liquidation. Jeremy Karr and Simon Killick of BTG Begbies Traynor (Central) LLP were appointed as joint liquidators. Prosper, an FCA-authorised firm (firm reference number (FRN): 453007), was an alternative investment fund manager and arranged deals in investments. Prosper has applied to cancel its authorisation, which is subject to review by the FCA.Prosper was also responsible for the activities of its appointed re...
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Asset Manager
Council Implementing Regulation (EU) 2026/1779 of 17 July 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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ASIC secures record $830 million in civil penalties orders and $644 million back to Australians in 2025-26
ASIC secures record $830 million in civil penalties orders and $644 million back to Australians in 2025-26
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BankBroker DealerAsset Manager
Others,"The Code of Conduct for ESG Evaluation and Data Providers": 30 ESG Evaluation and Data Providers have endorsed the "Code of Conduct" as of June 30, 2026
No description available.
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Asset ManagerAll Firms
Publication,Recent Developments of Practices on Management of Storm and Flood Risks and Support for Clients in the Financial Sector
No description available.
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BankInsurance
Publication,Publication of "FSA Analytical Notes (2026.7) vol.1: I. Analysis of the Relationship between VC Investment and Bank Lending for Startup Firms: Sequence and Structure of Fundraising, and II. Pilot Analysis of Climate-Related Risks in Housing Loans Extended by Regional Banks" in Japanese
No description available.
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BankFintech
CFTC Sunsets Routine Large Trader Reporting Requirements for Physical Commodity Swaps
No description available.
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Broker DealerBank
dlj-grp(.)com: Bafin warns consumers about website and suspected identity theft
The Federal Financial Supervisory Authority (Bafin) warns consumers about the services offered on the website dlj-grp(.)com. According to information available to Bafin, this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
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growthline(.)ltd: Bafin warns consumers about website
The Federal Financial Supervisory Authority (Bafin) warns consumers about the services offered on the website growthline(.)ltd. According to information available to Bafin, this website is being used to offer financial and investment services without the required authorisation.
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All Firms
ESMA Supervisory briefing on triangular Passporting within the framework of the MiFID II
No description available.
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Broker DealerAsset Manager
Issue 13 2026
No description available.
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Broker DealerAll Firms
Letter from Claudia Buch, Chair of the Supervisory Board, to Mr Nikolas Farantouris, MEP, on banking supervision
No description available.
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Bank
Customers of Anthony Jones (UK) Limited urged to check their insurance policy
The insurance broker has agreed to stop carrying out any regulated activity. This means it can't provide any services on behalf of an insurer. From 9 July 2026, the insurance broker Anthony Jones (UK) Limited (AJL) agreed to stop carrying out any regulated activity.This means that AJL cannot provide any services on behalf of an insurer, including selling new insurance policies, offering renewals, or providing any advice to new or existing consumers.If you purchased an insurance policy through...
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Insurance
ASIC warning: Pump and dump scammers intensify use of fake celebrity endorsements
ASIC warning: Pump and dump scammers intensify use of fake celebrity endorsements
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Broker DealerBankAll Firms
Former MWL financial adviser Christian Henry banned for three years
Former MWL financial adviser Christian Henry banned for three years
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Topics:
Wealth ManagerAsset Manager
ASIC cancels AFS licence of Australian Fiduciaries Limited (In Liquidation)
ASIC cancels AFS licence of Australian Fiduciaries Limited (In Liquidation)
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Asset ManagerWealth Manager
Financial Services and Credit Panel issues registration prohibition order against financial adviser Peter Morrison-Dowd
Financial Services and Credit Panel issues registration prohibition order against financial adviser Peter Morrison-Dowd
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Wealth Manager
ASIC suspends AFS licence of Prime Value Asset Management Limited
ASIC suspends AFS licence of Prime Value Asset Management Limited
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Asset ManagerWealth Manager
Council Regulation (EU) 2026/1805 of 16 July 2026
amending Regulation (EU) No 833/2014 concerning restrictive measures in view of Russiaโs actions destabilising the situation in Ukraine
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brain-capital-asset(.)com: Bafin warns consumers about website and identity fraud
The Federal Financial Supervisory Authority (Bafin) warns consumers about the services offered on the website brain-capital-asset(.)com. Bafin suspects the unknown operators of the website of offering consumers financial and investment services without the required authorisation.
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Asset ManagerAll Firms
Mystery shopping visits to bank branches: the AMF calls on professionals to improve the quality of client questioning and the presentation of fees
Marketing Disclosure Obligations MIFID Investment advice Mystery shopping visits to bank branches: the AMF calls on professionals to improve the quality of client questioning and the presentation of fees
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BankWealth Manager
dbinvestition(.)com:ย Bafin warns consumers about website and identity fraud
The Federal Financial Supervisory Authority (Bafin) warns consumers about the services DB Investition is offering on the website dbinvestition(.)com. Bafin suspects the unknown operators of the website of offering consumers financial and investment services without the required authorisation.
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Joint taskforce continues crack down on misleading car finance claims adverts
The FCA, Advertising Standards Authority, Solicitors Regulation Authority and Information Commissioner's Office are tackling the poor handling of motor finance claims by some claims companies and law firms. As part of the joint taskforce's continued crackdown, in June the FCA had 170 misleading car finance claims adverts removed or amended by claims management companies (CMCs), bringing the total up to 1,200 since January 2024. Some of the misleading adverts seen by the FCA:Were disguised as ...
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FintechAll Firms
The AMF publishes a study on market-based financing in Paris for the period 2007โ2025
Financing the economy Equity Fixed income The AMF publishes a study on market-based financing in Paris for the period 2007โ2025
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Asset ManagerBroker DealerBank
ASIC Statement of Intent
ASIC Statement of Intent
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All Firms
Issuers of securities whose home Member State is Luxembourg pursuant to the Law of 11 January 2008
Situation as at 30 June 2026
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All Firms
Notifications sent by the CSSF to the competent authorities of other EEA Member States
Situation from June 2025 to June 2026
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Notifications received by the CSSF from the competent authorities of other EEA Member States
Situation from June 2025 to June 2026
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16 Jul 2026 Read more
16 Jul 2026 Read more
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Chairman Selig Announces CFTC Agricultural Advisory Committee to Meet July 29 in Washington
No description available.
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Broker DealerAll Firms
AIFM Reporting dashboard โ December 2025
No description available.
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Asset ManagerHedge Fund
ECB Guide to the internal capital adequacy assessment process (ICAAP)
No description available.
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Bank
The AMF publishes a study on the behaviour of retail investors in CAC 40 stocks in the age of social media
Investing wisely Long term investment Equity Savings Plan Shares Periodic & ongoing disclosures The AMF publishes a study on the behaviour of retail investors in CAC 40 stocks in the age of social media
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Broker DealerBankFintech
NABโs WealthHub fined over $1 million for reporting failures
NABโs WealthHub fined over $1 million for reporting failures
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Broker DealerWealth Manager
ASIC bans former MWL financial adviser Nicole Niu for 5 years
ASIC bans former MWL financial adviser Nicole Niu for 5 years
Sectors:
Topics:
Wealth Manager
watermarkinvestments(.)com: Bafin warns consumers about website and suspected identity fraud
The Federal Financial Supervisory Authority (Bafin) warns consumers about the services offered on the website watermarkinvestments(.)com. According to information available to Bafin, this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
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FintechCrypto ExchangeAll Firms
trident-fx(.)com:ย Bafin warns consumers about website and suspected identity theft
The Federal Financial Supervisory Authority (Bafin) warns consumers about the services offered on the website trident-fx(.)com. According to information available to Bafin, this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
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FintechCrypto ExchangeAll Firms
bci-finanz(.)com: Bafin warns consumers about website and suspected identity fraud
The Federal Financial Supervisory Authority (Bafin) warns consumers about the services offered on the website bci-finanz(.)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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FintechCrypto Exchange
ironvexgroup(.)com: Bafin warns consumers about website
The Federal Financial Supervisory Authority (Bafin) warns consumers about the services offered on the website ironvexgroup(.)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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FintechCrypto Exchange
Authorised Investment Funds and Islamic Finance (Updated)
No description available.
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Asset ManagerBank
CFTC Stays KalshiEX Rule Change and Exercises Emergency Authority to Order Fulfillment of Pending Trades
No description available.
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Broker DealerCrypto Exchange
New member appointed to the Regulatory Decisions Committee
The FCA Board has appointed Dan Lavender as a new member of its Regulatory Decisions Committee (RDC). The RDC is responsible for taking certain regulatory decisions on behalf of the FCA relating to contested enforcement action. Committee members bring a broad range of professional experience to support fair, independent and evidence-based decision-making.Alison Potter, the Chair of the RDC, said: โI am delighted to welcome Dan to the committee. Dan has significant legal and leadership experie...
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Bafin warns consumers about the website colmex-prime(.)com
The Federal Financial Supervisory Authority (Bafin) warns consumers about the services offered on the website colmex-prime(.)com. Bafin has information that the operators are offering banking business and/or financial services on this website without the required authorisation. The operators of the website are not supervised by Bafin.
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Bafin warns consumers about the website aivoris(.)net
The Federal Financial Supervisory Authority (Bafin) warns consumers about the services offered on the website aivoris(.)net. Bafin has information that the operators are offering banking business and/or financial services on this website without the required authorisation. The operators of the website are not supervised by Bafin.
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Streamlined rulebook to save asset managers ยฃ128m a year
The FCA has proposed a package of reforms that would tailor requirements proportionately for asset managers, cut costs for firms and give better data to supervise the sector more effectively. A large share of the ยฃ128m-a-year savings are expected to come from simpler Fund Reporting for Asset Management Entities (FRAME) requirements. These would be tailored to the specific circumstances of UK industry, delivering better data to make regulation more efficient.The package would also modernise an...
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Asset ManagerHedge Fund
Publication,FSA Weekly Review No.695 July 14, 2026
No description available.
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BankAsset ManagerAll Firms
Former insurance broker Craig Horsell's suspended sentence activated after further offending
Former insurance broker Craig Horsell's suspended sentence activated after further offending
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Insurance
ASIC moves to wind up Capital Guard over concerns about investor funds
ASIC moves to wind up Capital Guard over concerns about investor funds
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Wealth ManagerAsset Manager
Federal Court orders First Mutual Private Equity and unregistered managed investment scheme to be wound up
Federal Court orders First Mutual Private Equity and unregistered managed investment scheme to be wound up
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Topics:
Asset ManagerWealth Manager
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) und Al-Kaida
Das Staatssekretariat fรผr Wirtschaft (SECO) hat eine รnderung der Liste der sanktionierten natรผrlichen Personen, Unternehmen und Organisationen der Verordnung vom 21. Mรคrz 2025 รผber Massnahmen gegenรผber 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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Boete van โฌ625.000 voor M. van Wettum wegens marktmanipulatie
De Autoriteit Financiรซle Markten (AFM) heeft op 16 januari 2026 een boete van โฌ625.000 opgelegd aan de heer M. van Wettum wegens marktmanipulatie. Via een investeringsmaatschappij handelde Van Wettum op zoโn manier in aandelen van een beursgenoteerd bedrijf, dat daardoor een misleidend signaal aan de markt werd afgegeven en de slotkoers van het aandeel kunstmatig werd verhoogd. De koers is daarmee niet door een integer proces van vraag en aanbod tot stand gekomen, wat beleggers benadeelt en h...
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Broker DealerAsset Manager
DEA notification template
No description available.
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All Firms
Algorithmic trading notification template
No description available.
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Broker DealerAll Firms
DPE notification template
No description available.
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All Firms
Systematic Internaliser notification template
No description available.
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Broker DealerAll Firms
Notification of a commodity derivative
No description available.
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All Firms
Others,Updated: FinTech Support Desk
No description available.
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FintechCrypto ExchangePayment Provider
Council Implementing Regulation (EU) 2026/1710 of 13 July 2026
implementing Regulation (EU) 2024/2642 concerning restrictive measures in view of Russiaโs destabilising activities
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All Firms
Council Implementing Regulation (EU) 2026/1708 of 13 July 2026
implementing Regulation (EU) 2024/1485 concerning restrictive measures in view of the situation in Russia
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All Firms
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of Finance and Minister of State for Financial Services (July 3, 2026)
No description available.
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Insurance
Deutsche Bank pays $2 million penalty for systemic trade reporting failures
Deutsche Bank pays $2 million penalty for systemic trade reporting failures
Sectors:
Topics:
Bank
ASIC disqualifies Queensland director David Fanning for 5 years
ASIC disqualifies Queensland director David Fanning for 5 years
Sectors:
Topics:
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13 Jul 2026 Read more
13 Jul 2026 Read more
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All Firms
ESMA launches data collection under the first phase of ESAP
ESMA launches data collection under the first phase of ESAP 10 July 2026 Market data The European Securities and Markets Authority (ESMA), the EU regulator and supervisor, has launched the collection of information from Officially Appointed Mechanisms (OAMs) and National Competent Authorities (NCAs) - โcollection bodiesโ - for the first phase of implementation of the European Single Access Point (ESAP) . From today, OAMs and NCAs will start providing to ESAP the information and the metadata c...
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Asset ManagerBroker DealerAll Firms
Logbook Lending Limited enters administration
On 1 July 2026, Logbook Lending Limited (trading as AFPremier.co.uk, pawnmy.co.uk, LBL Asset Finance, Log Book Loans 247) entered administration. Paul Appleton, Adam Shama and Robert Ferne of BTG Begbies Traynor (London) LLP were appointed as Joint Administrators. Logbook Lending Limited provided lending secured on vehicles (known as logbook loans or bill of sale agreements), as well as pawnbroking.The firm is no longer lending. However, all existing loan agreements remain in place, and custo...
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Fintech
Publication,FSA publishes English translation of monthly magazine, Access FSA No.271
No description available.
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BankAsset ManagerInsurance
Publication,FSA publishes English translation of monthly magazine, Access FSA No.272
No description available.
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All Firms
Issue 12 2026
No description available.
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Asset ManagerAll Firms
UK financial regulators to begin overseeing Critical Third Parties announced by HM Treasury
The Bank of England, the Prudential Regulation Authority and the Financial Conduct Authority will start overseeing the first Critical Third Parties on Monday 13 July 2026, following designation by HM Treasury.
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ASIC cancels CAIP Services' AFS licence forย ceasing to carry on a financial services business
ASIC cancels CAIP Services' AFS licence forย ceasing to carry on a financial services business
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Topics:
Insurance
The Autoritรฉ des Marchรฉs Financiers (AMF) takes note of the Paris Cour of Appelโs ruling in the Vivendi SE case
Financial disclosures & corporate financing The Autoritรฉ des Marchรฉs Financiers (AMF) takes note of the Paris Cour of Appelโs ruling in the Vivendi SE case
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Dutch supervisory authorities urge faster action on digital autonomy
Businesses procuring IT services should join forces more often, as this is key to strengthening their digital autonomy. Public authorities and businesses should make digital autonomy a core consideration in their procurement decisions, helping to drive the development of European digital services.
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Zorg ook bij aanvullende zorgverzekeringen voor goed productontwikkelingsproces
Ook bij aanvullende zorgverzekeringen moet duidelijk zijn dat het belang van de klant wordt meegenomen bij de ontwikkeling van producten. Dit begint met een goede inrichting en uitvoering van het product approval and review process (PARP). De Autoriteit Financiรซle Markten (AFM) deed bij ontwikkelaars van aanvullende zorgverzekeringen onderzoek naar de naleving van de PARP-vereisten. We hebben gezien dat de basis voor een goed PARP aanwezig is, maar er blijft ruimte voor verbetering. We geven ...
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Insurance
Adgm Registration Authority Publishes Amendments To The Commercial Legislation July 2026
Adgm Registration Authority Publishes Amendments To The Commercial Legislation July 2026
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All Firms
Financial firms keep EU carbon markets moving
Financial firms keep EU carbon markets moving 09 July 2026 Trading The European Securities and Markets Authority (ESMA), the EU financial market regulator and supervisor, has published its t hird annual market report on EU carbon markets . The report shows that financial intermediaries are central to the functioning of the EU carbon market. They provide liquidity, act as counterparties to non-financial firms, and help compliance entities access allowances and manage price risk. Investment fir...
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Broker DealerBankAsset Manager
CFTC to Stay Self-Certified Contract on 24/7 Trading for Crude Oil Futures
No description available.
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Broker Dealer
FCA cracks down on illegal promotions and market abuse in first year of new strategy
The FCA led an international crackdown on illegal finfluencer promotions โ resulting in 3 arrests and 650 social media takedown requests. It also secured a combined 11 years in prison for 2 cases of insider dealing in the first year of its 5-year strategy, according to its Annual report and accounts published today. The FCA has focused its efforts on the most serious risks and harms. It has taken decisive action to protect consumers, fight financial crime and uphold market integrity, deliveri...
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All Firms
SFC mandates phishing-resistant authentication methods for internet brokers and VATPs to protect client accounts
No description available.
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Broker DealerCrypto Exchange
ASIC cancels AFS licence of CFD issuer Trive
ASIC cancels AFS licence of CFD issuer Trive
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Broker Dealer
Scherp het intern kwaliteitsonderzoek aan - voor beter zicht op kwaliteit wettelijke accountantscontrole
Het intern kwaliteitsonderzoek (IKO) moet een helder en diepgaand beeld geven van de kwaliteit van de afgeronde wettelijke controles. Plus leer- en verbeterpunten waarmee de accountantsorganisatie de controlekwaliteit verder kan versterken. De zes onderzochte OOB-accountantsorganisaties voeren het IKO uit volgens wet- en regelgeving โ dat is positief, vindt de AFM. Verbetering van het IKO is echter noodzakelijk. We moedigen de sector aan het IKO aan te scherpen en bewust in te zetten als moni...
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FINMA guidance on quantum computing
The Swiss Financial Market Supervisory Authority FINMA has today published its guidance on quantum computing. The guidance presents the results of a survey on the opportunities and risks posed by quantum computers and discusses possible measures to mitigate the cyber risk posed by powerful quantum computers.
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Notice of Consultation Paper Release: CP 174
Notice of Consultation Paper Release: CP 174
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All Firms
MAS Proposes Regulatory Changes to Facilitate Faster Approvals of New Fund Types
Singapore, 9 July 2026โฆ The Monetary Authority of Singapore (MAS) today published a consultation paper seeking feedback on proposed amendments to the Code on Collective Investment Schemes (CIS Code). The proposed amendments seek to enable a wider range of new fund product types to be authorised for retail offer through a more streamlined process, while ensuring that appropriate safeguards are in place for retail investors.
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Asset ManagerBroker Dealer
Samlit Moneychanger Pte. Ltd., its Director and Compliance Manager to be Charged for Offences Under the Financial Services and Markets Act 2022
Singapore 9 July 2026โฆ Samlit Moneychanger Pte. Ltd. (โSamlitโ) will be charged in court on Thursday, 9 July 2026 with 19 counts of failure to comply with a direction on complaints handling under Section 52(3) of the Monetary Authority of Singapore Act 1970 (โMAS Actโ) and Section 61(3) of the Financial Services and Markets Act 2022 ("FSMA"). A 45-year-old woman and a 36-year-old man, who are Samlitโs Director and Compliance Manager respectively, will also be charged in court on 9 July 2026 with
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Payment Provider
The DFSA publishes 9th Audit Monitoring Report, underscoring strengthened auditโฆ
The DFSA publishes 9th Audit Monitoring Report, underscoring strengthened auditโฆ
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Broker DealerAsset ManagerAll Firms
Strong steering towards embedded insurance increases the risk of unsuitable consumer choices
The design of online choice environments on platforms offering embedded insurance increases the risk that consumers will take out insurance that is not appropriate for their situation, for example because the cover overlaps with existing insurance policies. During the purchase process for a product or service, consumers are often steered towards taking out insurance in multiple ways, while they do not always receive sufficient information to make an informed decision. This is evident from new...
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InsuranceAll Firms
SEC to Host Virtual Roundtable on Modernizing IPOs and Expanding Access to Public Markets
The Securities and Exchange Commissionโs Office of the Advocate for Small Business Capital Formation and the Division of Corporation Finance will co-host a livestreamed discussion on Monday, July 13, 2026, at 2 p.m. to re-examineโฆ
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Broker DealerAsset Manager
FCA charges individual with insider dealing
Richard Bloomfield has been charged by the FCA with 5 counts of insider dealing. The FCA alleges that in his role as a solicitor at a law firm, Mr Bloomfield worked on an acquisition of Seraphine Group PLC and used inside information obtained through his role to deal in securities of Seraphine Group PLC on 5 occasions between 28 March 2022 and 10 January 2023.Mr Bloomfield appeared before Westminster Magistratesโ Court and gave no indication of plea. The case was sent to Southwark Crown Court...
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ESMA launches Common Supervisory Action on CASPsโ digital operational resilience for custody
ESMA launches Common Supervisory Action on CASPsโ digital operational resilience for custody 08 July 2026 Digital Finance and Innovation The European Securities and Markets Authority (ESMA), the EU regulator and supervisor, is launching a Common Supervisory Action (CSA) focusing on the digital operational resilience of Crypto-Asset Service Providers (CASPs), with a specific emphasis on custody services. The CSA will assess the maturity of CASPsโ digital operational resilience frameworks in re...
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Topics:
Crypto ExchangeFintech
Minutes of the UK Money Markets Code Sub-Committee โ June 2026
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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BankAsset ManagerBroker Dealer
Letter from the Governor to Joe Powell MP
Letter from the Governor
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SEC Small Business Advisory Committee to Explore Modernizing Market Access
The Securities and Exchange Commissionโs Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday, July 21, 2026 at 10 a.m. to explore ways to modernize public market access and encourage IPOsโฆ
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Broker DealerAll Firms
FCA appoints newโฏmembersโฏtoโฏtheโฏSecondary Markets Advisory Committee
The FCA has appointed members to its advisory committee on secondary markets for the period July 2026 to July 2028. The committee will increase from 25 to 27 members. The Secondary Markets Advisory Committee supports the FCAโs work in wholesale secondary markets in equities, fixed income, foreign exchange, and commodities markets across securities, futures, swaps, and options markets. The committee includes representatives from firms operating from across the different segments of financial m...
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Broker DealerAsset ManagerAll Firms
Publication,FSA Weekly Review No.694 July 8, 2026
No description available.
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Topics:
BankBroker DealerInsurance
Adgm Registration Authority Clarifies That Grummies Adgm Holding Company
Adgm Registration Authority Clarifies That Grummies Adgm Holding Company
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All Firms
Regulatory Alert Veyron Markets
Regulatory Alert Veyron Markets
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Balance sheet total and net result of specialised PFS
Situation as at 31 December 2024
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All Firms
Theft of CSSFโs identity - examples (Updated)
No description available.
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All Firms
CFTC Charges North Carolina Commodity Pool Operator and His Company with Fraud
No description available.
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Asset ManagerHedge Fund
Bitcoin Suisse Advances Middle East Expansion Receiving Financial Services Permission In Abu Dhabi
Bitcoin Suisse Advances Middle East Expansion Receiving Financial Services Permission In Abu Dhabi
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Topics:
Crypto ExchangeWealth Manager
Leadership appointments at Central Bank
Central Bank of Ireland has appointed Gavin Curran as Director of Capital Markets and Funds and Max Patanella as Chief Information Officer. Director โ Capital Markets and Funds Gavin joined the Central Bank in September 2022 and has been Head of Funds Supervision Division since January 2025. Gavin has over 20 yearsโ experience in capital markets and funds, having held senior roles in both industry and regulatory environments. Chief Information Officer Max joins the Central Bank from Virgin Me...
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FSC: 'AI-modellen vergroten urgentie cyberweerbaarheid'
Het Financieel Stabiliteitscomitรฉ (FSC) constateert tijdens zijn vergadering van 26 juni 2026 dat geavanceerde AI-modellen het cyberdreigingslandschap ingrijpend veranderen. Het FSC benadrukt dat financiรซle instellingen hun cyberweerbaarheid hierop moeten aanpassen en pleit voor sterkere coรถrdinatie en betere informatie-uitwisseling, nationaal, Europees en over sectorgrenzen heen. De risicoโs voor de financiรซle stabiliteit blijven hoog door cyberdreigingen, geopolitieke onzekerheid, kwetsbaar...
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Evolving opportunities and risks in artificial intelligence and its adoption
No description available.
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All Firms
Joint announcement of the Hong Kong FIC Trading Platform
No description available.
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Broker DealerBankAsset Manager
Banks told to improve access to basic accounts
People struggling should find it easier to access basic bank accounts, after nine banks committed to improving widespread poor practice identified by the FCA. Nine of the biggest UK banks and building societies are legally mandated to offer basic bank accounts. They exist to serve people who may not otherwise be able to access standard current accounts - providing access to essential services with no fees and no overdraft.A mystery shopping exercise by the FCA found a third of experiences wit...
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Bank
Eldens Finance Limited enters administration
On Monday 6 July 2026, Eldens Finance Limited (Eldens) was placed into administration. Antony Batty and Hugh Jesseman of Antony Batty & Company Ltd were appointed as Joint Administrators. Eldens provided pawnbroking loans, primarily secured against high-value and luxury assets.The Joint Administrators are responsible for winding down the firm in an orderly way in the interests of its creditors.On 19 June 2026, Eldens agreed to enter into a voluntary requirement to restrict its ability to deal...
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Fintech
Financial Policy Committee Record โ July 2026
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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BankHedge FundAsset Manager
Prudential Regulation Authority statement on enhancing the usability and releasability of capital buffers
The PRA is clarifying that it could release other systemically important institution (O-SII) buffers in the event of systemic stress.
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Bank
ASIC review provides insights into voluntary administration and deed of company arrangement outcomes
ASIC review provides insights into voluntary administration and deed of company arrangement outcomes
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All Firms
Former WA director Joanne Pellew convicted of Corporations Act offences following ASIC investigation
Former WA director Joanne Pellew convicted of Corporations Act offences following ASIC investigation
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Former bankrupt coconut water CEO acquitted of ASIC charge on appeal, withdraws conviction appeal on two other charges
Former bankrupt coconut water CEO acquitted of ASIC charge on appeal, withdraws conviction appeal on two other charges
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FINMA publishes a new ordinance on the liquidity of banks and securities firms
The Swiss Financial Market Supervisory Authority FINMA is incorporating an existing circular on liquidity risks at banks and securities firms to a new ordinance. In doing so it is fulfilling the requirement for the format compliance of regulation in accordance with Article 7 paragraph 1 of the Financial Market Supervision Act.
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BankBroker Dealer
SFC welcomes new initiatives to advance Hong Kongโs fixed income and currency markets
No description available.
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Topics:
Broker DealerBankAsset Manager
Notice of Consultation Paper Release: CP 173
Notice of Consultation Paper Release: CP 173
Sectors:
Topics:
Asset ManagerAll Firms
MAS Consults on Protected Cell Company Framework to Support Growth of Alternative Risk Transfer Solutions in Insurance
MAS has issued a consultation paper proposing to establish a legislative framework for a new Protected Cell Company (PCC) corporate structure. The proposed framework aims to support the growth of alternative risk transfer solutions and deepen Singaporeโs role as a risk management hub.
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InsuranceBroker DealerAll Firms
Written reply to Parliamentary Question on permitting some registered PayNow retail users to adopt nicknames as display names
Written reply to Parliamentary Question on permitting some registered PayNow retail users to adopt nicknames as display names
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Topics:
Payment ProviderBank
The DFSA proposes significant updates to its Collective Investment Fundโฆ
The DFSA proposes significant updates to its Collective Investment Fundโฆ
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
SEC Names Paul Knight as Chief Operating Officer
The Securities and Exchange Commission today announced that Paul Knight has been named as the agencyโs Chief Operating Officer (COO).As COO, Mr. Knight will oversee the SEC's operational and administrative functions, including the agency's Office ofโฆ
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ESMA selects Etrading Software (Netherlands) B.V. as Consolidated Tape Provider for OTC derivatives
ESMA selects Etrading Software (Netherlands) B.V. as Consolidated Tape Provider for OTC derivatives 06 July 2026 Trading The European Securities and Markets Authority (ESMA), the EUโs financial markets regulator and supervisor, has selected Etrading Software (Netherlands) B.V. as the Consolidated Tape Provider (CTP) for over-the-counter (OTC) derivatives. This constitutes an important step in improving transparency for OTC derivatives markets under the Markets in Financial Instruments Regulat...
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Broker DealerAll Firms
Crypto-assets: the end of the Pacte law and European MiCA Regulation transitional period establishes a new role for the AMF
MiCA Other professionals Fintech Journalists Crypto-assets: the end of the Pacte law and European MiCA Regulation transitional period establishes a new role for the AMF
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Topics:
Crypto ExchangeFintechPayment Provider
Central Bank launches โฌ2 commemorative coin to mark Irish Presidency of the Council of the European Union
Central Bank of Ireland has today (Monday 6 July) launched a new โฌ2 commemorative coin to mark the beginning of the Irish Presidency of the Council of the European Union. The coin was officially launched by Governor Gabriel Makhlouf and Tรกnaiste and Minister for Finance Simon Harris at a ceremony at the Central Bank today. The Central Bank will mint 500,000 of the special โฌ2 coin and it will be issued into general circulation from tomorrow (Tuesday 7 July). People all over Ireland, and indeed...
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Bank
FCA publishesโฏlandmark review into impact of AI on retail financial services
The review sets out how AI could reshape retail financial services for consumers, firms, markets and regulators by 2030 and beyond. Led by FCA executive director Sheldon Mills and commissioned by the Board, The Mills Review is the first work of its kind initiated by a regulator globally.Drawing on views from across the financial services landscape, the report identifies 4 major AIโdriven shifts likely to impact retail financial services: the transformation of firm operations; the evolution of...
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Bank of England appoints Rhys Phillips as the new Chief Cashier
The Governor of the Bank of England, Andrew Bailey, has announced that Rhys Phillips will be the next Chief Cashier and Director of Notes. He will take up the role on 19 October 2026.
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Bank
SFC suspends Wong Tim Hi for nine months
No description available.
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Broker Dealer
ESMA launches Common Supervisory Action with NCAs on the risk management function
ESMA launches Common Supervisory Action with NCAs on the risk management function 03 July 2026 Risk monitoring The European Securities and Markets Authority (ESMA), the EUโs financial markets regulator and supervisor, is launching a Common Supervisory Action (CSA) on risk management function of UCITS management companies and Alternative Investment Fund Managers (AIFMs) across the European Union. The CSA will be conducted throughout 2026 and 2027, in close collaboration with National Competent...
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Asset ManagerHedge Fund
Publication,Publication of the "Initiatives and Challenges in Anti-Money Laundering and Countering Financial Crime (July 2026)"
No description available.
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All Firms
ESMA Public statement: ESMA reminds firms of existing rules and obligations under binary option measures amid growing popularity of prediction markets globally
Forex and binary options Savings protection ESMA Public statement: ESMA reminds firms of existing rules and obligations under binary option measures amid growing popularity of prediction markets globally
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Broker DealerAsset ManagerAll Firms
Active account reporting under Article 7b of EMIR
No description available.
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All Firms
The AMF publishes its 2026 Markets and Risk Outlook
Risk and Trend Mapping Markets Fixed income Asset management Other professionals Professional investors Journalists Investment services providers Investment management companies Listed companies and issuers ...
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FD-column Laura van Geest: 'Effectief leren: niet afrekenen maar groeien'
Leren is hard werken, stelt bestuursvoorzitter Laura van Geest in haar periodieke column in Het Financieele Dagblad . Ze stelt dat dat geldt voor de eindexamenkandidaten het afgelopen jaar, voor de betrokkenen bij het coronabeleid en ook voor de financiรซle sector en haar toezichthouder. De column van Laura van Geest verschijnt op zaterdag in de papieren krant en op vrijdag online op fd.nl (achter inlog).
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ASX ordered to pay $20.5 million penalty for misleading conduct relating to CHESS replacement project
ASX ordered to pay $20.5 million penalty for misleading conduct relating to CHESS replacement project
Sectors:
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Broker Dealer
ESMA reminds firms of existing rules and obligations under binary option measures amid growing popularity of prediction markets globally
ESMA reminds firms of existing rules and obligations under binary option measures amid growing popularity of prediction markets globally 03 July 2026 Investor protection The European Securities and Markets Authority (ESMA), the EUโs financial markets regulator and supervisor, has issued a statement reminding firms of their obligation to assess whether newly offered products fall within the scope of existing product intervention measures on binary options. The statement responds to the growing...
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Broker DealerAsset ManagerAll Firms
Issue 11 2026
No description available.
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All Firms
MAS Partners Industry to develop Safeguards for AI Agents in Finance
MAS, together with leading financial institutions and FinTechs, published an industry white paper on developing safeguards for AI agents in Finance. Titled โSafeguards for Agentic Finance at Runtime (SAFR)โ, the paper proposes an industry-developed framework that enables AI agents in financial services to carry out financial tasks safely, securely and reliably. SAFR is developed under MASโ BuildFin.ai initiative, which supports the responsible development and deployment of AI solutions in the fi
Sectors:
Topics:
BankFintechAll Firms
Independent review supports 32nd Actuarial Report on the Canada Pension Plan
Independent review supports 32nd Actuarial Report on the Canada Pension Plan
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All Firms
International,Exchange of Letters (EoL) on the Cooperation Framework with the International Financial Services Centres Authority, India
No description available.
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All Firms
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of Finance and Minister of State for Financial Services (June 26, 2026)
No description available.
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FintechPayment Provider
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of Finance and Minister of State for Financial Services (June 24, 2026)
No description available.
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Topics:
BankAll Firms
MiCA: Transition period for virtual asset service providers ended on 1 July 2026
No description available.
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Crypto ExchangeFintechPayment Provider
Pension firms must do more for customers in older pensions and fund savings
The FCA has found that peopleholding legacy pension products,now closed to newsavers, could be receiving poorer value than those in newer ones. The regulatoridentifiedsome good practices,butcomplexcharging structures,older product design andweakness infirms'datameantsome pension savers are not getting as much value as they could.What good looks likeSomeunit-linked non-workplace pension providers are working tosimplifyor rationalise their legacyproductsandfunds,orhaveplans to do so. There was ...
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Asset ManagerWealth Manager
Financial regulator to simplify investment disclosure regime
The FCA is proposing to simplify how platforms, advisers and wealth managers communicate the costs of investing while reminding firms to communicate with consumers about investing in plain English. The move will bring all investment cost disclosures into line with previous investment product disclosure reforms and create a more consistent framework for firms to give customers clearer, more useful information.The proposals will allow firms to innovate, test and compete to inform and engage ret...
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Asset ManagerBroker DealerWealth Manager
CSSF Newsletter No 305 โ June 2026
No description available.
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All Firms
Frank Elderson: The green transition โ benefits and barriers
No description available.
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BankAll Firms
Minutes of the London FXJSC Main Committee Meeting โ 26 March 2026
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 DealerAsset Manager
Minutes of the London FXJSC Legal Sub Committee Meeting โ 17 March 2026
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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Topics:
BankBroker DealerAll Firms
Minutes of the London FXJSC Operations Sub-Committee Meeting โ 18 March 2026
The Bank of England chairs the London Foreign Exchange Joint Standing Committee (FXJSC) Operations and Legal Sub-Committees. The FXJSC is made up of market participants, infrastructure providers and the UK financial regulators.
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Topics:
BankBroker DealerPayment Provider
ASIC cancels AFS licence of Capital Guard for fake bond sale and other dishonest conduct
ASIC cancels AFS licence of Capital Guard for fake bond sale and other dishonest conduct
Sectors:
Topics:
Wealth ManagerBroker Dealer
ASIC issues DDO stop orders against Stratfundโs Australian Fixed Income Fund
ASIC issues DDO stop orders against Stratfundโs Australian Fixed Income Fund
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Topics:
Asset ManagerWealth Manager
Global situation of undertakings for collective investment at the end of May 2026
Press release 26/14
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Topics:
Asset ManagerHedge Fund
Claudia Buch: Hearing of the Committee on Economic and Monetary Affairs of the European Parliament
No description available.
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Bank
Hong Kongโs AUM grew 20% to record high: SFCโs 2025 survey on asset and wealth management
No description available.
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Asset ManagerWealth ManagerBank
Filing Form (Updated)
No description available.
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All Firms
Notice of Amendments to Legislation: July 2026
Notice of Amendments to Legislation: July 2026
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All Firms
The DFSA confirms admission of UAEโs inaugural Sovereign Retail Treasury Sukukโฆ
The DFSA confirms admission of UAEโs inaugural Sovereign Retail Treasury Sukukโฆ
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Topics:
Broker DealerAsset Manager
Washington Times Op-Ed | Chicagoโs Last Trade
No description available.
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Crypto ExchangeBroker DealerAll Firms
Communication to market participants on the application of the ESG Ratings Regulation and the new disclosure requirements under the SFDR
No description available.
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Asset ManagerBroker DealerWealth Manager
SEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds Raised
The Securities and Exchange Commissionโs Division of Economic and Risk Analysis (DERA) published updated statistics and data visualizations covering key segments of the U.S. capital markets, including three new asset-backed securities (ABS) issuance dataโฆ
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Broker DealerAll Firms
Statutory panel chair appointments confirmed for FCA listing authority and practitioner panels
The FCA has announced Kirsty Cooper will take up the role as Chair of the Listing Authority Advisory Panel (LAAP). Clare Woodman and Matt Hammerstein have been reappointed as Chair of the FCA Markets Practitioner Panel and Chair of the FCA Practitioner Panel. The panels play an important role helping the FCA develop policy โ representing the interests of consumers and financial services firms, including smaller regulated firms.Welcoming the appointments, FCA Chair Ashley Alder said:'I am plea...
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The AMF announces the withdrawal of AUTOMATA France SASโs registration as a digital asset service provider effective from 30 June 2026
MiCA Other professionals Journalists The AMF announces the withdrawal of AUTOMATA France SASโs registration as a digital asset service provider effective from 30 June 2026
Effective Date: 30 June 2026
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Crypto ExchangeFintech
ESMA appoints Peter Tkรกฤ as the new member of its Management Board
ESMA appoints Peter Tkรกฤ as the new member of its Management Board 01 July 2026 About ESMA Management Board The European Securities and Markets Authority (ESMA), the European Unionโs financial markets regulator and supervisor, has appointed Peter Tkรกฤ, Nรกrodnรก Banka Slovenska (NBS), Slovakia, as the new member of its Management Board . The election took place at the Board of Supervisors meeting on 30 June 2026, in order to replace outgoing member Ante ลฝigman, Hrvatska agencija za nadzor finan...
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All Firms
PRA Regulatory Digest โ June 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:
Bank
FSCS Protected Deposit Reporting Requirements
The PRA has recently received a number of queries from firms relating to the identification, marking and reporting of FSCS protected deposits.
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Topics:
Bank
Basic statistical data on UCIs โ May 2026 (only in French)
No description available.
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Asset Manager
FINMA welcomes the establishment of a working group on the โoptimisation of financial market regulationโ
The Swiss Financial Market Supervisory Authority FINMA welcomes the announcement made today by the Federal Department of Finance (FDF) regarding the establishment of a working group to optimise financial market regulation in Switzerland. FINMA will support this group with its experience and expertise.
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All Firms
Net assets of UCIs
Situation as at 31 May 2026
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Asset Manager
Breakdown according to currency
Situation as at 31 May 2026
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Asset Manager
Origin of UCI initiators in Luxembourg
Situation as at 31 May 2026
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Asset Manager
Number of UCIs
Situation as at 31 May 2026
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All Firms
Investment policy of UCIs
Situation as at 31 May 2026
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Asset Manager
MAS and CSRC Reaffirm Commitment to Enhance Capital Markets and Supervisory Cooperation
MAS and the China Securities Regulatory Commission held their 10th annual supervisory roundtable in Singapore on 29 June 2026.
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Broker DealerAsset ManagerAll Firms
Others,Updated Japan Fintech Week 2026 official website
To showcase the appeal of Japanโs fintech industry to the global community and create new business opportunities for further development, Japan Fintech Week 2026 will be held from February 24th to March 6th. By collaborating with related events organized by various industry groups, this initiative aims to provide a platform where domestic and international fintech stakeholders can come together in one place.
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SEC Seeks Public Comment on Novel Exchange-Traded Funds
The Securities and Exchange Commission today issued a request for public comment on exchange-traded funds (ETFs) seeking to invest in innovative asset classes or engage in novel investment strategies. The request focuses on ways to facilitate innovationโฆ
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Asset ManagerBroker Dealer
Mandatory sell-out proceedings in relation to the shares of Kernel Holding S.A. (ISIN LU0327357389)
Press release 26/13
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All Firms
FCA sets landmark crypto rules to cement the UKโs place as a global hub
Firms supporting people to buy, trade and hold crypto will need to meet clear standards under landmark rules set out by the FCA. All firms must meet financial resilience requirements including capital and stress testing. The FCA is also introducing new market integrity rules covering areas such as insider trading and market manipulation.The new framework also sets out specific rules for stablecoins, a type of cryptoasset designed to maintain a stable value, typically by being linked to a curr...
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Crypto ExchangePayment ProviderFintech
Ondanks verhitte discussies waren deelnemers positief over AFM-pensioenevent
Met zoโn 175 professionals uit de pensioenwereld, was het AFM-pensioenevent op 4 juni afgeladen vol. Uit de enquรชte achteraf bleek dat een ruime meerderheid van de deelnemers tevreden was over het event. Enkelen stoorden zich aan de discussie tussen de AFM en de Pensioenfederatie bij de break-outsessie over kostentransparantie.
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InsuranceAll Firms
Jeroen Steenvoorden: โKeuzebegeleiding is nog belangrijker geworden dan het al wasโ
Waarover maken pensioenspecialisten zich concreet druk in de pensioentransitie? En welke tip hebben ze voor de AFM? In deze interviewserie stellen we drie vaste vragen aan een pensioenprominent. Vandaag Jeroen Steenvoorden, ombudsman pensioenen: โEen goede toezichthouder is soepel op het moment dat iets goed gaat, en streng als het minder goed gaat.โ
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Insurance
AFM-pensioenpodcast #8: Communicatie over opheffen leenrestrictie
Aflevering 8 van de AFM-pensioenpodcast 'Toezicht aan tafel' gaat over het opheffen van de leenrestrictie en transparant communiceren daarover naar je deelnemers. Verder aandacht voor fouten in digitale tools voor keuzebegeleiding. De luisteraarsvraag is dit keer van Jeroen Steenvoorden, de ombudsman pensioenen.
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Insurance
Test je online tool voor keuzebegeleiding op fouten!
Veel pensioenuitvoerders gebruiken online tools voor keuzebegeleiding. Een aantal van die tools hebben we grondig geanalyseerd. In te veel gevallen stuitten we daarbij op fouten.
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ASIC pushes for coordinated action to strengthen competitiveness of Australian markets
ASIC pushes for coordinated action to strengthen competitiveness of Australian markets
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Broker DealerAsset ManagerFintech
NSW restaurateur Giuseppe DeFrancesco first person charged by ASIC with creditor defeating criminal offences
NSW restaurateur Giuseppe DeFrancesco first person charged by ASIC with creditor defeating criminal offences
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Rex held accountable for continuous disclosure failure, three non-executive directors did not breach duties
Rex held accountable for continuous disclosure failure, three non-executive directors did not breach duties
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Vrijwillige voortzetting en compensatie: zorg voor adequate keuzebegeleiding
Vrijwillige voortzetting van de pensioenregeling kan het mislopen van compensatie voorkomen. Stel je deelnemers in staat om hierover een passende keuze te maken. Deelnemers moeten weten dat deze keuze bestaat en wat de voorwaarden zijn.
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Evaluatie: AFM werkt doelmatig en doeltreffend, ruimte voor verdere verbetering
De Autoriteit Financiรซle Markten (AFM) is een professionele en doelmatige toezichthouder die haar wettelijke taken doeltreffend uitvoert en aantoonbare resultaten boekt. Dat blijkt uit de onafhankelijke evaluatie van het functioneren van de AFM als zelfstandig bestuursorgaan (zbo) over de periode 2021โ2025. In het rapport staan ook aanbevelingen voor verdere verbetering.
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CSSF Regulation No 26-02 of 30 June 2026 (only in French)
on the setting of the countercyclical buffer rate for the third quarter of 2026
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Bank
Joint Statement by Monetary Authority of Singapore (MAS) & Commercial Affairs Department (CAD), Singapore Police Force
Singapore, 30 June 2026โฆ The Monetary Authority of Singapore (MAS) has imposed a civil penalty of S$120,000 on Dr Chua Han Boon Kenneth (โDr Chuaโ) for insider trading in the shares of Singapore Medical Group Limited (โSMGLโ), which was listed on the Singapore Exchange at the time.
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Publication,FSA Weekly Review No.693 June 29, 2026
No description available.
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CFTC Orders Two Foreign Firms to Pay $2.5 Million for Illegal Off-Exchange Transactions with U.S. Customers
No description available.
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Broker DealerFintech
Data on exemptions (year 2025)
No description available.
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Data on market risk (year 2025)
No description available.
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Individual data per Competent Authority (year 2025)
No description available.
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Supervisory review and evaluation process (SREP) (2025)
No description available.
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Part 3 โ Variable elements of remuneration (Article 32 of Directive (EU) 2019/2034) (2025)
No description available.
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BankAsset ManagerBroker Dealer
Part 2 โ Number of investment firms using transitional provisions set out in Directive (EU) 2019/2034 and Regulation (EU) 2019/2033 (2025)
No description available.
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Broker DealerAsset Manager
Part 1 โ Options and discretions set out in Directive (EU) 2019/2034, Regulation (EU) 2019/2033 (2025)
No description available.
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Part 4 โ Regulatory reporting (2025)
No description available.
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Part 3 โ Specific disclosure requirements applied to investment firms (2025)
No description available.
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Broker DealerAsset Manager
Part 2 โ Model approval (2025)
No description available.
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Part 1 โ Transposition of Directive (UE) 2019/2034 (2025)
No description available.
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Applications Open For Participation In Global Talent Programme In Cooperation With World Bank Group Wam
Applications Open For Participation In Global Talent Programme In Cooperation With World Bank Group Wam
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ASIC calls platform trustees to account over persistent failures to safeguard super savings
ASIC calls platform trustees to account over persistent failures to safeguard super savings
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Asset ManagerWealth ManagerAll Firms
ASIC secures $10.3 million in penalties against Mercer Super for systemic reporting failures
ASIC secures $10.3 million in penalties against Mercer Super for systemic reporting failures
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Asset Manager
WA director Trent Bowden pleads guilty to over $1.5 million investor deception
WA director Trent Bowden pleads guilty to over $1.5 million investor deception
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Asset ManagerWealth Manager
Non-UK business removed from Consumer Duty scope to reduce burdens on wholesale businesses
Wholesale financial businesses involved in retail markets will find it easier to comply with the Consumer Duty, following proposals from the FCA. The changes are part of the FCA's plans to give wholesale firms the confidence to apply the Duty proportionately. Under the proposals, firms will benefit from:Removing business for genuinely non-UK customers from the Dutyโs scope where there is no clear UK link or reasonable expectation of UK protection.Clearer boundaries around what is out of scope...
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Broker DealerAsset ManagerBank
Laura van Geest over de grootste uitdaging in het nieuwe pensioenstelsel
Donderdag 25 juni sprak Laura van Geest (bestuursvoorzitter AFM) bij de presentatie van de Netspar-bundel Het Nieuwe Pensioenlandschap: โDaarbij stond voor mij รฉรฉn vraag centraal: niet hoe we hier zijn gekomen, maar wat nodig is om future fit te zijn. Voor mij zit dat in iets ogenschijnlijk eenvoudigs: dat mensen begrijpen wat er gebeurt met hun pensioen en daar vertrouwen in hebben. Maar dat voor elkaar krijgen is aanzienlijk lastiger. Het fundament ligt er. Maar nu gaat het om verwachtingen...
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FINMA concludes proceedings against Swiss Fund Management AG in liquidation and BZ Berater Zentrum AG and enforces rules of conduct in the financial services sector
The Swiss Financial Market Supervisory Authority FINMA has concluded enforcement proceedings against two institutions and one individual for serious breaches of the rules of conduct governing the provision of financial services under the FinSA. To restore compliance with the law and protect investors, FINMA ordered various measures. It withdrew Swiss Fund Management AG in liquidationโs licence to manage funds. An application by BZ Berater Zentrum AG for authorisation as an independent portfol...
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Asset ManagerWealth Manager
MAS Invites Applications for 2026 Global FinTech Hackcelerator and FinTech Excellence Awards
MAS announced a call for applications and nominations for the 2026 Global FinTech Hackcelerator and the Singapore FinTech Festival FinTech Excellence Awards.
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FintechBankWealth Manager
The DFSA publishes Conduct Supervisory Pulse on Personal Account Dealing
The DFSA publishes Conduct Supervisory Pulse on Personal Account Dealing
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Broker Dealer
Publication,Publication of "FSA Analytical Notes (2026.6) vol.2: Analysis of Margin Dynamics in OTC Derivatives Market during Periods of High Volatility" in Japanese
No description available.
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Broker DealerAll Firms
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of Finance and Minister of State for Financial Services (June 16, 2026)
No description available.
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CFTC, SEC Seek Public Comment on the Harmonization of Portfolio Margining Frameworks
No description available.
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Broker DealerAsset ManagerHedge Fund
SEC, CFTC Seek Public Comment on the Harmonization of Portfolio Margining Frameworks
The Securities and Exchange Commission and the Commodity Futures Trading Commission today issued a joint request for public comment on potential approaches to further harmonize regulatory frameworks applicable to portfolio margining across securities,โฆ
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Broker DealerAsset ManagerHedge Fund
FCA consults on targeted changes to listing rules for closed-ended investment funds
The FCA has published a consultation paper on proposed changes to its UK Listing Rules for closedโended investment funds, focused on the management of conflicts of interest. Closedโended investment funds have a distinct structure, operating as both listed companies and investment vehicles. Shareholders appoint a board, which in turn appoints and oversees the investment manager responsible for delivering returns. Shareholder rights are central to this model, enabling investors to hold boards t...
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Asset ManagerBroker Dealer
SFC welcomes appointment and re-appointment of Non-Executive Directors
No description available.
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ASIC sues former Keystone Asset Management directors and compliance committee members over alleged Shield failures
ASIC sues former Keystone Asset Management directors and compliance committee members over alleged Shield failures
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Asset ManagerWealth Manager
Registered Company Auditor John Gordon Owenell hands in registration following independence concerns raised by ASIC
Registered Company Auditor John Gordon Owenell hands in registration following independence concerns raised by ASIC
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List of supervised entities - Cut-off date 1 May 2026
No description available.
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BankAll Firms
ECB Guide on materiality assessment (EGMA)
No description available.
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Bank
ECB Guide on assessment methodology (EGAM)
No description available.
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BankAsset ManagerAll Firms
ECB guide to internal models
No description available.
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Bank
26 Jun 2026 Read more
26 Jun 2026 Read more
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ECB concludes asset quality reviews of KfW Beteiligungsholding GmbH and Promontoria 19 Coรถperatie U.A.
No description available.
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Bank
CACEIS UK censured and to pay ยฃ31.7m to WealthTek clients for weak financial crime controls
CACEIS UK, an asset servicing bank, has been censured by the FCA and will make a ยฃ31.7m voluntary payment to WealthTek clients for failing to act on information that left clients exposed to the risk of financial crime. The FCA has now secured over ยฃ57m in total for WealthTek clients in just over a year, with action taken against CACEIS UK, Sapia Partners and Barclays Bank UK.CACEIS UK became WealthTek's sub-custodian in November 2020, meaning they were responsible for keeping its clientโs ass...
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BankWealth ManagerAsset Manager
UCITS Risk Reporting dashboard - December 2025
No description available.
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Asset Manager
Consultatie over aangepaste regels in Caribisch Nederland
De Autoriteit Financiรซle Markten (AFM) en De Nederlandsche Bank (DNB) consulteren wijzigingen in regels voor financiรซle ondernemingen in Caribisch Nederland. Het betreft regels die zijn vastgelegd in een beleidsregel en een regeling: de Beleidsregel AFM en DNB toepassing en uitvoering Wfm BES en Wwft BES 2012 en de Regeling AFM en DNB nadere voorschriften Wfm BES en Wwft BES 2012 . De regels in deze beleidsregel en regeling zijn al enkele jaren niet integraal geactualiseerd. De regels worden ...
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MMF Reporting dashboard โ December 2025
This MMF Reporting Dashboard encompasses a set of indicators based on the data reported under Article 37 of the MMF Regulation, with data as from Q1/2020 onwards.
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Accountability of the Prudential Regulation Authority for delivery of the Secondary Competitiveness and Growth Objective (SCGO)
Appendix to the Prudential Regulation Authority Annual Report 2025/26
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BankInsuranceAll Firms
Prudential Regulation Authorityโs (PRA) Cost Benefit Analysis Panel Annual Report 2025/26
The Cost Benefit Analysis (CBA) Panel is a statutory panel established to provide advice to the PRA and the Bank on the preparation of CBA. The Panel provides independent input to the PRAโs and the Bankโs CBAs, helping to support increased transparency and scrutiny of their policymaking. This report covers the period from 1 March 2025 to 28 February 2026.
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Prudential Regulation Authority Annual Report 2025/26
The Bank of England and the Prudential Regulation Authority (PRA) have published their annual reports. The PRA report includes information on our activities for the year ended 28 February 2026.
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Letter from Claudia Buch, Chair of the Supervisory Board, to Mr Fabio de Masi, MEP, on banking supervision
No description available.
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Bank
Why stronger Buy Now Pay Later protections are the right step for consumers
BNPL can help people to manage their cash flow. It can allow them to spread the cost of purchases and smooth their finances. But, as with any borrowing, BNPL also carries risks. Let me clear about this: BNPL has an important role to play. We donโt want to reduce or remove access to credit, but to ensure it is offered in a way that works for consumers. That's why we are introducing protections for consumers using BNPL. Consumers will benefit from clearer information before they borrow, proport...
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FintechPayment ProviderAll Firms
OSFI launches quicker, clearer, more predictable approvals path for eligible new entrants
OSFI launches quicker, clearer, more predictable approvals path for eligible new entrants
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BankFintechPayment Provider
MAS Establishes Future of Finance Institute to Scale Financial Innovation
MAS announced that a Future of Finance Institute will be established to accelerate the adoption of new financial technologies and catalyse innovation in the financial sector.
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BankFintechAsset Manager
MAS and ABS Chart Instant Payments Enhancements with PayNow Generation 2 Study
MAS and ABS are exploring four areas of enhancements to Singapore's national instant payments infrastructure as part of a PayNow Generation 2 study.
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BankPayment ProviderFintech
DFSA Annual Report 2025: the DFSA records third consecutive year of double-digitโฆ
DFSA Annual Report 2025: the DFSA records third consecutive year of double-digitโฆ
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SEC Appoints Kathleen Hutchinson as Director of Office of International Affairs
The Securities and Exchange Commission has appointed Kathleen M. Hutchinson as Director of the agencyโs Office of International Affairs (OIA). OIA advises the Commission on international policy matters, coordinates with foreign authorities across theโฆ
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Issue 10 2026
No description available.
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Crypto ExchangePayment ProviderAll Firms
Patrick Montagner: When fragmentation creates complexity
No description available.
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Bank
Commodity traders offer ยฃ1m to crisis fund after FCA competition probe
The FCA is concerned 11 traders may have shared sensitive information or coordinated trades, potentially restricting competition. Following an investigation, the FCA is concerned 11 traders may have hindered competition in commodity futures markets and infringed competition law by exchanging potentially sensitive information about their trading and/or coordinating their trading strategies with each other.The traders have proposed commitments to change the way they handle sensitive information...
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The AMF has introduced a new methodology for document-based inspections of financial investment advisor
Investment advice Sustainable Finance The AMF has introduced a new methodology for document-based inspections of financial investment advisor
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Wealth ManagerAsset Manager
Perez Llorca Launches Operations In Abu Dhabi
Perez Llorca Launches Operations In Abu Dhabi
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ASIC lifts bonnet on car finance costs and distribution concerns
ASIC lifts bonnet on car finance costs and distribution concerns
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BankFintechBroker Dealer
Megan Greene's CV and questionnaire for the Treasury Select Committee
Published for the Treasury Select Committee
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Diversified engines underpin high-quality growth to bolster global standing of Hong Kong capital markets: SFC Annual Report
No description available.
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Asset ManagerBroker DealerCrypto Exchange
Energy Transition Acceleration Finance Partnership under Singapore's FAST-P Initiative raises US$250 Million in First Close
The Energy Transition Acceleration Finance partnership (ETAF) seeks to mobilise capital into earlier-stage or higher-risk energy transition infrastructure investments where financing is not otherwise available at a sufficient scale, tenor, or risk appetite. As these investments mature and their risk profiles improve over time, ETAF aims to crowd in a broader pool of commercial and institutional investors.
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End of the MiCA transitional period: ESMA sets out its expectations of professionals and warns retail investors
MiCA Investment services End of the MiCA transitional period: ESMA sets out its expectations of professionals and warns retail investors
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Crypto ExchangeFintechAll Firms
Sharon Donnery: Interview with Central Banking
No description available.
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Bank
Consumer Price Developments in May 2026
This May 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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CFTC Seeks Public Comment on the Extension of Standard Futures Contracts to 24/7 Trading and on Perpetual Contracts Referencing Physically Delivered or Storable Energy Commodities
No description available.
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Broker DealerAll Firms
Publication,FSA Weekly Review No.692 June 22, 2026
No description available.
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BankBroker DealerInsurance
Monevium Ltd enters special administration
On 18 June 2026, Monevium Ltd (Monevium) entered special administration. Adam Henry Stephens and Christopher Allen of S&W Partners LLP (S&W) were appointed as special administrators. Monevium is authorised by the FCA to provide payment services. On 28 February 2024, Monevium agreed to a voluntary undertaking, which restricted the activities it can carry out. See details on the Financial Services Register.
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Payment Provider
FCA consults on proposals to support strong, consistent standards in the SIPP market
The FCA has set out plans to drive greater consistency of standards in self-invested pensions (SIPPs), while maintaining the flexibility and broad investment choice they offer. Most SIPP providers are already doing the right thing and providing a good service to their customers. However, the FCA has historically found cases of poor due diligence, weak record keeping and gaps in how firms protect money and assets. To drive greater consistency, the FCA is proposing clear standards of due dilige...
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Wealth ManagerAsset Manager
Property developer David McWilliams charged over $10 million fraud scheme
Property developer David McWilliams charged over $10 million fraud scheme
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Asset ManagerAll Firms
ESMA publishes the register of external reviewers under the EuGB Regulation
ESMA publishes the register of external reviewers under the EuGB Regulation 22 June 2026 Supervision The European Securities and Markets Authority (ESMA), the EUโs financial markets regulator and supervisor, has today published the register of firms authorised to act as external reviewers of European Green Bonds. External reviewers play a key role in ensuring that the use of proceeds of European Green Bonds is allocated in line with the EU Taxonomy requirements. They are also vital in boostin...
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Asset ManagerAll Firms
Investors get real-time view of UK bond market activity for the first time
For the first time, investors and market participants can access a single, real-time source of prices and trading activity across the UK bond market, following the launch of its bond consolidated tape, operated by ETS Connect UK. Until now, data on bond trades was scattered across multiple sources, making it difficult to get a clear and complete picture of market activity. The new service brings it all together in one place.The launch builds on changes to the UK's bond market transparency rul...
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Insurance,Overview of financial results of major insurance companies as of March 31, 2026
No description available.
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Insurance
Asset Purchase Facility: Gilt Sales โ Market Notice 19 June 2026
This Market Notice sets out the schedule for sales in Q3 2026 of gilts held in the Asset Purchase Facility (APF) for monetary policy purposes.
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International,International Forum of Independent Audit Regulators published the Factsheet on Sustainability Assurance Survey
No description available.
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Corrigendum to 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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Corrigendum to Council Implementing Regulation (EU) 2024/849 of 12 March 2024
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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Notification of the intention of a Luxembourg-based IFM to provide ancillary services to third parties under Article 5(4)(b)(iv) of the Law of 2013 and/or Article 101(3)(b), fourth indent of the Law of 2010
Version 1
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Communication to the investment fund industry in relation to the notification of the intention of a Luxembourg-based investment fund manager to provide ancillary services to third parties
under Article 5(4)(b)(iv) of the Law of 2013 and/or Article 101(3)(b), fourth indent of the Law of 2010 as 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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Frank Elderson: Fireside chat
No description available.
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BankPayment Provider
ASIC bans Brett Anthony Newbound from providing financial services for 10 years and cancels licenses of Freedom Wealth Services Pty Ltd
ASIC bans Brett Anthony Newbound from providing financial services for 10 years and cancels licenses of Freedom Wealth Services Pty Ltd
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Wealth Manager
Full Federal Court dismisses ASIC appeal on HCF Life unfair contract term finding
Full Federal Court dismisses ASIC appeal on HCF Life unfair contract term finding
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Insurance
Former Metigy CEO David Fairfull sentenced to nine yearsโ imprisonment
Former Metigy CEO David Fairfull sentenced to nine yearsโ imprisonment
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Fintech
Application form for authorisation of a UCITS outbound cross-border merger
No description available.
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Application form for authorisation of a UCITS domestic merger
No description available.
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Asset Manager
ECB publishes supervisory banking statistics on significant institutions for the first quarter of 2026
No description available.
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Bank
Supervisory Banking Statistics for significant institutions - First quarter 2026
No description available.
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Bank
Is uw online klantreis vrij van ongewenste beรฏnvloeding?
Per 19 juni treedt de herziene Distance Marketing of Financial Services Directive (DMFSD) in werking. De DMFSD bevat regels ter bescherming van consumenten bij het online sluiten van overeenkomsten voor financiรซle diensten. De regels gaan over precontractuele informatie, een ontbindingsrecht voor consumenten en bepalingen voor online interfaces. De regels voor online interfaces zijn complex en belangrijk voor de bescherming van consumenten. Daarom vragen we de markt om extra aandacht voor dez...
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BankFintechCrypto Exchange
Peter Routledge, Superintendent at the Office of the Superintendent of Financial Institutions (OSFI), gives OSFI Domestic Stability Buffer (DSB) Announcement
Peter Routledge, Superintendent at the Office of the Superintendent of Financial Institutions (OSFI), gives OSFI Domestic Stability Buffer (DSB) Announcement
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Bank
OSFI lowers Domestic Stability Buffer to 3.0% so Canada's largest banks can deploy more capital
OSFI lowers Domestic Stability Buffer to 3.0% so Canada's largest banks can deploy more capital
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Bank
CFTC, SEC Seek Public Comment to Further Clarify and Harmonize Derivatives Product Definitions
No description available.
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Broker DealerAsset ManagerAll Firms
CFTC, SEC Seek Public Input on Data Reporting Frameworks for Security-Based Swap and Swap Markets
No description available.
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Broker DealerAsset Manager
SEC, CFTC Seek Public Comment to Further Clarify and Harmonize Derivatives Product Definitions
The Securities and Exchange Commission and the Commodity Futures Trading Commission today issued a joint request for public comment on potential opportunities to further update, clarify, and harmonize certain derivatives product definitions andโฆ
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Broker DealerAsset ManagerAll Firms
CFTC Resolves Action Against Celsius Founder
No description available.
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Crypto ExchangeFintech
SEC, CFTC Seek Public Input on Data Reporting Frameworks for Security-Based Swap and Swap Markets
The Securities and Exchange Commission and Commodity Futures Trading Commission today issued a joint request for public comment on potential opportunities to harmonize, modernize, and streamline data reporting requirements in their regulation of theโฆ
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Broker DealerBankAll Firms
Minutes of the Meeting of the Court of Directors held on 23 April 2026
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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Bank
Herziene richtlijn consumentenkrediet: vergunning aanvragen kan nu al
Per 20 november 2026 treedt de herziene richtlijn consumentenkrediet (CCDII) in werking. Aanbieders van consumptief krediet krijgen te maken met nieuwe en aangepaste verplichtingen. Daarnaast gaan voorheen uitgezonderde kredietvormen, zoals achteraf betalen ('buy now, pay laterโ), รณรณk vallen onder de Wft. Check of uw onderneming vergunning- of registratieplichtig wordt en vraag op tijd uw vergunning aan. De AFM neemt nu al aanvragen in behandeling, vooruitlopend op de definitieve implementatie.
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BankFintechPayment Provider
Transcript of the Governor's pooled broadcast interview given on 18 June 2026
Following the publication of the Monetary Policy Summary and minutes of the Monetary Policy Committee meeting
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BankAll Firms
Bank Rate maintained at 3.75% - June 2026 Monetary Policy Summary and Minutes
The Bank of Englandโs Monetary Policy Committee is responsible for making decisions about Bank Rate.
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Bank
Quarterly Bulletin 2026:2 โ Domestic resilience even as inflation rises, but effects of the Middle East conflict hang over the outlook
Inflation forecasts have been revised upwards notably, to 3.5 per cent this year and 2.9 per cent in 2027 Weaker consumer spending expected in 2026 but continued growth in MDD is projected over the forecast horizon with MNE-related investment playing a prominent role GDP fell sharply in the first quarter of 2026, highlighting its sensitivity to the (onshore and offshore) activities of a small number of multinational enterprises A swift resolution to the conflict would see oil and gas prices f...
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SFC CEO visits Shanghai
No description available.
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ASIC expands list of known entities involved in lead generation
ASIC expands list of known entities involved in lead generation
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Wealth ManagerFintechAll Firms
$35 million penalty sought as HSBC admits to scam protection failures, and implements compensation plan
$35 million penalty sought as HSBC admits to scam protection failures, and implements compensation plan
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Bank
Federal Court orders $35 million penalty against HSBC for scam protection failures
Federal Court orders $35 million penalty against HSBC for scam protection failures
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Bank
The European Banking Authority published a Report on simplifying the stacking orders of the EU prudential and resolution framework
No description available.
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Bank
Hong Kong to launch Five-Year China Government Bond Futures
No description available.
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Asset ManagerBroker DealerAll Firms
Sanctierisicoโs: bewustzijn accountants is goed, beheersing kan beter
Accountantsorganisaties zijn een belangrijke schakel in de naleving van de sancties tegen Rusland. Zij moeten niet alleen zelf voldoen, maar ook controleren of controlecliรซnten zich daaraan houden. Zo niet, dan zijn stappen nodig. Daar mag de maatschappij op vertrouwen. Accountantsorganisaties met een reguliere vergunning zijn zich bewust van sanctierisicoโs bij controlecliรซnten met Russische activiteiten, blijkt uit onderzoek van de AFM en BFT. Beide organisaties hebben onderzoek gedaan vanu...
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CFTC Staff Issues No-Action Letter for Swap Post-Trade Risk Reduction Services
No description available.
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Broker DealerAll Firms
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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ESMA Statement on the results of the Common Supervisory Action on MiFID II sustainability aspects
No description available.
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ASIC helps strengthen the fight against imposter scams in financial services
ASIC helps strengthen the fight against imposter scams in financial services
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Former Star Entertainment executives Mathias Bekier and Paula Martin disqualified and ordered to pay penalties
Former Star Entertainment executives Mathias Bekier and Paula Martin disqualified and ordered to pay penalties
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ASIC successful in High Court Block Earner appeal
ASIC successful in High Court Block Earner appeal
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FintechCrypto Exchange
SFC seeks share buy-out order against former chairman of Target Insurance (Holdings) Limited
No description available.
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InsuranceAsset ManagerBroker Dealer
Announcement of the publication of the Governor's interview transcript
Statement from the Bank of England
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Bank
The Banque de France, the ACPR and the AMF have published a methodological report on their first system-wide stress test
Stress-testing Markets Financial Crisis Other professionals Executive & other private individuals Professional investors Journalists Investment services providers Investment management companies The Banque de France,...
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BankAsset ManagerInsurance
Effective management requires more than just policy
In its SREP Market Overview 2025, the AFM notes that many firms have their foundations in order, but that implementation is lagging behind. Internal control and IT risks, in particular, require improvement. The message is clear: ensure that policies are not merely in place, but that they demonstrably work in practice.
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Movie producer Wong Pak Ming begins five-month jail term immediately in SFCโs insider dealing case
No description available.
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$name
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Aktualisierte Sanktionsmeldung
Das Eidgenรถssische Departement fรผr Wirtschaft, Bildung und Forschung (WBF) hat den Anhang der Verordnung vom 10. April 2024 รผber Massnahmen gegenรผber Personen und Organisationen, welche die Hamas oder den Palรคstinensischen Islamischen Dschihad unterstรผtzen (SR 946.231.09), geรคndert.
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Opening Remarks by Mr Chia Der Jiun, Managing Director, Monetary Authority of Singapore, at Lujiazui Forum Plenary Session II, โReform and Cooperation in Global Financial Governanceโ on 17 June 2026
At the Lujiazui Forum 2026, Mr Chia Der Jiun, Managing Director of the Monetary Authority of Singapore, shared perspectives on the economic outlook, the need to build resilience amid an environment of high policy uncertainty, expanding regional economic and financial cooperation, and continued support for international financial institutions.
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OSFI announcement on the Domestic Stability Buffer
OSFI announcement on the Domestic Stability Buffer
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Bank
ASIC and APRA announce FAR changes to reduce administrative burden
ASIC and APRA announce FAR changes to reduce administrative burden
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CFTC Issues a Request for Information to Facilitate Innovation and Competition for Fintech Firms
No description available.
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FintechBroker DealerBank
Publication,FSA Weekly Review No.691 June 16, 2026
No description available.
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BankBroker DealerAsset Manager
Profit and loss account of credit institutions as at 31 March 2026 (only in French)
Press release 26/12
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Bank
Insurance intermediaries: supervision is having an impact, but there is still a need for action to tackle abuse
The revised Insurance Supervision Act and Insurance Supervision Ordinance came into force on 1 January 2024, bringing about significant changes to the insurance intermediary market. Two and a half years later, FINMA took stock at a symposium in Bern attended by industry experts. It noted positive progress in client protection, but also emphasised that many people are still operating without authorisation. Around 12,000 untied insurance intermediaries are authorised by FINMA.
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Insurance
Council Implementing Regulation (EU) 2026/1361 of 15 June 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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Council Implementing Regulation (EU) 2026/1356 of 15 June 2026
implementing Regulation (EU) 2024/2642 concerning restrictive measures in view of Russiaโs destabilising activities
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Council Regulation (EU) 2026/1336 of 15 June 2026
amending 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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De-risking Practices and ML/FT Risk Management
No description available.
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BankPayment Provider
Development of the balance sheet total and provisional net results of specialised PFS
Situation as at 30 April 2026
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Issuers of securities whose home Member State is Luxembourg pursuant to the Law of 11 January 2008
Situation as at 31 May 2026
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Quarterly development of employment in specialised PFS
Situation as at 31 March 2026
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Notifications sent by the CSSF to the competent authorities of other EEA Member States
Situation from May 2025 to May 2026
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Development of net assets and number of UCIs
Situation as at 31 March 2026
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Development of the balance sheet total and provisional net results of support PFS
Situation as at 30 April 2026
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Bank
Quarterly development of employment in support PFS
Situation as at 31 March 2026
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Notifications received by the CSSF from the competent authorities of other EEA Member States
Situation from May 2025 to May 2026
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CSSF approvals of prospectuses
Situation from May 2025 to May 2026
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16 Jun 2026 Read more
16 Jun 2026 Read more
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MAS Amends the Singapore Code on Take-Overs and Mergers
Singapore, 16 June 2026 โ The Monetary Authority of Singapore (MAS), on the advice of the Securities Industry Council (SIC or the Council), today issued a revised Code on Take-overs and Mergers (the Code). The amendments to the Code aim to protect the competitive process of take-over and merger transactions, improve certainty and timeliness of schemes of arrangement, and enhance disclosures to investors and shareholders.
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Changes to OSFI's Executive Leadership Team
Changes to OSFI's Executive Leadership Team
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Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of Finance and Minister of State for Financial Services (June 2, 2026)
No description available.
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BankFintech
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of Finance and Minister of State for Financial Services (June 3, 2026)
No description available.
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BankAll Firms
Securities,Request Regarding โShort-Term Measures for Financial Institutions in Response to Changes in Threat Posed by Frontier AIโ
No description available.
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Commission Delegated Regulation (EU) 2026/773 of 4ย March 2026
amending Delegated Regulation (EU) 2019/980 as regards the reduced content and the standardised format and sequence of the EU Follow-on prospectus and the EU Growth issuance prospectus
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CFTC Chairman Selig Announces Senior Staff Appointments
No description available.
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Summary of the RTGS CHAPS Industry Forum
The first meeting of the RTGS CHAPS Industry Forum
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BankPayment ProviderAll Firms
ASX admits misleading conduct relating to CHESS replacement project
ASX admits misleading conduct relating to CHESS replacement project
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ASIC permanently bans Abdullah Popal from financial services and credit
ASIC permanently bans Abdullah Popal from financial services and credit
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Banknote imagery advisory group minutes โ 15 December 2025
Meeting held 15 December 2025
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Bank
Banknote imagery expert panel minutes โ 10 March 2026
Meeting held 10 March 2026
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Bank
Banknote imagery expert panel minutes โ 15 April 2026
Meeting held 15 April 2026
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Bank
Banknote imagery expert panel minutes โ 24 April 2026
Meeting held 24 April 2026
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Bank
Banknote imagery advisory group minutes โ 29 April 2026
Meeting held 29 April 2026
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Bank
CFTC Issues No-Action Letter for DCMs Converting Existing Perpetual-Style Digital Commodity Futures into True Digital Commodity Perpetual Futures
No description available.
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SEC Appoints John Moses as Director of the Office of Investor Education and Assistance
The Securities and Exchange Commission has appointed John Moses as Director of the agencyโs Office of Investor Education and Assistance, which provides services and resources to help investors build their financial futures and protect against investmentโฆ
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SSM Calendar Claude Wampach โ 03/2026
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CFTC Sues New Mexico as the State Becomes the Latest Attempting to Infringe on Federal Jurisdiction
No description available.
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Broker DealerCrypto Exchange
A New Era For Global Banking Dhabi Launches At Adgm
A New Era For Global Banking Dhabi Launches At Adgm
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BankFintech
Federal Court orders record $300 million penalties in ASICโs case over โegregiousโ Union Standard and CFD operator misconduct
Federal Court orders record $300 million penalties in ASICโs case over โegregiousโ Union Standard and CFD operator misconduct
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ASIC disqualifies Shashikumari Agrawal, wife of convicted Mansa Group director, from managing corporations for 5 years
ASIC disqualifies Shashikumari Agrawal, wife of convicted Mansa Group director, from managing corporations for 5 years
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2025 CSSF balance sheet (only in French)
No description available.
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Why we raised rates this week, and Irish GDP in the spotlight
In his latest blog, Governor Gabriel Makhlouf explains the ECB Governing Council decision to raise interest rates by 0.25 per cent. This first change since June 2025 brings the Deposit Facility Rate to 2.25 per cent. He supported the decision and, along with his colleagues on the Governing Council, is committed to delivering our 2 per cent inflation target over the medium term.
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Overview of Luxembourg investment vehicles and their IFM (Updated)
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Changes to collateral eligibility in the Sterling Monetary Framework - Market Notice 11 June 2026
This Market Notice covers changes to the Bankโs collateral eligibility framework for the Sterling Monetary Framework (SMF).
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Court orders appointment of special administrators for Euro Exchange Securities UK Limited
The High Court today confirmed the appointment of special administrators for Euro Exchange Securities UK Limited (EES). EES did not seek to overturn the courtโs initial decision, which saw the firm cease trading with immediate effect last week.EES agreed it is not in the companyโs interests to seek to return to normal trading and will work with the appointed special administrators to ensure client money is returned as quickly as possible.Duncan Perring and James Bennett of Teneo Financial Adv...
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Payment ProviderFintech
Equity Research Ventures PTE. LTD. (โAlleAktienโ): Bafin prohibited the public offering of the capital investment under the name of โCo-Investment AlleAktien Wealth x SpaceXโ.
By letter of 1 June 2026, the Federal Financial Supervisory Authority (Bafin) prohibited Equity Research Ventures PTE. LTD., which claims to be based in Singapore, from offering to the public the capital investment under the name of โCo-Investment AlleAktien Wealth x SpaceXโ. Bafin imposed the prohibition because the company had infringed the German Capital Investment Act (VermAnlG). Equity Research Ventures PTE. LTD. is therefore not authorised to offer capital investments under the name of ...
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Amplifi Capital (U.K.) Limited enters administration
On 9 June 2026, Amplifi Capital (U.K.) Limited (Amplifi) entered administration. Robert Spence and Gareth Slater of Interpath Advisory were appointed joint administrators. Amplifi is authorised by the FCA. Amplifi trades under the names Reevo Money and My Community Finance. Reevo Money provided personal loans to consumers. My Community Finance acted as a credit broker, introducing customers to credit unions; My Community Bank (MCB) and Castle Community Bank (CCB) which issued loans and saving...
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FintechBank
FCA decides to fine Carlos Ricardo Fuenmayor ยฃ99,600 for disclosure failures
No description available.
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Bank
โEuribor panel to include KBC Bankโ
โEuribor panel to include KBC Bankโ 11 June 2026 Benchmarks Press Releases On 27 May 2026, the European Money Markets Institute (EMMI), the administrator of Euribor, announced the inclusion of KBC Bank in the Euribor panel. ESMA and the Belgian Financial Services and Markets Authority (FSMA) welcome the inclusion of KBC Bank in the panel as a positive development that contributes to strengthening the robustness and reliability of this critical benchmark. Verena Ross, ESMA Chair, said: โThe ad...
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Bank
Sharon Donnery: Trust is the infrastructure: banking supervision in a changing risk landscape
No description available.
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Bank
Notification letter for the marketing of units or shares of EU AIFs/ELTIFs in Member States and/or home Member State of the AIFM (Article 31(2)/32(2) of Directive 2011/61/EU (AIFMD) and Article 31 of Regulation (EU) 2015/760 on ELTIFs) (Updated)
Version 1.4
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Asset ManagerHedge Fund
11 Jun 2026 Read more
11 Jun 2026 Read more
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Revised Framework for Single Family Offices to take effect on 15 June 2026
Singapore, 12 June 2026โฆ The Monetary Authority of Singapore (MAS) announced that the revised framework for Single Family Offices (SFOs) will take effect on 15 June 2026. The revised framework provides a simple, streamlined process for SFOs to establish operations in Singapore, whilst enhancing overall monitoring of SFOs.
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Family Office
International,Signing of Memorandum of Cooperation between the Financial Services Agency of Japan and the National Securities and Stock Market Commission of Ukraine
No description available.
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Washington Reporter Op-Ed | The CFTC is Modernizing Rule 40.11, Thereby Furthering Americaโs Leadership in Responsible Financial Innovation
No description available.
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Broker DealerCrypto ExchangeFintech
Banks,Overview of major banksโ financial results as of March 31, 2026
No description available.
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Bank
Banks,Overview of the Japanese regional banksโ financial results for the fiscal year ended March 31, 2026
No description available.
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Bank
Frank Elderson: Interview with Het Financieele Dagblad
No description available.
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BankAll Firms
Suspicious transaction and order reports (MiCAR STORs)
No description available.
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The AMF has decided to withdraw the authorisation of the asset management company Xerys Invest
Asset management The AMF has decided to withdraw the authorisation of the asset management company Xerys Invest
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Asset Manager
Claudia Buch: Interview with Les Echos
No description available.
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Bank
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of Finance and Minister of State for Financial Services (May 29, 2026)
No description available.
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BankAll Firms
Super stragglers dampen progress on death benefits delivery for grieving Australians
Super stragglers dampen progress on death benefits delivery for grieving Australians
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Blue Owl Strengthens Global Presence With Opening Of Abu Dhabi Office
Blue Owl Strengthens Global Presence With Opening Of Abu Dhabi Office
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Copper Me Expands Its Adgm Footprint After Receiving In Principle Approval From Fsra For Virtual Asset Custody And Investment Services
Copper Me Expands Its Adgm Footprint After Receiving In Principle Approval From Fsra For Virtual Asset Custody And Investment Services
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Crypto ExchangeBroker Dealer
Publication,FSA Weekly Review No.690 June 9, 2026
No description available.
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Issue 9 2026
No description available.
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FCA proposes changes to help more people access mortgages
First-time buyers, older borrowers and the self-employed could find it easier to get a mortgage, as the FCA sets out next steps to help reform the market. Its proposed mortgage rule changes would give lenders more flexibility to consider individual circumstances and develop products that better meet people's needs โ while maintaining strong consumer protections.They include:Reducing barriers for lenders to offer flexible repayments for people with variable income, like the self-employed, and ...
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BankFintech
Court finds south-west Sydney car dealership and former director engaged in unlicensed lending and charged unlawful fees
Court finds south-west Sydney car dealership and former director engaged in unlicensed lending and charged unlawful fees
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Fintech
ASIC permanently bans former responsible manager Gerard Duffy from providing financial services
ASIC permanently bans former responsible manager Gerard Duffy from providing financial services
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Wealth Manager
eDesk โ Potential disruptions expected on Wednesday, 10 June 2026
No description available.
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Marketing of non-EU AIFs managed by AIFMs established in an EU Member State to professional investors in Luxembourg (Article 37 of the AIFM Law) (Updated)
Version 3.1
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Asset ManagerHedge Fund
Marketing of AIFs managed by a non-EU AIFM to professional investors in Luxembourg (Article 45 of the AIFM Law) (Updated)
Version 3.1
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Asset ManagerHedge Fund
CFTC Establishes Joint Data Standards as Required Under the Financial Data Transparency Act of 2022
No description available.
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Update: Identification of obliged entities that will be eligible for direct supervision by the European Authority for anti-money laundering and countering the financing of terrorism (AMLA)
Further details concerning the AMLA webinar of 10 June 2026 from 10 am to 12 pm CEST
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FCA secures confiscation order against Ponzi scheme fraudster
The FCA has secured a confiscation order of ยฃ452,286.80 against convicted fraudster Daniel Pugh. Mr Pugh, 36, is serving a 7 years and 6 months prison sentence for defrauding investors out of ยฃ1.3m.Run from his bedroom in Devon, Pugh used Facebook adverts to target investors and promised them wholly unrealistic returns, claiming these would be generated by trading across various markets.Only 19% of the funds collected from investors were traded and the scheme was, in effect, a Ponzi scheme, w...
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Special edition of the AMF Barometer: while artificial intelligence is still not widely used in investment practices, it is winning over more young investors
Long term investment Shares Artificial intelligence Retail investors Journalists Special edition of the AMF Barometer: while artificial intelligence is still not widely used in investment practices, it is winning over more young investors
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Asset ManagerWealth ManagerAll Firms
Palmer Leisure Coolum Pty Ltd pleads guilty to takeover law breaches
Palmer Leisure Coolum Pty Ltd pleads guilty to takeover law breaches
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Issue 8 2026
No description available.
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Asset ManagerAll Firms
Consumers warned about misleading car finance 'money tips' claims ads
Consumers are being warned to be wary of misleading car finance 'money tips' adverts issued by claims management companies (CMCs) and law firms on social media. As part of the joint regulatory taskforce, the FCA has identified a growing number of adverts that appear to offer independent advice from an individual but are in fact paid promotions from CMCs and law firms encouraging people to sign up for motor finance claims.Consumers should be aware that some adverts:Pose as impartial advice fro...
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FintechAll Firms
Corrigendum to Council Implementing Regulation (EU) 2026/1055 of 11 May 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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FCA imposes requirements on Euro Exchange Securities UK Limited and interim managers appointed by the Court
On 4 June 2026, the FCA required Euro Exchange Securities UK Limited (EES) to cease carrying out any regulated electronic money or payment services and, on the FCAโs application, interim managers were appointed by the Court over EES. Serious concerns around the way EES operated its business indicated there were significant risks of financial crime. This includes systemic weaknesses in the firmโs financial crime framework and safeguarding arrangements, alongside its ownership and governance. T...
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Payment Provider
$name
No description available.
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Solvenza Limited in administration
On 28 April 2026, Solvenza Limited (Solvenza) entered administration. Louise Longley and Julian Pitts of BTG Begbies Traynor (Central) LLP (Begbies) were appointed joint administrators. Solvenza (Firm Reference Number: 718517) is regulated by the FCA, authorised to carry out debt purchasing and debt collection activities, which provide debt resolution solutions to consumers.The joint administrators are responsible for managing the affairs of Solvenza during the administration process.Debt Col...
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Fintech
Silicon Marketing Limited in administration
On 21 May 2026, Silicon Marketing Limited (Silicon) entered administration. Carrie James and Nick Parsk of Oury Clark were appointed as joint administrators. Silicon (Firm Reference Number: 674008) is regulated by the FCA, authorised to carry out debt purchasing and debt collection activities, which provide debt resolution solutions to consumers. The joint administrators are responsible for managing the affairs of Silicon during the administration process.The joint administrators have advised...
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Fintech
The Central Bankโs 2025 Annual Report & Annual Performance Statement
In his latest blog, Governor Gabriel Makhlouf writes about the release of the latest Annual Report and Annual Performance Statement. He uses his blog to reflect how the Central Bank delivered on its mandate for the people of Ireland and gives an overview of the economic outlook, summarises achievements and provides an update on the financial position at the end of last year.
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Simpler climate reporting rules could save firms ยฃ20m annually
Investment firms could save around ยฃ20m a year under new proposals from the FCA to simplify climate reporting for investment products. The FCA estimates it could deliver these savings by replacing detailed product-level reports based on the Task Force on Climate-related Financial Disclosures (TCFD) with simpler, more targeted information for retail investors, in line with the Consumer Duty.The changes aim to give investors clearer insight into how climate risks โ such as floods, storms and ot...
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Asset Manager
SFC expands listed fund universe to leveraged and inverse products referencing Hong Kong-listed single stocks with enhanced safeguards
No description available.
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Asset ManagerBroker Dealer
Bank of England and Financial Conduct Authority โ Memorandum of Understanding on the supervision of Financial Market Infrastructure
Joint statement from the Bank of England and Financial Conduct Authority
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Broker DealerPayment Provider
Adgms Fsra Issues Notice Regarding Unauthorised Domains Misusing Sarwas Name
Adgms Fsra Issues Notice Regarding Unauthorised Domains Misusing Sarwas Name
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Wealth ManagerAll Firms
ASIC cancels the registered agent status of Registration Pty Ltd and Biz Australia Pty Ltd
ASIC cancels the registered agent status of Registration Pty Ltd and Biz Australia Pty Ltd
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Anneli Tuominen: Navigating risk, cutting complexity: financial conglomerates in the current environment
No description available.
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BankInsuranceAll Firms
SEC Announces New Members of Small Business Capital Formation Advisory Committee
The Securities and Exchange Commission today announced five new members of the Small Business Capital Formation Advisory Committee. The new members were appointed to four-year terms and will join the 15 current โฆ
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Mbrif Partners With Numou To Expand Financing Pathways For Innovation Led Businesses In The Uae
Mbrif Partners With Numou To Expand Financing Pathways For Innovation Led Businesses In The Uae
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FintechBank
Cyber resilience: the AMF calls on financial market participants to strengthen their cybersecurity arrangements in response to rapidly evolving threats associated with artificial intelligence
Innovation Crypto-assets Artificial intelligence Cyber resilience: the AMF calls on financial market participants to strengthen their cybersecurity arrangements in response to rapidly evolving threats associated with artificial intelligence
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Asset ManagerCrypto ExchangeBroker Dealer
Investment fund managers
Situation as of 31 March 2026
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Asset Manager
Global situation of undertakings for collective investment at the end of April 2026
Press release 26/11
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Asset ManagerWealth Manager
FCA launches investigation into second motor finance claims management company
The FCA has opened an enforcement investigation into Consultation Claims Limited (CCL) following concerns about its conduct in the period April 2025 to December 2025 in relation to motor finance claims. The FCA is investigating concerns that consumers may have been signed up during the period April 2025 to December 2025 without their consent, with some allegations that signatures have been forged. The FCA is investigating the full customer journey, including how customers were contacted, what...
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Fintech
Minutes of the Synchronisation thematic engagement working group - 30 April 2026
The latest meeting of the Synchronisation thematic engagement working group
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BankPayment ProviderFintech
ASIC disqualifies NSW director Genna Raber for 5 years
ASIC disqualifies NSW director Genna Raber for 5 years
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Fashion and beauty retailers trading under the Zara, H&M and Sephora brands pay $596,000 in infringement notices for failing to lodge financial reports on time
Fashion and beauty retailers trading under the Zara, H&M and Sephora brands pay $596,000 in infringement notices for failing to lodge financial reports on time
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FINMA publishes supplementary guidance on money laundering risk analysis
The Swiss Financial Market Supervisory Authority FINMA has once again reviewed numerous money laundering risk analyses and is supplementing Guidance 05/2023 with further observations and insights for both banks and FinIA institutions. In doing so, it recognised the progress made, but also identified further room for improvement.
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BankFintech
Aandacht voor cliรซntenonderzoek bij de omgang met politiek prominente personen
Met een aantal aandachtspunten wil de Autoriteit Financiรซle Markten (AFM) financiรซle ondernemingen wijzen op de omgang met cliรซntenonderzoek bij politiek prominente personen, politically exposed persons (PEPs). Uit een AFM-onderzoek blijkt dat ondernemingen bijvoorbeeld niet altijd maatwerk verrichten, terwijl elke PEP anders is en andere risicoโs kent.
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BankAsset ManagerBroker Dealer
The AMF publishes its 2025 Annual Report
Annual report Institutional Other professionals Executive & other private individuals Retail investors Fintech Journalists Investment services providers Investment management companies Listed companies and issuers ...
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Opening remarks to the Standing Senate Committee on Banking, Commerce and the Economy (BANC) โ June 4, 2026
Opening remarks to the Standing Senate Committee on Banking, Commerce and the Economy (BANC) โ June 4, 2026
Sectors:
Topics:
BankAll Firms
CFTC Staff Issues No-Action Position Related to Designated Contract Market Procedures
No description available.
Sectors:
Topics:
Crypto ExchangeBroker Dealer
FINMA concludes proceedings against Wendelspiess Partners AG and imposes long-term industry bans
The Swiss Financial Market Supervisory Authority FINMA has concluded enforcement proceedings against Wendelspiess Partners AG in liquidation and two individuals for serious breaches of the rules of conduct governing the provision of financial services. It has imposed long-term industry bans on two responsible individuals.
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Topics:
Wealth ManagerAsset Manager
Football clubs warned about questionable sponsorship deals with unauthorised financial firms
Football clubs have been warned not to put their fansโ cash at risk by signing sponsorship deals with financial firms that aren't allowed to operate in the UK. According to the FCA, a number of unauthorised firms, including crypto businesses and trading platforms, are using sponsorship to target unwitting football fans.These unauthorised firms may be breaching UK financial services laws by providing financial services in the UK without authorisation. Fans using these firms risk losing all the...
Sectors:
Topics:
Crypto ExchangeFintechPayment Provider
Frank Elderson: Strengthening operational resilience for the age of AI
No description available.
Sectors:
Topics:
Bank
FINMA publishes Guidance on the risks associated with the use of products in individual portfolio management
In its new Guidance, the Swiss Financial Market Supervisory Authority FINMA explains the risk patterns it is increasingly observing in relation to the use of products in individual portfolio management in the context of escalation cases. The Guidance recalls the rules that institutions must follow when products are used in individual portfolio management.
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Topics:
Wealth ManagerAsset Manager
Joint ABS-MAS Response to Letter "What PayNowโs alias removal really signals" - The Straits Times, 28 May 2026
ABS and MAS' joint response to the ST Commentary reiterates that the sole objective of the removal of PayNow nicknames is to address impersonation scams โ a known modus operandi where scammers misuse nicknames to pose as trusted individuals or entities. Contrary to what Dr Rabetti suggested, it is not to support compliance and enforcement or to compromise privacy. The removal of nicknames is part of a broader set of anti-scam measures, including the setting of transaction limits, cooling-off per
Sectors:
Topics:
BankPayment Provider
User Guide for remuneration reporting (Updated)
Version 1.5
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All Firms
Domestic Stability Buffer analyst briefing - June 2026
Domestic Stability Buffer analyst briefing - June 2026
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Bank
Armin Peter appointed new Managing Director, Markets to strengthen the DFSAโsโฆ
Armin Peter appointed new Managing Director, Markets to strengthen the DFSAโsโฆ
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All Firms
Economy Middle East Summit Attracts More Than 1500 Decision Makers From The Public And Private Sectors
Economy Middle East Summit Attracts More Than 1500 Decision Makers From The Public And Private Sectors
Sectors:
Topics:
All Firms
Press Conferences,Summary of the Joint Press Conference by Minister Katayama, Minister of Finance and Minister of State for Financial Services, and Governor Ueda of the Bank of Japan (May 19, 2026)
No description available.
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All Firms
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of Finance and Minister of State for Financial Services (May 22, 2026)
No description available.
Sectors:
Topics:
BankAll Firms
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of Finance and Minister of State for Financial Services (May 18, 2026)
No description available.
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All Firms
Publication,FSA Weekly Review No.689 June 2, 2026
No description available.
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Topics:
BankBroker DealerInsurance
NSW directors Adam Rana and Joseph Tarzia fined $10,000 each for failing to have director identification numbers
NSW directors Adam Rana and Joseph Tarzia fined $10,000 each for failing to have director identification numbers
Sectors:
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All Firms
IOSCO publishes Final report on Valuing Collective Investment Schemes (CIS)
No description available.
Sectors:
Topics:
Asset ManagerHedge Fund
SFC urges licensed firms to guard against emerging AI-enabled cyber threats
No description available.
Sectors:
Topics:
Broker DealerCrypto ExchangeAll Firms
CFTC Grants Five Whistleblower Awards Totaling Over $8M
No description available.
Sectors:
Topics:
Broker DealerAll Firms
Halo Financial Limited enters administration
On 29 May 2026, Halo Financial Limited (Halo) entered special administration. Louise Longley and Bai Cham of BTG Begbies Traynor (Central) LLP (Begbies) were appointed as joint special administrators. Halo is authorised by the FCA to provide payment services under the Payment Services Regulations 2017 (the PSRs). On 30 April 2026, Halo agreed to a voluntary undertaking, which restricted the activities it can carry out, including conducting payment services and accepting any additional funds. ...
Sectors:
Topics:
Payment Provider
SEC Announces Four New Members of Investor Advisory Committee
The Securities and Exchange Commission today announced four new members to fill vacancies on its Investor Advisory Committee. Three of the four new members will serve four-year terms, while the fourth new member will serve as theโฆ
Sectors:
Topics:
All Firms
Identification of obliged entities that will be eligible for direct supervision by the European Authority for anti-money laundering and countering the financing of terrorism (AMLA)
Preparation of the new data collection exercice for the purpose of the direct supervision by AMLA โ AMLA webinar of 10 June 2026 from 10 am โ 12 pm CEST
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Topics:
All Firms
CFTC Chairman Selig Announces Dr. Patrick J. Schorno as Chief Economist
No description available.
Sectors:
Topics:
All Firms
Bitexen Mena And Bitexen Custody Obtained Financial Services Permissions From The Fsra Of Adgm
Bitexen Mena And Bitexen Custody Obtained Financial Services Permissions From The Fsra Of Adgm
Sectors:
Topics:
Crypto ExchangeFintech
CDPP discontinues insider trading charges against Big Un former CFO Andrew Corner following hung jury
CDPP discontinues insider trading charges against Big Un former CFO Andrew Corner following hung jury
Sectors:
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All Firms
PRA Regulatory Digest โ May 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:
BankInsuranceAll Firms
Home member State (Updated)
Standard form for the notification of Home Member State
Sectors:
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All Firms
Benchmark Regulation questionnaire (Updated)
No description available.
Sectors:
Topics:
All Firms
Court approves distribution of money recovered from Argento Wealth
In its 19 May 2026 judgment, the High Court approved pro rata distribution to eligible investors of money recovered by the FCA from Argento Wealth Limited (AWL). Eligible investors must act by 1 August 2026. You can receive a share of the money recovered if you:Invested in the AWL Loan Scheme; orInvested in the EMB Scheme and if your investment was arranged by AWL or its sub-distributors.We will make payments to eligible investors, as defined in the court judgment, who provide their bank acco...
Deadline: 1 August 2026
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Topics:
Wealth ManagerAsset Manager
Publication,FSA publishes English translation of monthly magazine, Access FSA No.270
No description available.
Sectors:
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All Firms
CoinDesk Op-Ed | What American Crypto Asset Perpetuals Mean for the Future of Crypto
No description available.
Sectors:
Topics:
Crypto ExchangeBroker Dealer
Commission Staff Confirms the Categorization of Certain Crypto Asset Perpetuals as Foreign Futures and Issues No-Action Letter Regarding FCM Transfers of Customer Crypto Assets to Foreign Brokers as Margin
No description available.
Sectors:
Topics:
Broker DealerCrypto Exchange
CFTC Approves BTCPERP Contract Submitted by KalshiEX, LLC
No description available.
Sectors:
Topics:
Crypto Exchange
CFTC Staff Issues Advisory on 24/7 Trading, Clearing, and Settlement
No description available.
Sectors:
Topics:
Broker DealerCrypto Exchange
Firms have improved but must do more to prevent sanctions breaches
Financial firms have made progress in preventing sanctions breaches โ with ยฃ37bn worth of assets frozen in the UK as of last year โ but gaps remain, warns the FCA. The Office of Financial Sanctions Implementation (OFSI) and the Office of Trade Sanctions Implementation (OTSI) implement financial and trade sanctions. The FCA supports them through its role supervising firms within the financial services sector. This includes checking they have adequate sanctions systems and controls.Since Februa...
Sectors:
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All Firms
Sukate & Bezeboh Ltd enters administration
On 22 May 2026, Sukate & Bezeboh Ltd (SB Remit) entered administration. Charles Turner and Frank Ofonagoro were appointed as joint administrators. SB Remit is a small payment institution authorised by the FCA to provide payment services.On 13 May 2026, SB Remit agreed to a voluntary undertaking, which restricted the activities it could undertake. These measures included restrictions preventing the firm from accepting new customer funds.On 22 May 2026, Charles Turner and Frank Ofonagoro of Opu...
Sectors:
Topics:
Payment Provider
List of independent approved statutory auditors and approved audit firms having received less than 15% of the total audit fees from PIEs in Luxembourg in 2025
No description available.
Sectors:
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All Firms
CFTC Charges Google Employee with Insider Trading in Search Result-Related Event Contracts
No description available.
Sectors:
Topics:
Crypto Exchange
CFTC Joins Gemini Trust Company LLC in Motion for Relief from Judgment
No description available.
Sectors:
Topics:
Crypto Exchange
SEC Investor Advisory Committee to Host June 4 Meeting
The Securities and Exchange Commissionโs Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on June 4 at 10 a.m. ET to discuss private markets, passive index funds, and recommendations regarding fundโฆ
Sectors:
Topics:
Asset ManagerBroker Dealer
Review of financial promotion approvers finds some firms need to raise standards
Firms that approve financial promotions should be doing more to protect consumers, an FCA review has found. The FCA found that the strongest firms were applying the Consumer Duty from the start of their processes. They were able to make sure that every promotion approved was accurate, clear and reached the right audience.However, the FCA also found that some firms approved adverts with unsubstantiated claims or allowed retail investors to see promotions intended for professional clients. In s...
Sectors:
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All Firms
Vacancies open for FCA Smaller Business Practitioner Panel
Weโre inviting applications from senior practitioners at smaller regulated firms in the general insurance and consumer credit sectors to join the panel. The Smaller Business Practitioner Panel provides independent advice and challenge from the perspective of smaller firms, helping to shape our work at a time of significant change in UK financial services regulation.Its key remit is to provide input to the FCA from the industry to help us meet our strategic and operational objectives from a sm...
Sectors:
Topics:
InsuranceAll Firms
Federal Court orders Westpac to pay $26 million penalty for hardship failures
Federal Court orders Westpac to pay $26 million penalty for hardship failures
Sectors:
Topics:
Bank
AFM opnieuw in gelijk gesteld naar aanleiding van hoger beroep tuchtzaak tegen externe accountant
De Autoriteit Financiรซle Markten (AFM) diende in 2020 een tuchtklacht in tegen een externe accountant van een accountantsorganisatie met een reguliere vergunning, vanwege het in het maatschappelijk verkeer brengen van twee controleverklaringen waarop niet vertrouwd kon worden. Deze klacht werd eerder al grotendeels gegrond verklaard door de Accountantskamer. Dat blijft overeind. Het hoger beroep dat de accountant vervolgens instelde bij het College van Beroep voor het bedrijfsleven (CBb) is n...
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All Firms
Publication,FSA Weekly Review No.688 May 26, 2026
No description available.
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All Firms
Basic statistical data on UCIs โ April 2026 (only in French)
No description available.
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Topics:
Asset Manager
Elske Heringa: โBehoefte aan andere vaardigheden pensioenfondsbestuurdersโ
Waarover maken pensioenspecialisten zich concreet druk in de pensioentransitie? En welke tip hebben ze voor de AFM? In deze interviewserie stellen we drie vaste vragen aan een pensioenprominent. Vandaag Elske Heringa, onder andere vicevoorzitter van Bedrijfstakpensioenfonds Levensmiddelen: De overgang naar het nieuwe stelsel is een mooi moment om te kijken naar meer diversiteit en inclusie in pensioenfondsbesturen.โ
Sectors:
Topics:
Insurance
Partnerpensioen zelden maximaal bij verzekerde regelingen in nieuwe stelsel
Het partnerpensioen is in het nieuwe stelsel standaard op risicobasis geregeld. Bij slechts een klein gedeelte van de actieve deelnemers die in 2024 overgingen naar het nieuwe stelsel, blijkt de dekking van het partnerpensioen dicht bij het maximum van 50 procent van het pensioengevend salaris, blijkt uit โSector in beeld pensioenen 2026โ. Goed nieuws is dat het aandeel deelnemers met partnerpensioendekking in premieregelingen toeneemt.
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InsuranceAll Firms
โSector in beeld 2026โ: grijze vlek blijft aandachtspunt in nieuwe stelsel
Van de eerste groep actieve deelnemers die overging naar het nieuwe pensioenstelsel (allemaal bij verzekeraars en ppiโs) blijkt een substantieel deel beperkt pensioen op te bouwen. Dat is een van de bevindingen in โSector in beeld pensioenen 2026โ, dat we vorige week publiceerden.
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Topics:
InsuranceAll Firms
AFM-pensioenpodcast #7: zorgen om de โgrijze vlekโ
Aflevering 7 van de AFM-pensioenpodcast Toezicht aan tafel staat in het teken van onze publicatie โSector in beeld pensioenen 2026โ.
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Insurance
FPR: begeleid deelnemers goed bij keuze voor vast of variabel
Voor gepensioneerden van wie het pensioenfonds invaart in de Flexibele Premieregeling (FPR) kan de keuze voor een variabele of vaste uitkering ingewikkeld zijn. En eventueel zelf een aanbieder zoeken voor een vaste uitkering eveneens. Het is belangrijk dat hun pensioenuitvoerder hen goed begeleidt bij de keuze voor vast of variabel.
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Insurance
FCA to hold Annual Public Meeting in Edinburgh
Weโre pleased to announce that our Annual Public Meeting (APM) will be held in Edinburgh for the first time on 6 October 2026, marking an important milestone for us a UK-wide regulator. The announcement coincides with a visit to Edinburgh on 26 May by our chair Ashley Alder, who was there to open a new office space, demonstrating our commitment to growing our presence in Scotland, and expanding our workforce of more than 350 colleagues.Edinburgh continues to strengthen its position in global ...
Sectors:
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All Firms
ASIC cancels AFS licence of Global Pacific Solutions Group Pty Ltd
ASIC cancels AFS licence of Global Pacific Solutions Group Pty Ltd
Sectors:
Topics:
Wealth Manager
Issue 7 2026
No description available.
Sectors:
Topics:
Asset ManagerBankBroker Dealer
Financial stability under further pressure due to Iran war
The escalation of the Middle East conflict leaves the global economy in a clearly worse state than previously expected. Higher inflation expectations, lower growth and heightened uncertainty are also affecting the financial sector, according to the annual Financial Stability Report from the Dutch Authority for the Financial Markets (AFM). Financial market volatility has increased, with prices being driven more by short-term sentiment. This means greater valuation, liquidity and operational ri...
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All Firms
Report on the CSSFโs 2025 thematic inspection: โThe risk of fraud in revenue recognition in the context of an audit of financial statementsโ
No description available.
Sectors:
Topics:
All Firms
The risk of fraud in revenue recognition in the context of an audit of financial statements
No description available.
Sectors:
Topics:
All Firms
SFC bans Nerico Brothers Limitedโs former responsible officer, manager-in-charge and director Paul Wan Kai Leung for life
No description available.
Sectors:
Topics:
Broker DealerAsset Manager
Council Regulation (EU) 2026/1164 of 22 May 2026
amending Regulation (EU) 2023/1529 concerning restrictive measures in view of Iranโs military support to Russiaโs war of aggression against Ukraine and to armed groups and entities in the Middle East and the Red Sea region as well as Iranโs actions undermining freedom of navigation in the Middle East
Sectors:
Topics:
All Firms
BOSS.BSS L.L.C.: grounds to suspect shares of Hartmann & Benz Inc being offered to the public without the required securities prospectus
The Federal Financial Supervisory Authority (Bafin) has sufficient grounds to suspect that BOSS.BSS L.L.C. based in Prishtina, Republic of Kosovo, is offering securities in the form of shares of Hartmann & Benz Inc 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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Broker DealerAll Firms
Net assets of UCIs
Situation as at 30 April 2026
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Asset Manager
Breakdown according to currency
Situation as at 30 April 2026
Sectors:
Topics:
Asset Manager
Origin of UCI initiators in Luxembourg
Situation as at 30 April 2026
Sectors:
Topics:
Asset Manager
Number of UCIs
Situation as at 30 April 2026
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All Firms
Investment policy of UCIs
Situation as at 30 April 2026
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Topics:
Asset Manager
ASIC cancels AFS licence of Eden Asset Management Pty Ltd
ASIC cancels AFS licence of Eden Asset Management Pty Ltd
Sectors:
Topics:
Asset Manager
Consumer Price Developments in April 2026
This April 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:
All Firms
Opening Remarks by Mr Chia Der Jiun, Managing Director, Monetary Authority of Singapore at the UBS Asian Investment Conference, Singapore Wealth Edition, on 25 May 2026
At the UBS Investment Conference, Singapore Wealth Edition, Mr Chia Der Jiun, Managing Director of the Monetary Authority of Singapore, share his perspectives on navigating the latest macro-economic outlook amid an evolving geopolitical landscape.
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Topics:
BankWealth ManagerAsset Manager
Peter Routledge participates in a fireside chat at CCUA Regulatory Virtual Forum
Peter Routledge participates in a fireside chat at CCUA Regulatory Virtual Forum
Sectors:
Topics:
BankAll Firms
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) und Al-Kaida
Das Staatssekretariat fรผr Wirtschaft (SECO) hat eine รnderung der Liste der sanktionierten natรผrlichen Personen, Unternehmen und Organisationen der Verordnung vom 21. Mรคrz 2025 รผber Massnahmen gegenรผber 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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All Firms
Fund manager Rodney Forrest re-sentenced to five years and three monthsโ jail following insider trading appeal
Fund manager Rodney Forrest re-sentenced to five years and three monthsโ jail following insider trading appeal
Sectors:
Topics:
Asset Manager
Simon Brรถnnimann to assume leadership of FINMAโs Recovery and Resolution division
The Board of Directors of the Swiss Financial Market Supervisory Authority FINMA has appointed Simon Brรถnnimann as Head of the Recovery and Resolution division and as a member of the Executive Board. He will assume leadership of the division, which he has been leading on an interim basis since April 2026, on a permanent basis from 1 June 2026.
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Topics:
Bank
Questionnaire for the approval of a new sub-fund (Updated)
No description available.
Sectors:
Topics:
Asset Manager
Welcome Remarks by Mr Edward S. Robinson, Deputy Managing Director (Economic Policy) & Chief Economist, Monetary Authority of Singapore, and Member of the ABFER Council at the 13th Asian Monetary Policy Forum on 22 May 2026
At the 13th Asian Monetary Policy Forum, Mr Edward S. Robinson, Deputy Managing Director (Economic Policy) & Chief Economist, MAS, opened the Forum and outlined how policymakers are facing large interconnected shocks from tariffs, geopolitics, energy, and technological change. Central banks must protect their credibility through technical competence and impartiality in this challenging environment.
Sectors:
Topics:
All Firms
Adgm Welcomes 4000 Participants To Its Third Virtual Career Fair Strengthening Abu Dhabis Global Talent Pipeline
Adgm Welcomes 4000 Participants To Its Third Virtual Career Fair Strengthening Abu Dhabis Global Talent Pipeline
Sectors:
Topics:
BankBroker DealerWealth Manager
Frank Elderson: A central bankerโs perspective on climate change and nature degradation
No description available.
Sectors:
Topics:
BankInsuranceAsset Manager
CFTC and National Hockey League Sign MOU Related to Integrity in Professional Hockey
No description available.
Sectors:
Topics:
Broker DealerAll Firms
The AMF complies with ESMAโs guidelines on updating the stress scenario parameters provided for in Article 28 of the Money Market Funds Regulation for 2026
MMF Asset management The AMF complies with ESMAโs guidelines on updating the stress scenario parameters provided for in Article 28 of the Money Market Funds Regulation for 2026
Sectors:
Topics:
Asset Manager
CSSF Newsletter No 304 โ May 2026
No description available.
Sectors:
Topics:
All Firms
SEC and NFA Announce Memorandum of Understanding to Further Harmonize Regulatory Coordination
The Securities and Exchange Commission (SEC) and National Futures Association (NFA) today announced that they have entered into a Memorandum of Understanding (MOU) to enhance their cooperation, coordination, and information sharing in areas of commonโฆ
Sectors:
Topics:
All Firms
Ontwikkelingen in de pensioensector - Sector in beeld pensioenen 2026
Vooral jongeren blijven achter bij het maken van beleggingskeuzes. Terwijl zij juist nog een lange beleggingshorizon hebben. Dat schrijft de Autoriteit Financiรซle Markten (AFM) in haar rapport โSector in beeld pensioenen 2026โ, gebaseerd op data van pensioenuitvoerders over 2024. Dit jaar bevat het rapport ook inzichten uit de klachtenrapportage die pensioenfondsen en premiepensioeninstellingen (PPIโs) indienen.
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Topics:
InsuranceAll Firms
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of Finance and Minister of State for Financial Services (May 12, 2026)
No description available.
Sectors:
Topics:
BankAll Firms
Adgms Fsra And Hellenic Capital Market Commission Sign Mou To Strengthen Cross Border Regulatory Cooperation
Adgms Fsra And Hellenic Capital Market Commission Sign Mou To Strengthen Cross Border Regulatory Cooperation
Sectors:
Topics:
All Firms
Cantor Receives Adgm Approval
Cantor Receives Adgm Approval
Sectors:
Topics:
Broker DealerBank
Adgm Fsra Finalises Enhancements To Its Anti Money Laundering Framework
Adgm Fsra Finalises Enhancements To Its Anti Money Laundering Framework
Sectors:
Topics:
All Firms
ASIC sues Equity Trustees alleging First Guardian onboarding failures
ASIC sues Equity Trustees alleging First Guardian onboarding failures
Sectors:
Topics:
Asset ManagerWealth Manager
Australia well-placed to unlock opportunities from innovation in the financial system
Australia well-placed to unlock opportunities from innovation in the financial system
Sectors:
Topics:
FintechPayment ProviderAll Firms
ASIC appeals Federal Court decision dismissing case against Nuix
ASIC appeals Federal Court decision dismissing case against Nuix
Sectors:
Topics:
All Firms
The AMF unveils its 2026-2028 financial education plan to boost womenโs investment
Collective investments Marketing Financial products Retail investors Journalists The AMF unveils its 2026-2028 financial education plan to boost womenโs investment
Sectors:
Topics:
Asset ManagerBroker DealerAll Firms
Execution-only-beleggen: automatisch herbalanceren en risicoafbouw
Een gelijk speelveld, meer duidelijkheid voor marktpartijen, ruimte voor verantwoorde innovatie en een zorgvuldige bescherming van beleggers. Vanuit die visie wil de AFM zorgen voor meer duidelijkheid over beleggingsconcepten, waaronder automatisch herbalanceren en risicoafbouw binnen execution-only. De markt vroeg meer duidelijkheid; die willen we geven met een doorontwikkeling van dit thema in de Leidraad kwalificatie innovatieve dienstverlening.
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
13th Asian Monetary Policy Forum to Discuss Challenges Facing the Global Economy and the International Monetary System
Singapore, 21 May 2026โฆ The 13th Asian Monetary Policy Forum (AMPF), organised by the Asian Bureau of Finance and Economics Research (ABFER), the National University of Singapore (NUS) Business School, and the Monetary Authority of Singapore (MAS), will take place in Singapore today and tomorrow. The AMPF brings together leading academics and policymakers to examine key economic and financial issues in Asia and the world.
Sectors:
Topics:
All Firms
OSFIโs Quarterly Release: strengthening resilience while reducing complexity
OSFIโs Quarterly Release: strengthening resilience while reducing complexity
Sectors:
Topics:
Bank
Remarks for OSFIโs Quarterly Release Day
Remarks for OSFIโs Quarterly Release Day
Sectors:
Topics:
Bank
ESMA publishes shortlist of candidates for position of Chair
ESMA publishes shortlist of candidates for position of Chair 20 May 2026 About ESMA Board of Supervisors Press Releases The European Securities and Markets Authority (ESMA), the EUโs financial markets regulator and supervisor, has published the shortlist of candidates for the position of Chair, which it has sent to the Council of the European Union (Council) and the European Parliament (Parliament). The Council will appoint the Chair following confirmation by the Parliament. The Board of Supe...
Sectors:
Topics:
All Firms
Waarschuwing voor oplichting door misbruik telefoonnummer van de AFM
De Autoriteit Financiรซle Markten (AFM) waarschuwt voor telefoontjes van mogelijke oplichters die uit naam van de AFM bellen en zo proberen u gevoelige informatie te laten delen.
Sectors:
Topics:
All Firms
FCA opens doors to support fast-growing financial firms
Fastโgrowing and innovative financial services businesses can now apply for more support to help them grow. The FCAโs Scale-up Unit provides tailored support to firms, helping them navigate regulation so they can scale sustainably. The unit is now open to solo-regulated firms to apply.The unit offers a dedicated point of contact and practical support to help navigate regulatory processes, develop innovative products and understand the impact of policy changes.Jessica Rusu, FCA chief data, inf...
Sectors:
Topics:
FintechAll Firms
Young drivers warned about fake insurance sold on social media
Half (49%) of young drivers have bought insurance through social media or messaging apps, new research reveals. With 4 in 10 (39%) unconfident in spotting the signs of a fake policy, thousands could be paying for cover that doesnโt exist. The FCA is warning 17-to 25-year-old drivers about 'ghost broking' scams where criminals sell bogus insurance policies through social media and messaging platforms.Ghost brokers pose as legitimate insurance sellers but offer cheap rates. The policies they se...
Sectors:
Topics:
Insurance
FINMA publishes new ordinance on risk diversification for banks and securities firms
The Swiss Financial Market Supervisory Authority FINMA is incorporating two existing circulars on risk diversification at banks and securities firms into a new ordinance. In doing so it is fulfilling the requirement for the format compliance of regulation in accordance with Article 7 paragraph 1 of the Financial Market Supervision Act.
Sectors:
Topics:
BankBroker Dealer
Oproep om twee T+1-gereedheidsenquรชtes in te vullen
Vanaf 11 oktober 2027 verkort de afwikkelingscyclus voor effectentransacties van T+2 naar T+1. Dit vraagt om aanpassingen in systemen en processen in de hele kapitaalmarktketen. Om de voortgang te monitoren, roept de Autoriteit Financiรซle Markten (AFM) marktpartijen op om twee T+1-gereedheidsenquรชtes in te vullen. Het invullen van beide enquรชtes kan uiterlijk tot 9 juni 2026. De uitkomsten geven inzicht in de voorbereiding van de sector en maken duidelijk waar extra aandacht nodig is voor T+1.
Sectors:
Topics:
Broker DealerAsset ManagerBank
MAS Revokes the Major Payment Institution Licence of Bsquared Technology Pte Ltd
MAS has revoked the Major Payment Institution Licence of Bsquared Technology Pte Ltd (BSQ) with effect from 14 May 2026. BSQ is no longer permitted to provide digital payment token services in Singapore under the Payment Services Act 2019 (PS Act) from the same date.
Sectors:
Topics:
Payment ProviderFintech
OSFIโs second Quarterly Release Day of 2026 โ Technical Briefing
OSFIโs second Quarterly Release Day of 2026 โ Technical Briefing
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Bank
Two Individuals Convicted for Offences under the Securities and Futures Act
Singapore, 20 May 2026 โฆ In two separate cases, Mr Tan Chun Yong (Mr Tan) and Mr Xie Jianfeng (Mr Xie) were convicted and sentenced on 19 May 2026 to 10 weeksโ imprisonment , and to a fine of $200,000 respectively, for trading offences under the Securities and Futures Act (SFA).
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Broker DealerAsset Manager
Press Conferences,Joint Press Conference of the ASEAN+3 Co-Chairs (May ๏ผ, 2026)
No description available.
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BankAll Firms
Bafin warns consumers about services offered by Elementum Ventures
The Federal Financial Supervisory Authority (Bafin) warns consumers about the company Elementum Ventures and the services it is offering. Bafin suspects the unknown operators, who claim to be based in New York, United States, of offering consumers financial, investment and cryptoasset services without the required authorisation. Elementum Ventures is currently offering its services via the websites elementumventures(.)ai and elementumventures(.)com.
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FintechCrypto Exchange
CFTC Sues Minnesota to Block State Law
No description available.
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Broker DealerAll Firms
Claudia Buch: The bank-sovereign nexus: securing progress by completing the banking union
No description available.
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Bank
Bafin warns consumers about the website bitcoinera(.)com
The Federal Financial Supervisory Authority (Bafin) warns consumers about the services offered on the website bitcoinera.com. Bafin has information that this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
Crypto ExchangeFintech
Is the claims management market working?
When consumers are wronged, many rightly seek fair compensation. Some complain directly, without paying a penny using free Ombudsman services. Others turn to claims management companies (CMCs) or law firms.They can provide a valuable service and support access to justice.However, weโve seen firsthand from the way some claims firms have handled car finance complaints that, all too often, they make a difficult situation worse.Poor practices include unwanted texts or emails sent to people who ne...
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SFC warns against fraudsters claiming access to Investor Compensation Fund
No description available.
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Broker DealerAll Firms
Publication,FSA Weekly Review No.687 May 19, 2026
No description available.
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All Firms
ASIC continues to ease regulatory burden
ASIC continues to ease regulatory burden
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Liquidity Management Tools: the AMF intends to comply with ESMAโs Guidelines
Asset management AIFMD UCIT Regulatory developments Liquidity Management Tools: the AMF intends to comply with ESMAโs Guidelines
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Asset ManagerHedge Fund
Adgm Strengthens Position As Measas Leading Ifc With 57 Percent Growth In Aum
Adgm Strengthens Position As Measas Leading Ifc With 57 Percent Growth In Aum
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Asset ManagerBroker DealerAll Firms
Patrick Montagner: Banking supervision, integration and competitiveness in Europe
No description available.
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Bank
CFTC Chairman Selig Announces DJ Hennes as Director of the Market Participants Division
No description available.
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All Firms
Beehivecapital(.)pro: Bafin warns consumers about website and identity fraud
The Federal Financial Supervisory Authority (Bafin) warns consumers about the services offered on the website beehivecapital(.)pro, previously beehivecapital(.)org. Bafin has information that this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
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Bafinย warns consumers about the website nordstate(.)org
The Federal Financial Supervisory Authority (Bafin) warns consumers about the services offered on the website nordstate(.)org. 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
Handelq(.)com and bulltrading24(.)com: Bafin warns against websites
The German Financial Supervisory Authority (Bafin) warns about the websites handelq(.)com and bulltrading24(.)com. It is suspected that the unknown operators are offering financial and crypto-asset services without the necessary authorisation. The websites advertise that investments in financial instruments such as cryptocurrencies are possible via the supposed trading platform.
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Topics:
Crypto ExchangeFintechAll Firms
ASIC sets financial reporting, audit and sustainability focus areas for FY 2026โ27
ASIC sets financial reporting, audit and sustainability focus areas for FY 2026โ27
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Asset ManagerBroker DealerAll Firms
Federal Court orders $33.5 million penalty against Snaffle operator for inflating prices and overcharging on credit contracts
Federal Court orders $33.5 million penalty against Snaffle operator for inflating prices and overcharging on credit contracts
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FintechPayment Provider
SFC welcomes appointment and re-appointment of Executive Directors
No description available.
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FCA and Bank of England set out shared vision forโฏtokenisation in UKโฏwholesale markets
The Financial Conduct Authority and the Bank of England set out a shared vision and seek industry views on the future of UK wholesale markets
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FCA and Bank of England set out shared vision for tokenisation in UK wholesale markets
UK financial firms can adopt tokenisation and distributed ledger technology (DLT) with greater confidence, as the Financial Conduct Authority (FCA) and the Bank of England set out a shared vision and seek industry views on the future of UK wholesale markets. Tokenisation is the process of creating a digital representation of a real-world asset โ such as a share, bond or unit of currency โ on a digital ledger. It has the potential to streamline wholesale markets, making everything from issuing...
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BankBroker DealerAsset Manager
Letter from David Bailey, Charlotte Gerken and Rebecca Jackson on reaffirming the PRA's position and clarifying expectations on innovations in the use of deposits, e-money and stablecoins
Letter to Chief Executive Officers of all banks and designated investment firms.
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BankPayment ProviderFintech
Letter from David Bailey, Charlotte Gerken and Rebecca Jackson on the prudential treatment of tokenised assets, stablecoins, and other cryptoasset exposures
Letter to Chief Executive Officers of all banks and designated investment firms.
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Topics:
BankCrypto ExchangeAll Firms
PRA announces ring-fence change to reduce costs
The Prudential Regulation Authority has today announced plans to consult on reforming rules around shared operational services for ring-fenced banks.
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Bank
The Bank, FCA and HM Treasury joint statement on Frontier AI models and cyber resilience
Statement from the Bank of England, Financial Conduct Authority and HM Treasury
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Bank
Central Bank announces appointment of new Director of Finance and Business Performance
The Central Bank has today (15 May 2025) announced the appointment of Glenn Calverley to the role of Director of Finance and Business Performance. Mr Calverley will take up his role with effect from 1 September 2026. Glenn brings a wealth of experience to this role, most recently as Director of Strategy & Governance, a role he has held since 2021. He joined the Central Bank in 2015, initially as Head of Organisational Risk and later as Head of Strategy & Foresight. Prior to joining the Centra...
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Wealth ManagerBank
European Commission report on the adequacy of the Money Market Funds Regulation from a prudential and economic point of view
No description available.
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All Firms
ASIC appeals $7 million penalty in Cigno Australia, BSF Solutions, and directorsโ case
ASIC appeals $7 million penalty in Cigno Australia, BSF Solutions, and directorsโ case
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Cross-Agency Steering Group welcomes first sector-based operational guide on transition finance
No description available.
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SSM Calendar Claude Wampach โ 02/2026
No description available.
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Vista Equity Partners Establishes Abu Dhabi Office
Vista Equity Partners Establishes Abu Dhabi Office
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Others,Working Group under the โPublicโPrivate Coordination Meeting on Strengthening Cybersecurity Measures in the Financial Sector Against AI-Related Threatsโ
No description available.
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All Firms
Slides from Huw Pillโs fireside chat at NatWest
Slides by Huw Pill
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Pedro Machado: Strengthening the supervisory grip on securitisation: reading the data, anticipating the risks
No description available.
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Supporting customers through challenging times
The conflict in the Middle East means cost of living pressures remain top of mind โ with people facing increased costs for utility bills, food and fuel. We want to remind you about our clear expectations on the support you should offer consumers in challenging times, through the Consumer Duty and our rules on protections for borrowers in difficulty.
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Adgm Publishes 2026 Update To Legal Persons And Arrangements Lpa Risk Assessment
Adgm Publishes 2026 Update To Legal Persons And Arrangements Lpa Risk Assessment
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CFTC Staff Issues No-Action Letter on Data Reporting for Event Contracts
No description available.
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Christophe Bonnet appointed Data and Surveillance Director at the Autoritรฉ des Marchรฉs Financiers
Appointment Institutional Christophe Bonnet appointed Data and Surveillance Director at the Autoritรฉ des Marchรฉs Financiers
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FCA announces new appointments to executive team
The FCA has announced 2 permanent appointments to its executive team, strengthening leadership at a pivotal time for UK and global financial markets. Simon Walls appointed executive director, marketsSimon Walls has been appointed permanent executive director, markets. Having taken on this role on a temporary basis since 2024, his appointment provides continuity at a vital and volatile time for the UK and global economy. Simon will be able to drive forward work he has already started to streng...
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FCA reviews whether investment firms are doing enough to support bereaved customers
The FCA is reviewing how consumer investment firms support bereaved customers and whether they're getting it right. Fewer than half of bereaved customers (47%) felt they received the support they needed from financial firms, according to research (PDF).What the FCA is looking atThe review will focus on firms that advise, manage, or administer investments - including platforms, advisers and wealth managers. The FCA will examine the experience customers have from the moment the firm is told abo...
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Wealth Manager
Claudia Buch: Interview with Perspektiven der Wirtschaftspolitik
No description available.
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Bafin warns consumers about the website gutekredit(.)com
The Federal Financial Supervisory Authority (Bafin) warns consumers about the company GUTEKREDIT and the services it is offering. Bafin suspects the unknown operators, who purportedly have their registered office in Ludwigsburg, Germany, of using the website gutekredit(.)com to offer loans to consumers and thus conduct banking business without the required authorisation.
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Topics:
BankFintech
Frank Elderson: โMarket fragmentation is banksโ real constraintโ
No description available.
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Topics:
Bank
satrex-kapital(.)com: Bafin warns about websites and points to identity fraud
The German Financial Supervisory Authority (Bafin) warns against the website satrex-kapital(.)com, which is operated under the name Satrex Kapital. The company, which claims to be based in Frankfurt am Main, offers instant access savings accounts and fixed-term deposits, as well as investment advice. Contrary to the information provided in the websiteโs legal notice and the contractual documents used, there is no connection whatsoever with Satrex S.A., Brussels, Belgium. This is a case of ide...
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BankFintechAll Firms
Ondernemingen hoeven geen aparte AMLA-uitvraag te verwachten
De Europese Anti-Witwasautoriteit (AMLA) heeft op 12 mei in een persbericht het definitieve eligibility reporting package gepubliceerd en kondigt aan dat zij extra data opvraagt via de nationale toezichthouders. Financiรซle ondernemingen onder Nederlands toezicht hoeven geen afzonderlijke rapportage volgens het AMLA-template aan te leveren. De vragen zijn geรฏntegreerd in bestaande vragenlijsten van de Autoriteit Financiรซle Markten (AFM).
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Asset ManagerBankCrypto Exchange
Adgm Participates In Milken 2026
Adgm Participates In Milken 2026
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SFC obtains two-year disqualification order against former financial controller and company secretary of Qunxing Paper Holdings Company Limited
No description available.
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smartlรถsung(.)com / skysafeinvest(.)com / crypto-extrade(.)com / kryvobit(.)site: Bafin warns against these websites
The German Financial Supervisory Authority (Bafin) warns against offers from smartlรถsung(.)com and the websites skysafeinvest(.)com, crypto-extrade(.)com and kryvobit(.)site. Consumers are being tricked by emails from the operators of the website smartlรถsung(.)com into creating supposed trading accounts on the websites mentioned and disclosing personal data. The emails claim that crypto assets are registered in the consumersโ names and that a withdrawal will be possible after verification. Th...
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Topics:
Crypto ExchangeFintechAll Firms
helixapp(.)de / helix-app(.)pro / coinberg(.)eu / coinberg(.)pro: Bafin warns against websites and calls attention to identity theft
The German Financial Supervisory Authority (Bafin) warns against the websites helixapp(.)de, helix-app(.)pro, coinberg(.)eu, coinberg(.)pro, which are operated under the name Helix-A and Coinberg. It is suspected that the unknown operators are offering financial and crypto-asset services without authorisation. Consumers are being misled into investing in financial instruments such as crypto-assets. Contrary to the operatorsโ claims, there is no connection whatsoever with Gesellschaft fรผr Kryp...
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Crypto ExchangeFintechAll Firms
CFTC Reaffirms Exclusive Jurisdiction Over Prediction Markets in Sixth Circuit Amicus Brief
No description available.
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All Firms
CFTC Approves Capital Comparability Determination and Order for Certain Nonbank Swap Dealers Domiciled in the European Union
No description available.
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Broker DealerBank
Others,Updated : Initiatives announced by financial groups to enhance their asset management businesses
No description available.
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All Firms
T+1 readiness: launch of a complementary survey to accompany the EUIC survey
No description available.
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All Firms
Publication of the Law of 5 May 2026 transposing Directive (EU) 2024/1619 (CRD VI) and Directive (EU) 2024/2994
No description available.
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All Firms
Publication,FSA Weekly Review No.686 May 12, 2026
No description available.
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All Firms
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (April 28, 2026)
No description available.
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All Firms
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (April 24, 2026)
No description available.
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All Firms
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (April 24, 2026)
No description available.
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All Firms
Frank Elderson: Boosting prosperity through deeper integration
No description available.
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FCA fines and bans Frank Breuer for serious misconduct in pension transfer advice
The FCA has banned Frank Breuer from working in UK financial services and fined him ยฃ755,000 for repeatedly acting without integrity and putting customers at risk for personal financial gain. Mr Breuer was the joint owner and sole director of Bluesky Wealth Management Limited (Bluesky), which provided advice on investments and pensions. Although authorised to advise on defined benefit (DB) pension transfers, the firm did not have the appropriate professional insurance in place from April 2019...
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Wealth ManagerCrypto ExchangeInsurance
Registration prohibition order against former UGC financial adviser Stephen Rogers increased to three years following review
Registration prohibition order against former UGC financial adviser Stephen Rogers increased to three years following review
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All Firms
Former financial services director Ashley Arandez sentenced to more than 5 years imprisonment
Former financial services director Ashley Arandez sentenced to more than 5 years imprisonment
Sectors:
Topics:
All Firms
Ga actief discriminatie in dienstverlening tegen
Mensen ervaren discriminatie, ook in hun contact met banken. Banken erkennen het probleem van ervaren discriminatie in hun dienstverlening, zo blijkt uit ons onderzoek naar hoe banken discriminatie tegengaan. Deelnemende banken deelden constructief en open met ons wat zij doen om discriminatie tegen te gaan. Discriminatie is vaak een onbedoeld gevolg van processen gericht op het verminderen van risicoโs, en schendt het klantbelang. De AFM verwacht van financiรซle ondernemingen dat zij actief (...
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Topics:
Bank
FINMA launches consultation on partial revision of the FINMA Anti-Money Laundering Ordinance
On 12 May 2026, the Swiss Financial Market Supervisory Authority FINMA launched the consultation on the partially revised AMLO-FINMA. The consultation will go on until 9 June 2026.
Deadline: 9 June 2026
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Council Implementing Regulation (EU) 2026/1055 of 11 May 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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Changes to MAS Board of Directors
MAS today announced the the appointment of Mr Ong Pang Thye to its Board of Directors. MAS also announced the re-appointment of four existing Directors, including its Chairman, Mr Gan Kim Yong and its Managing Director, Mr Chia Der Jiun.
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List of members of the Expert Working Group Specialised PFS regarding AML/CFT (Updated)
No description available.
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Terms of reference of the public-private partnership PFS SP related to AML/CFT (only in French) (Updated)
No description available.
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Notice of Amendments to Legislation: May 2026
Notice of Amendments to Legislation: May 2026
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All Firms
The DFSA prohibits reinsurance broker Mr Mohsen and fines him USD 139,722 forโฆ
The DFSA prohibits reinsurance broker Mr Mohsen and fines him USD 139,722 forโฆ
Sectors:
Topics:
Broker DealerInsurance
Councils,The fifth meeting of the Working Group on Corporate Disclosure of the Financial System Council
No description available.
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All Firms
Dissolution and judicial liquidation: DIVERSIFIED ASSET MANAGEMENT S.A.
Press release 26/10
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Restrictions imposed on Kingscrown Finance Limited
Kingscrown Finance Limited (Kingscrown) has stopped onboarding new customers or undertaking new business with existing customers โ including extending existing credit. Kingscrown, which was incorporated in 2014, provides lending for business and investment purposes, including property investment, buy-to-let and house in multiple occupation (HMO) finance.The voluntary restrictions on Kingscrownโs business came into effect on 21 April 2026. Kingscrown has never been authorised by or registered ...
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All Firms
International,Paris Plenary Meeting of the International Forum of Independent Audit Regulators (IFIAR)
No description available.
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Topics:
All Firms
International,International Forum of Independent Audit Regulators published the new Report about use of technology in audits
No description available.
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ASIC disqualifies NSW hospitality director Ken Sadamatsu for maximum 5 years
ASIC disqualifies NSW hospitality director Ken Sadamatsu for maximum 5 years
Sectors:
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Sharon Donnery: Interview with Expansiรณn
No description available.
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Sharon Donnery: Single Market, shared opportunities
No description available.
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All Firms
Onderzoek: DSI-convenant vakbekwaamheid beleggingsprofessionals efficiรซnt en effectief
Het convenant tussen de Autoriteit Financiรซle Markten (AFM) en Stichting DSI over de vakbekwaamheid van beleggingsprofessionals is een efficiรซnt en effectief instrument binnen het risicogestuurde toezicht van de AFM. Dat is de conclusie van de audit door onderzoeksbureau KWINK groep in opdracht van de AFM. Het convenant helpt professionals in de beleggingssector aantoonbaar te voldoen aan vakbekwaamheidseisen uit Europese regelgeving. Wel komt KWINK met een aantal aanbevelingen voor verbeteri...
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Asset ManagerBroker DealerBank
Convicted money launderer sentenced to extra prison time
A convicted money launderer has been sentenced to an additional 499 daysin prison for failing to fully pay the money owed under a Confiscation Order. In 2021,RichardFaithfull,now36,wassentenced to5 years and 10 monthsin prisonfor laundering ยฃ2.5 million, following a prosecution brought by the Financial Conduct Authority (FCA).He was part of a trans-national organised crime group which laundered the proceeds of at least 7 overseas investment frauds.Mr Faithfullis required topay back ยฃ529,961,b...
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$name
No description available.
Sectors:
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ECB report on good practices for climate and nature-related risk stress testing
No description available.
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Good practices for climate and nature risk management
No description available.
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ASIC calls for urgent cyber uplift as AI accelerates cyber threats
ASIC calls for urgent cyber uplift as AI accelerates cyber threats
Sectors:
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All Firms
ASIC permanently bans Queensland property developer Trent Giumelli from financial services
ASIC permanently bans Queensland property developer Trent Giumelli from financial services
Sectors:
Topics:
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Minutes of the Market Participants Group meeting โ 7 May 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 Englandโs Monetary Policy Committee.
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Bank
Save the date: OSFIโs second Quarterly Release Day and Industry Day of 2026
Save the date: OSFIโs second Quarterly Release Day and Industry Day of 2026
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All Firms
Kanda Products & Services Ltd enters liquidation
On 6 May 2026, Kanda Products and Services Ltd (Kanda) entered liquidation. Philip Harris and Neville Side of FRP Advisory Trading Limited have been appointed as Joint Liquidators. Kanda is authorised by the FCA as a credit broker. It operated a network of around 700 introducer appointed representatives, mainly tradespeople who introduced consumers to finance for home improvement and other goods and services.On 16 February 2026, Kanda agreed to a voluntary requirement with the FCA which restr...
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Broker Dealer
Adgm Courts And The Mediation Hub Mena Sign A Strategic Mou To Advance Mediation In The Uae
Adgm Courts And The Mediation Hub Mena Sign A Strategic Mou To Advance Mediation In The Uae
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Issue 6 2026
No description available.
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Minutes of the Meeting of the Court of Directors held on 12 February 2026
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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Bank
The Autoritรฉ des Marchรฉs Financiers (AMF) has approved the updated โProvisionsโ of the AFG Code of Ethics for Third-Party Asset Management and extended these to all investment services providers
Asset management The Autoritรฉ des Marchรฉs Financiers (AMF) has approved the updated โProvisionsโ of the AFG Code of Ethics for Third-Party Asset Management and extended these to all investment services providers
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Launch of the Luxembourg AML/CFT official portal by the Minister of Justice on 6 May 2026 (only in French)
No description available.
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SFC obtains disqualification orders against former directors of China Candy Holdings Limited
No description available.
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Federal Court holds Telstra Super accountable for internal dispute resolution failures
Federal Court holds Telstra Super accountable for internal dispute resolution failures
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Development of the balance sheet total and provisional net results of support PFS
Situation as at 31 March 2026
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All Firms
Written reply to Parliamentary Question on updating insurance coverage to include medical advances
Written reply to Parliamentary Question on updating insurance coverage to include medical advances
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Insurance
Oral reply to Parliamentary Question on the effects of Singapore dollar strengthening and exchange rate stability
Oral reply to Parliamentary Question on the effects of Singapore dollar strengthening and exchange rate stability
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Topics:
All Firms
SEC Charges 21 Individuals with Alleged Wide-Reaching Insider Trading Scheme
The Securities and Exchange Commission today charged 21 individuals for their alleged involvement in a decade-long insider trading scheme that used information misappropriated from multiple global law firms and resulted in millions of dollars in illicitโฆ
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Broker Dealer
Adgms Fsra Issues Alert Concerning Fraudulent Website Tungsten Me.Com And Tgst Me.Com
Adgms Fsra Issues Alert Concerning Fraudulent Website Tungsten Me.Com And Tgst Me.Com
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Adgm Announces Man Groups Commitment To Establish Presence In Abu Dhabi
Adgm Announces Man Groups Commitment To Establish Presence In Abu Dhabi
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Canva Group pays $792,000 in infringement notices for failing to lodge financial reports on time
Canva Group pays $792,000 in infringement notices for failing to lodge financial reports on time
Sectors:
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Competition Act 1998 investigations
Following the publication of financial reporting by PayPal Holdings Inc, we can confirm we are investigating Mastercard, PayPal and Visa under Chapter I in the Competition Act 1998, and Mastercard and Visa under Chapter II in the Competition Act 1998, for suspected anti-competitive conduct linked to thefunding and usage of PayPalโs digital wallet.The FCA has reached no conclusions nor made any findings with regard to competition law having been broken.Notes to editorsThe Competition Act 1998 ...
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Fintech
CFTC Orders New York Trader to Pay $200,000 for Spoofing
No description available.
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All Firms
Claudia Buch: โThe Prudential Regulation of Banksโ โ Practical Implications for European Supervision
No description available.
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Bank
Written reply to Parliamentary Question on accuracy of greenhouse gas emissions disclosures by listed companies
Written reply to Parliamentary Question on accuracy of greenhouse gas emissions disclosures by listed companies
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All Firms
Written reply to Parliamentary Question on Code of Corporate Governance and SGX Listing Rules on remuneration committees and disclosures
Written reply to Parliamentary Question on Code of Corporate Governance and SGX Listing Rules on remuneration committees and disclosures
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Singapore has a robust framework for combatting financial crime according to international body
The Financial Action Task Force published a peer evaluation report of Singapore today, which strongly affirmed that Singapore has a robust and effective framework and process to counter money-laundering, terrorism financing and proliferation financing.
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Ministry of Economy and Tourism, Capital Market Authority, and the DFSA launchโฆ
Ministry of Economy and Tourism, Capital Market Authority, and the DFSA launchโฆ
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Issue 5 2026
No description available.
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All Firms
Exchange of letters between the Governor and the Chancellor on the Asset Purchase Facility - May 2026
Exchange of letters between the Governor and the Chancellor
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All Firms
Capital Group Announces Plans To Open First Office In The Middle East
Capital Group Announces Plans To Open First Office In The Middle East
Sectors:
Topics:
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Former NSW director Mark Barnes sentenced to imprisonment after dishonestly obtaining $2.4m by selling false invoices
Former NSW director Mark Barnes sentenced to imprisonment after dishonestly obtaining $2.4m by selling false invoices
Sectors:
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Notifications sent by the CSSF to the competent authorities of other EEA Member States
Situation from April 2025 to April 2026
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All Firms
Notifications received by the CSSF from the competent authorities of other EEA Member States
Situation from April 2025 to April 2026
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CSSF approvals of prospectuses
Situation from April 2025 to April 2026
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The DFSA moves to accelerate Islamic Finance sector growth in DIFC, consultingโฆ
The DFSA moves to accelerate Islamic Finance sector growth in DIFC, consultingโฆ
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CFTC Staff Issues Supplemental Letter Regarding No-Action Position on Reporting, Recordkeeping Requirements
No description available.
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Uaes Sarwa Hits $1 Billion In Assets As Retail Investing Gains Scale
Uaes Sarwa Hits $1 Billion In Assets As Retail Investing Gains Scale
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Written overview for the exchange of views of the Chair of the Supervisory Board of the ECB with the Eurogroup on 4 May 2026
No description available.
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MAS Collaborates with Banking Industry to Harness Artificial Intelligence in the Fight Against Financial Crime
MAS is conducting a Proof-of-Value (POV) to explore artificial intelligence and machine learning techniques for pre-emptive scam detection.
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Bank
Joint Statement of the 29th ASEAN+3 Finance Ministersโ and Central Bank Governorsโ Meeting
The 29th ASEAN+3 Finance Ministersโ and Central Bank Governorsโ Meeting took place on 3 May 2026 in Samarkand, Uzbekistan.
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Bank
Regulators and audit leaders discuss audit quality and confidence in Canadaโs financial reporting
Regulators and audit leaders discuss audit quality and confidence in Canadaโs financial reporting
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Notice of Consultation Paper Release: CP 172
Notice of Consultation Paper Release: CP 172
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CFTC Secures Judgment Against Michigan Commodity Pool Operator and His Company Engaged in Fraud Scheme
No description available.
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WSJ Letter to Editor | Prediction Markets Arenโt a New Vegas
No description available.
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Three arrested in FCA investigation into suspected unlawful financial promotions
Three people have been arrested as part of a crackdown on suspected illegal financial promotions. Two homes in the Chelmsford and Romford areas were searched, as part of an operation led by the FCA and the Eastern Regional Special Operations Unit (ERSOU), a specialist policing unit that tackles serious and organised crime.Adverts from firms that aren't FCA-regulated can be a warning sign of a scam. If something goes wrong, these firms aren't covered by the rules that protect people's money โ ...
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CFTC Staff Issues Supplemental Letter Regarding No-Action Position on Reporting, Recordkeeping Requirements
No description available.
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Aktualisierte Sanktionsmeldung: Taliban
Das Staatssekretariat fรผr Wirtschaft (SECO) hat eine รnderung der Liste der sanktionierten natรผrlichen Personen, Unternehmen und Organisationen der Verordnung vom 21. Mรคrz 2025 รผber Massnahmen gegenรผber Personen und Organisationen, die mit den Taliban in Verbindung stehen (SR 946.231.07), publiziert.
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PRA Regulatory Digest โ April 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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Adgm Registration Authority Publishes Amendments To The Commercial Legislation
Adgm Registration Authority Publishes Amendments To The Commercial Legislation
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Adgm Announces Rokos Capital Managements Abu Dhabi Office Opening Following Authorisation
Adgm Announces Rokos Capital Managements Abu Dhabi Office Opening Following Authorisation
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Former Berndale director Stavro DโAmore pleads guilty to dishonest conduct and misusing nearly $700,000 in company funds
Former Berndale director Stavro DโAmore pleads guilty to dishonest conduct and misusing nearly $700,000 in company funds
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Households miss out on opportunities for higher returns: savings could be put to better use
Around 800,000 Dutch households have sufficient financial resources to invest but do not do so, even though they may face financial shortfalls in the future. For this group, it may therefore be appropriate to allow their available assets to generate higher returns, in order to strengthen their future financial position. The AFM is committed to lowering the barriers for consumers who want to start investing.
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Asset ManagerWealth ManagerBank
AFM decision regarding deferred publication of the volume of certain transactions in Dutch sovereign bonds
The Dutch Authority for the Financial Markets (AFM) has adopted a decision regarding the deferred publication of the volume of certain transactions in Dutch sovereign bonds. Pursuant to this decision, which enters into force on 4 May 2026, market operators and investment firms operating a trading venue shall make public the volume of individual transactions in sovereign bonds with an amount between โฌ15 million and โฌ50 million no later than the close of the trading day.
Effective Date: 4 May 2026
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Broker DealerAll Firms
CFTC Seeks Public Comment Relating to Commitments of Traders Reports
No description available.
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Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (April 22, 2026)
No description available.
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Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (April 21, 2026)
No description available.
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Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (April 17, 2026)
No description available.
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Hashed Global Management Limited Hgml Obtains Financial Services Permission From Adgm
Hashed Global Management Limited Hgml Obtains Financial Services Permission From Adgm
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Adgm Fsra Launches Consultation On Enhancements To Its Aml Framework
Adgm Fsra Launches Consultation On Enhancements To Its Aml Framework
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FCA charges Shaun Lawrence for unauthorised mortgage broking
The FCA has charged Shaun Lawrence for operating as a mortgage broker without authorisation. Mr Lawrence, who also goes by the names Shaun Lawrence-Bright and Shaun Bright, was previously authorised to give mortgage advice.However, in 2008 he had his permissions revoked and was fined. He was also banned from working in financial services.The FCA alleges that Mr Lawrence has breached the Financial Services and Markets Act by continuing to provide mortgage broking services when already banned.M...
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Broker Dealer
Cryptoasset firms can request pre-application meetings from 11 May 2026
From 11 May 2026, cryptoasset firms preparing for the new FSMA regime will be able to request a pre-application meeting with us via our Pre-Application Support Service (PASS). Pre-application meetings are free of charge and give firms the opportunity to discuss their plans with us and ask questions before submitting an application for authorisation or variation of existing permissions.This comes ahead of the new regime for cryptoasset regulation, where firms wanting to undertake the new regul...
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Crypto Exchange
FCA sets out guidance to support innovation in fund tokenisation
Asset managers will find it easier to unlock the benefits of fund tokenisation, following the publication of new guidance by the FCA. The guidance sets out how firms can use distributed ledger technology (DLT) within the regulatorโs existing rules.New rules will also make fund dealing more efficient, including an optional Direct to Fund (D2F) model. This enables investors to deal directly with the fund, whether traditional or tokenised.Tokenisation is a way of representing an asset, or owners...
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Asset Manager
Bank Rate maintained at 3.75% - April 2026 Monetary Policy Summary and Minutes
The Bank of Englandโs Monetary Policy Committee is responsible for making decisions about Bank Rate.
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Bank
Exchange of letters between the Governor and the Chancellor regarding CPI Inflation - April 2026
Exchange of letters between the Governor and the Chancellor
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ASIC disqualifies Gold Coast director David John Parker for maximum 5-year period
ASIC disqualifies Gold Coast director David John Parker for maximum 5-year period
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ASIC cancels AFS licence of ABL Funds Management Pty Ltd
ASIC cancels AFS licence of ABL Funds Management Pty Ltd
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ASIC discontinues winding up proceedings against Liberty Bell Bay
ASIC discontinues winding up proceedings against Liberty Bell Bay
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Enhancements to MASโ Regulatory Framework To Facilitate Dual Listings on the Singapore Exchange
Singapore, 30 April 2026โฆ The Monetary Authority of Singapore (MAS) today issued its response to the public consultation on proposed amendments to the Securities and Futures Act 2001 (SFA) to facilitate dual listing arrangements on the Singapore Exchange (SGX). The proposed regulatory framework supports the implementation of the Global Listing Board (GLB), a partnership by the SGX and Nasdaq, and facilitates future similar collaborations.
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Adgm Fsra Finalises Regulatory Framework For The Staking Of Virtual Assets
Adgm Fsra Finalises Regulatory Framework For The Staking Of Virtual Assets
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Crypto Exchange
CFTC Announces Director of the Whistleblower Office
No description available.
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FCA reviewing whether APRs support consumersโ choices
The FCA is reviewing whether Annual Percentage Rates (APRs) help consumers understand borrowing costs andis seeking views on whetherit should changehow these are communicated in credit advertising. APRsindicatethe yearly cost of borrowing, including interest and fees. A representative APR means at least half of consumers receive that rate or better. Current rules require representative APRs in most credit advertising.Research, published today, shows APRs are useful for comparing products, but...
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SoP14/24 โ The Prudential Regulation Authorityโs approach to cost benefit analysis
Statement of Policy 14/24
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LCM Family Limited enters administration
On 28 April 2026, LCM Family Limited (LCM) went into administration. Louise Longley and Gary Shankland of BTG Begbies Traynor (Central) LLP were appointed as joint administrators of the firm. The joint administrators are responsible for managing the affairs of the firm during the administration process.LCM (previously known as LCM Wealth Management Limited) is authorised by the FCA and provided financial advice and related investment services. LCM is also regulated by the Solicitors Regulatio...
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Wealth Manager
The PRAโs Standard Cost Model
Technical Note
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SoP14/24 โ The Prudential Regulation Authorityโs approach to cost benefit analysis
Statement of Policy 14/24
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SFC commences legal proceedings against former senior executives of China Automotive Interior Decoration Holdings Limited and its subsidiary
No description available.
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Grow Investment Group Secures In Principle Approval From Adgms Fsra
Grow Investment Group Secures In Principle Approval From Adgms Fsra
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SFC launches official Rednote account to strengthen public outreach and education
No description available.
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CFTC Transitions Its Public Comment Submission Process to Regulations.gov
No description available.
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CFTC Sues Wisconsin to Reaffirm its Exclusive Jurisdiction Over Prediction Markets
No description available.
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Adgm Fsra Issues Alert Concerning Fraudulent Website Exinityxe
Adgm Fsra Issues Alert Concerning Fraudulent Website Exinityxe
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Global situation of undertakings for collective investment at the end of March 2026
Press release 26/09
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FCA invites ESG rating providers to join a voluntary reporting pilot
Help us develop a proportionate reporting regime for ESG ratings. Register your interest by 13 May 2026. We're inviting ESG rating providers to join a pilot to inform future regulatory reporting once the regime is live.Our aim is to avoid unnecessary reporting burden for firms over time.The pilot aims to help us assess whether the proposed metrics for ESG ratings reporting are:clearfeasibleproportionate across different business modelsuseful for supervisory purposesParticipants will have a di...
Deadline: 13 May 2026
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Fees for financial investments continue to decline, particularly those for mutual funds
Fees Collective investments Shares Fees for financial investments continue to decline, particularly those for mutual funds
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Publication,FSA Weekly Review No.685 April 28, 2026
No description available.
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ASIC disqualifies NSW director Lambros Hilellis for 5 years
ASIC disqualifies NSW director Lambros Hilellis for 5 years
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SSM Calendar Claude Wampach โ 01/2026
No description available.
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28 Apr 2026 Read more
28 Apr 2026 Read more
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Peter Routledge participates in a fireside chat at VersaFi & PwC - Canada Strong: The Future-Ready Financial System
Peter Routledge participates in a fireside chat at VersaFi & PwC - Canada Strong: The Future-Ready Financial System
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Adgm Fsra Implements Enhancements To The Regulatory Framework For Insurance And Introduces Climate Related Financial Risk Management Requirements
Adgm Fsra Implements Enhancements To The Regulatory Framework For Insurance And Introduces Climate Related Financial Risk Management Requirements
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Insurance
FCA consults on changes to IPO research rules
The FCA is seeking views on proposals to change rules that govern the publication of research during the initial public offering (IPO) process. The FCA is consulting on removing the requirement for a 7-day delay before connected research on an IPO can be published. It also consults on removing rules that require firms to provide independent analysts with the same information as their own research analysts.These rules were introduced in 2018 to encourage the production of unconnected research,...
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Basic statistical data on UCIs โ March 2026 (only in French)
No description available.
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FCA Board appoints 2 new members to the Regulatory Decisions Committee
The FCA Board appoints new members to decision-making committee. The Board of the FCA has appointed Jonathan Peddie and Raymond Cox KC as new members of the FCAโs Regulatory Decisions Committee (RDC).The RDC is responsible for taking certain regulatory decisions on behalf of the FCA relating to contested enforcement action. Committee members bring a broad range of professional experience to support fair, independent and evidence-based decision-making.Alison Potter, the chair of the RDC, said:...
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Understanding the banking sector capital framework in the European Union
No description available.
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Bank
Audit profession: Practical details on the EAP โ 2026 Session (only in French)
No description available.
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All Firms
Federal Court orders Money3 to pay $1.55 million penalty for responsible lending breaches
Federal Court orders Money3 to pay $1.55 million penalty for responsible lending breaches
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Development of the balance sheet total and provisional net results of specialised PFS
Situation as at 31 March 2026
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Guidelines on the U1.1 reporting (Updated)
Version 6.7
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All Firms
Changes to OSFIโs Executive Leadership Team
Changes to OSFIโs Executive Leadership Team
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CFTC Reaffirms Exclusive Jurisdiction Over Prediction Markets in Massachusetts Supreme Judicial Court Filing
No description available.
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CFTC Sues New York Over Prediction Markets Amid Ongoing Efforts to Preserve Jurisdiction
No description available.
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UniCredit S.p.A.: Bafin prohibits unlawful advertising
Bafin has ordered UniCredit S.p.A. to cease publishing unobjective advertising in connection with the takeover bid for Commerzbank AG.
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Bank
Joint Committee annual report highlights digitalisation, cyber resilience and sustainable finance as key priorities of 2025
Joint Committee annual report highlights digitalisation, cyber resilience and sustainable finance as key priorities of 2025 24 April 2026 Joint Committee The Joint Committee of the European Supervisory Authorities (EBA, EIOPA and ESMA โ the ESAs) today published its Annual Report for 2025 , setting out the main priorities and achievements of its cross-sectoral work over the past year. In 2025, the Joint Committee focused on protecting consumers in increasingly digital financial markets, stren...
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Fintech
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (April 10, 2026)
No description available.
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All Firms
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (April 7, 2026)
No description available.
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Iliad โ Universal Registration Document 2025 (only in French)
No description available.
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Richard Doornbosch benoemd als bestuurslid kapitaalmarkten en accountancy
Per 1 september 2026 treedt Richard Doornbosch toe tot het bestuur van de Autoriteit Financiรซle Markten (AFM). Hij wordt als bestuurslid verantwoordelijk voor het toezicht op de kwaliteit van de accountantscontrole en verslaggeving en de integriteit en veerkracht van de kapitaalmarkten. De benoeming is voor een periode van vier jaar. Met de benoeming van Richard Doornbosch wordt de vacature in het bestuur opgevuld die per september ontstaat met het terugtreden van Jos Heuvelman.
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Council Regulation (EU) 2026/513 of 23 April 2026
amending Regulation (EC) No 765/2006 concerning restrictive measures in view of the situation in Belarus and the involvement of Belarus in the Russian aggression against Ukraine
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Council Implementing Regulation (EU) 2026/505 of 23 April 2026
implementing Article 8a(1) of Regulation (EC) No 765/2006 concerning restrictive measures in view of the situation in Belarus and the involvement of Belarus in the Russian aggression against Ukraine
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Council Regulation (EU) 2026/511 of 23 April 2026
amending 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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Council Implementing Regulation (EU) 2026/509 of 23 April 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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Council Regulation (EU) 2026/506 of 23 April 2026
amending Regulation (EU) No 833/2014 concerning restrictive measures in view of Russiaโs actions destabilising the situation in Ukraine
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FCA spearheads global action to stop illegal finfluencers
The FCA has led international action to stop illegal finfluencers putting consumers' money at risk. Seventeen regulators worldwide took part in the 'week of action' which included enforcement activity, consumer awareness campaigns, and educational programmes for finfluencers who want to act responsibly. Activity started on 20 April 2026.In the UK, the FCA:Secured a guilty plea from Geordie Shoreโs Aaron Chalmers for illegal promotions on social media. Criminal proceedings have been commenced ...
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In an increasingly digital investment landscape, the AMF stresses the importance of the quality of the information provided to retail investors throughout the investor journey
Supervision Marketing Financial products Investment services Savings protection Journalists Investment services providers In an increasingly digital investment landscape, the AMF stresses the importance of the quality of the information...
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Fintech
AMLA start consultatie AML-CFT-risicobeoordeling en beleid
De Europese anti-witwas- en anti-terrorismefinanciering autoriteit (AMLA) is twee openbare consultaties gestart. De ontwerpinstrumenten geven richting aan hoe meldingsplichtige instellingen de risicoโs op witwassen en terrorismefinanciering moeten identificeren, beoordelen en beheersen. Hiermee wordt gewerkt aan een geharmoniseerde Europese aanpak.
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BankAsset ManagerPayment Provider
SFC joins global regulatory effort again to combat unlawful activities of finfluencers
No description available.
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ASIC continues finfluencer crackdown alongside global regulators
ASIC continues finfluencer crackdown alongside global regulators
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All Firms
Pure Foods Tasmania reduces $4.5 million in deferred tax assets following ASIC review
Pure Foods Tasmania reduces $4.5 million in deferred tax assets following ASIC review
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ASIC accepts cancellation of company auditor registration after raising independence concerns
ASIC accepts cancellation of company auditor registration after raising independence concerns
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Superintendent Routledge to speak at PwC/VersaFi event in Toronto on April 28, 2026
Superintendent Routledge to speak at PwC/VersaFi event in Toronto on April 28, 2026
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Deputy Superintendent Angie Radiskovic opening remarks at the Northwind Financial Services Forum
Deputy Superintendent Angie Radiskovic opening remarks at the Northwind Financial Services Forum
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CFTC Charges U.S. Service Member with Insider Trading in Nicolรกs Maduro-Related Event Contracts
No description available.
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Broker Dealer
Federal Court dismisses ASICโs continuous disclosure case against Nuix
Federal Court dismisses ASICโs continuous disclosure case against Nuix
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Sapia agrees to pay more than ยฃ19m to WealthTek clients after failing to protect client money
Sapia has agreed to make a voluntary payment of ยฃ19,637,950 to WealthTek clients and the FCA has censured the firm. Sapia began working with WealthTek in 2013 and later appointed it as one of its appointed representatives. This resulted in Sapia holding and being responsible for protecting client money resulting from WealthTekโs activities.The FCA found Sapia did not put enough safeguards in place to protect this money.Sapia has admitted that it failed to properly separate key roles within it...
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Wealth ManagerFintech
FCA publishes findings from financial adviser market survey
We have published findings from our Financial Adviser Survey. The findings provide an updated picture of how the UK financial advice market is evolving and what this means for firms, consumers and future growth. The survey brings together responses from more than 4,100 financial advice firms; alongside analysis of data we already hold on around 31,000 advisers.Overall, it shows a market that remains broadly stable and continues to support millions of clients, even as firms adapt to consolidat...
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FCA looks for members for its advisory committee on secondary markets
The FCA is looking for expressions of interest from market participants to join our advisory committee. The committee was established in 2022, and we are renewing the membership in line with our terms of reference.The purpose of the committee is to support our work in wholesale secondary markets for equities, derivatives, fixed income and commodity derivatives.The committeeโs task is to:help develop reforms that improve market competition, increase consumer protection and enhance the integrit...
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LIAF01/26 โ Low Impact Amendments Finalisation April 2026
Low Impact Amendments Finalisation 2026
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All Firms
SFC reaches agreement with PricewaterhouseCoopers for shareholder compensation of HK$1 billion regarding false financial statements of China Evergrande Group for 2019 and 2020
No description available.
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List of supervised entities - Cut-off date 1 March 2026
No description available.
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All Firms
ASIC bans former MWL financial adviser John Morgan for 5 years
ASIC bans former MWL financial adviser John Morgan for 5 years
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Topics:
All Firms
Consumer Price Developments in March 2026
This March 2026 report contains an update of the latest consumer price developments in Singapore, prepared by MAS and the Ministry of Trade and Industry.
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23 Apr 2026 Read more
23 Apr 2026 Read more
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15 Uae Nationals To Join National Talent Development With World Bank Group Explorers Program
15 Uae Nationals To Join National Talent Development With World Bank Group Explorers Program
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Topics:
Bank
New methods of transmitting management notifications and de-notifications with a European passport for Luxembourg-domiciled IFMs
No description available.
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MiFID annex to the notification letter under Articles 17 and/or 18 of Directive 2009/65/EC (UCITSD) and/or Article 33 of Directive 2011/61/EU (AIFMD)
No description available.
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Asset Manager
IFM guidelines on cross-border management notification and de-notification procedures
To be followed by Luxembourg investment fund managers
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Asset Manager
FINMA welcomes the Federal Councilโs dispatch on the revision of the Banking Act
The Swiss Financial Market Supervisory Authority (FINMA) welcomes the dispatch on the revision of the Banking Act, which the Federal Council adopted today. The bill is one of several key measures aimed at strengthening banking stability. In order to achieve the best possible results, FINMA recommends that the measures proposed in the Federal Councilโs parameters for amendments to the Banking Act be implemented in their entirety. In particular, it advocates for the strengthening of statutory i...
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Bank
FCA and PRA confirm changes to streamline senior manager accountability and boost growth
Firms willbenefitfromreduced costs andgreater flexibility, andfind it easier tocomply with the Senior Managers and Certification Regime (SM&CR),following reformsset outon 22 April by theFCA and Prudential Regulation Authority (PRA). The changes, which come as the first phase of a multi-stage package of reform from the Government and regulators, will maintain the core principle of senior leader accountability, and will benefit firms by:Giving more time to submit senior manager applications whe...
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Frank Elderson: Interview with NRC
No description available.
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FCA leads first crackdown on illegal crypto trading
The FCA has carried out its first operation with partners to disrupt illegal peer-to-peer crypto trading across multiple London locations. Working with HM Revenue & Customs (HMRC) and the South West Regional Organised Crime Unit (SWROCU), the FCA targeted 8 premises suspected of illegal peer-to-peer crypto trading. The FCA issued cease and desist letters at each site, notifying traders to stop illegal activity immediately. Evidence obtained during the on-site inspections is supporting a numbe...
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Broker DealerCrypto Exchange
FCA and PRA confirm changes to streamline senior manager accountability and boost growth
The PRA and FCA have set out reforms to the Senior Managers and Certification Regime, designed to reduce costs and offer greater flexibility.
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SFC hosts IOSCO Committee 2 meeting in Hong Kong on secondary market
No description available.
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All Firms
CSSF Annex to the notification letter under Article 33 of Directive 2011/61/EU (AIFMD) (Updated)
Version 3.2
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Topics:
Asset Manager
CSSF Annex to the notification letter under Article 17 of Directive 2009/65/EC (UCITSD) (Updated)
Version 3.2
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Topics:
Asset Manager
Peter Routledge participates in a fireside chat at the Northwind Financial Forum
Peter Routledge participates in a fireside chat at the Northwind Financial Forum
Sectors:
Topics:
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International,Minister KATAYAMA meets Mr. Hernรกndez de Cos, General Manager of the BIS, in Tokyo
No description available.
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FCA announces second cohort for AI Live Testing
Speaking at UK FinTech Week, Jessica Rusu, chief data, information and intelligence officer at the FCA, has confirmed the second group of firms selected to join AI Live Testing. Eight new firms, including Barclays, Experian, Lloyds Banking Group (Scottish Widows), and UBS, have been chosen by the FCA to live test AI applications to support safe and responsible deployment.The FCA is working with its technical partner Advai, a London-based specialist in automated AI assurance, to provide AI Liv...
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BankFintech
Council Implementing Regulation (EU) 2026/885 of 21 April 2026
implementing Regulation (EU) 2024/2642 concerning restrictive measures in view of Russiaโs destabilising activities
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All Firms
Publication,FSA Weekly Review No.684 April 21, 2026
No description available.
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All Firms
FINMA annual media conference 2026
At its annual media conference today, the Swiss Financial Market Supervisory Authority FINMA outlined the key areas of its supervision in 2025. It consistently implemented its proportional and risk-based supervisory approach, strengthened the resilience of the institutions under its supervision, and focused on the early detection of emerging risks among those institutions. In its review, it outlined how it protected Swiss financial market clients during the year.
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All Firms
Smartย ITย Global Limited: Bafin prohibits company from offering capital investments to the public
On 9 April 2026, BaFin prohibited Smart IT Global Limited from offering several capital investments to the public. BaFin imposed the prohibition because the company had infringed the German Capital Investment Act (Vermรถgensanlagengesetz - VermAnlG). The capital investments include two forms of profit participation loans (under the product names โsmart IT Worldโ and โsmart IT Sprinterโ) as well as a product constituting an โother investmentโ under the VermAnlG that offers the prospect of asset...
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Asset ManagerFintech
21 Apr 2026 Read more
21 Apr 2026 Read more
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All Firms
Operational Test Issuance of Cash Management Treasury Bills on 23 April 2026
Operational Test Issuance of Cash Management Treasury Bills on 23 April 2026
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All Firms
AMF Quรฉbec, OSC and AMF France enter into an agreement to support cross-listing of securities in Canada and France
Cooperation Europe & international Equity Journalists Listed companies and issuers AMF Quรฉbec, OSC and AMF France enter into an agreement to support cross-listing of securities in Canada and France
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Asset ManagerBroker Dealer
CFTC and SEC Jointly Propose Amendments to Strengthen Disclosure and Reduce Private Fund Reporting Burdens
No description available.
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Asset ManagerHedge Fund
Join the Financial Services Consumer Panel โ vacancies now open
Help shape financial regulation from the perspective of consumers. We are recruiting 2 new members to the Financial Services Consumer Panel, an independent statutory panel that represents the interests of consumers of financial services to the FCA.Panel members provide constructive challenge and expert advice to help ensure the consumer perspective is fully embedded in the FCAโs policy development and implementation. Members engage regularly with senior FCA colleagues, including the chair, ch...
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Asset ManagerWealth ManagerBank
Issue 4 2026
No description available.
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Topics:
Asset ManagerBroker DealerBank
FPC review of UK bank capital โ summary of stakeholder evidence gathering event
On 20 March 2026, the Bank of England hosted an event to gather evidence from a broad range of stakeholders as part of the Financial Policy Committeeโs (FPCโs) assessment of bank capital requirements in the UK.
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BankAsset ManagerBroker Dealer
SFC unveils new regulatory framework to allow secondary trading of tokenised SFC-authorised investment products
No description available.
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Crypto ExchangeAsset ManagerBank
20 Apr 2026 Read more
20 Apr 2026 Read more
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BankAsset ManagerBroker Dealer
Minutes of the SONIA Stakeholder Advisory Group - 24 March 2026
The SONIA Stakeholder Advisory Group supports the Bankโs administration of SONIA by providing advice and technical input to the Bank and the SONIA Oversight Committee
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Topics:
BankBroker DealerFintech
CFTC and Kansas State University Announce Return of AgCon Conference
No description available.
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All Firms
HDH Investment Services Limited enters liquidation
On 16 April 2026, HDH Investment Services Limited (HDH), which advised on and arranged deals in investments, entered Creditorsโ Voluntary Liquidation (CVL). Dina Devalia and Tom Parish of Quantuma Advisory Limited (Quantuma) have been appointed as joint liquidators.On 20 January 2026, HDH agreed to stop carrying out any regulated activity. This was because we were concerned that HDH may have given unsuitable financial advice to some of its customers, potentially leading to financial loss.HDH ...
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Wealth Manager
Banknote imagery advisory group minutes - October 2025
Meeting held 14 October 2025
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Topics:
BankWealth ManagerAsset Manager
Banknotes imagery advisory group minutes - August 2025
Meeting held 5 August 2025
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Topics:
BankWealth ManagerAsset Manager
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (April 3, 2026)
No description available.
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Topics:
BankFintechCrypto Exchange
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (March 31, 2026)
No description available.
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BankFintechPayment Provider
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (March 30, 2026)
No description available.
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Topics:
BankBroker DealerFintech
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (March 27, 2026)
No description available.
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Topics:
BankFintechPayment Provider
Prudential Regulation Authority Business Plan 2026/27
The 2026/27 Business Plan sets out the workplan for each of our strategic priorities and our strategy to advance our primary and secondary objectives. This yearโs business plan confirms the PRAโs continued focus on safety and soundness and policyholder protection, alongside a proportionate and efficient approach to regulation.
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BankInsurance
CSSF Newsletter No 303 โ April 2026
No description available.
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Topics:
BankAsset ManagerWealth Manager
Former Beacon Minerals project manager Alexander McCulloch pleads guilty to insider trading
Former Beacon Minerals project manager Alexander McCulloch pleads guilty to insider trading
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Topics:
BankBroker DealerWealth Manager
Cigno Australia and director Mark Swanepoel, BSF Solutions and director Brenton Harrison, to pay $7 million in penalties for Credit Act breaches
Cigno Australia and director Mark Swanepoel, BSF Solutions and director Brenton Harrison, to pay $7 million in penalties for Credit Act breaches
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FintechAll Firms
Aktualisierte Sanktionsmeldung: Taliban
Das Staatssekretariat fรผr Wirtschaft (SECO) hat eine รnderung der Liste der sanktionierten natรผrlichen Personen, Unternehmen und Organisationen der Verordnung vom 21. Mรคrz 2025 รผber Massnahmen gegenรผber Personen und Organisationen, die mit den Taliban in Verbindung stehen (SR 946.231.07), publiziert.
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BankWealth ManagerAll Firms
Periodical report from the liquidator on the progress of the liquidation (Updated)
No description available.
Sectors:
Topics:
BankWealth ManagerAll Firms
Chairman Atkins Launches 'Material Matters' Podcast
The Securities and Exchange Commission today announced the launch of Material Matters With SEC Chairman Paul Atkins, a new podcast that provides stakeholders and the investing public with exclusive interviews and insights around the agencyโs policy andโฆ
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Asset ManagerBroker DealerWealth Manager
SAMA Licenses โModern Integrated Solutions Financingโ Company to Engage in BNPL Activityโ
SAMA Licenses โModern Integrated Solutions Financingโ Company to Engage in BNPL Activityโ
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Topics:
FintechPayment Provider
Barings Opens Office In Abu Dhabi
Barings Opens Office In Abu Dhabi
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Topics:
Asset ManagerBankWealth Manager
SEC Small Business Advisory Committee to Explore Ways to Encourage More IPOs
The Securities and Exchange Commissionโs Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday, April 28, 2026 at 10:00 a.m. to explore ways to encourage more companies to go public.The meeting will be openโฆ
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Topics:
Broker DealerFintech
SEC Seeks Public Comment on the Consolidated Audit Trail and Other Audit Trails and Data Sources
The Securities and Exchange Commission today issued a concept release soliciting public comment in support of a comprehensive review of the Consolidated Audit Trail (CAT) and other audit trails and related data sources currently used in the regulation ofโฆ
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Broker DealerAsset Manager
Year 2 Consumer Duty Board Reports: progress and what comes next
Under the Consumer Duty, firms must report annually on what their monitoring found about customer outcomes, and what actions theyโll take as a result.Good Consumer Duty Board reports provide clear evidence about outcomes โ helping to turn governance into real change. Boards can ask better questions, hold people to account, and act quickly to make sure they arenโt causing harm or offering poor value. Weโve seen this lead firms to design better products, communicate more clearly and support the...
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BankWealth ManagerAll Firms
FCA introduces clearer and simpler short selling rules
The FCA has finalised a simpler UK short selling regime that reduces reporting burdens for firms, while maintaining regulatory oversight. Short selling plays an important role in financial markets by supporting price formation, providing liquidity, and facilitating risk management.The new rules follow legislative changes under the Governmentโs repeal and replace programme, which imply that the FCA will publish aggregated data showing the overall size of net short positions in each company rat...
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Broker DealerAll Firms
Artificial Intelligence Consortium minutes โ February 2026
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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BankFintechPayment Provider
Aktualisierte Sanktionsmeldung: Taliban
Das Staatssekretariat fรผr Wirtschaft (SECO) hat eine รnderung der Liste der sanktionierten natรผrlichen Personen, Unternehmen und Organisationen der Verordnung vom 21. Mรคrz 2025 รผber Massnahmen gegenรผber Personen und Organisationen, die mit den Taliban in Verbindung stehen (SR 946.231.07), publiziert.
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BankWealth ManagerAll Firms
Any additional information referred to in Article 23(1) for each AIF the AIFM intends to market (Paragraph (f) of annex IV of AIFMD) (Updated)
Version 3.1
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Asset ManagerWealth Manager
The EBA Guidelines and Recommendations (Updated)
No description available.
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Topics:
BankAsset ManagerWealth Manager
CFTC Approves Order to Further Strengthen U.S. Treasury Market Liquidity
No description available.
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Topics:
Broker DealerBank
CFTC Secures Court Order Requiring Florida Resident to Pay Over $1.3 Million in Disgorgement and Imposes Trading Ban for Commodity Pool Fraud
No description available.
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Topics:
BankBroker DealerAsset Manager
The AMF welcomes the first criminal rulings in an insider network case
MAR Journalists Listed companies and issuers The AMF welcomes the first criminal rulings in an insider network case
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Topics:
BankBroker DealerAsset Manager
FCA consults on guidance on UKโs future crypto regime
Crypto will be regulated in the UK from October 2027. The FCA is finalising the wider cryptoasset regime, with rules to be published this summer. Parliament has now confirmed which cryptoasset activities will fall within the scope of regulation. Building on that, the FCA is consulting on new guidance to help firms understand how they might be affected by the regulatory regime for cryptoassets.The FCA is seeking feedback on its interpretation of the following regulated cryptoasset activities:i...
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Topics:
Crypto ExchangeFintech
FCA takes next steps toward enforcement action against Hartley Pensions and an individual
The FCA has set out plans to take action against Hartley Pensions Limited and an individual involved at the firm. Hartley was a Self-Invested Personal Pension operator, which went into administration in July 2022. The FCA alleges that Hartley provided it with false and misleading information and improperly withdrew and invested substantial amounts of customersโ pension funds, without their consent, to benefit an individual at the firm.The FCA alleges that the individual dishonestly used the p...
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Asset ManagerWealth Manager
Bain Capital Opens Office In Abu Dhabi
Bain Capital Opens Office In Abu Dhabi
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Topics:
Asset ManagerWealth ManagerBank
Regulatory Alert Maskex
Regulatory Alert Maskex
Sectors:
Topics:
Crypto ExchangeFintechPayment Provider
FCA bans CMC's misleading adverts
Adverts which used edited, unauthorised clips of Martin Lewis to make misleading claims about average motor finance compensation and used the FCA logo without permission, have been banned by the FCA. Conclusive Financial Ltd (Conclusive), a claims management company (CMC), which also trades as PCP Refunds, was required to remove its advertising and update or take down its website until it complied with the FCA's rules. Conclusive has since removed the banned adverts.The FCA was also concerned...
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All Firms
Publication,FSA Weekly Review No.683 April 14, 2026
No description available.
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Topics:
BankAsset ManagerBroker Dealer
ECB Governing Council urges Single Market boost to strengthen bank competitiveness
No description available.
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Topics:
BankAsset ManagerWealth Manager
FCA sets out vision for open finance to empower consumers and businesses
Consumers and businesses could be given greater control over their financial data to help secure better deals, under a vision for open finance published by the FCA. Open finance will unlock the potential for people and businesses to share their financial data securely with a range of financial services providers, helping them access mortgages, investments, savings and pensions. This will give financial services firms a more complete picture of consumersโ and businessesโ finances, enabling mor...
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Topics:
BankWealth ManagerFintech
ASIC disqualifies Gold Coast director for maximum 5-year period
ASIC disqualifies Gold Coast director for maximum 5-year period
Sectors:
Topics:
BankWealth ManagerAll Firms
MAS Monetary Policy Statement - April 2026
Read the Monetary Policy Statement for April 2026.
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Topics:
BankWealth ManagerAsset Manager
OSFI reintroduces non-bank financial institution risk in its latest Annual Risk Outlook
OSFI reintroduces non-bank financial institution risk in its latest Annual Risk Outlook
Sectors:
Topics:
BankAsset ManagerWealth Manager
Publication,FSA publishes English translation of monthly magazine, Access FSA No.269
No description available.
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All Firms
ESMA releases reporting templates and instructions for the Active Account Requirement
ESMA releases reporting templates and instructions for the Active Account Requirement 13 April 2026 CCP Market data The European Securities and Markets Authority (ESMA), the EUโs financial markets regulator and supervisor, has published the reporting templates and instructions for the Active Account Requirement (AAR) reporting under European Market Infrastructure Regulation (EMIR 3). The new templates set out in detail how entities subject to the AAR should report the required information to ...
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All Firms
International,International Forum of Independent Audit Regulators published the Report on 2025 Survey of Inspection Findings
No description available.
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Topics:
Asset ManagerBroker Dealer
Minutes of the London FXJSC Main Committee Meeting โ 27 November 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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Topics:
BankBroker Dealer
FXJSC Combined Operations and Legal Sub-Committee Meeting
The Bank of England chairs the London Foreign Exchange Joint Standing Committee (FXJSC) Operations and Legal Sub-Committees. The FXJSC is made up of market participants, infrastructure providers and the UK financial regulators.
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Topics:
BankBroker DealerFintech
SAMA: E-Payments Account for 85% of Total Retail Payments in 2025
SAMA: E-Payments Account for 85% of Total Retail Payments in 2025
Sectors:
Topics:
Payment ProviderBankFintech
From anxiety to action: Helping Australians to plan for their financial future
From anxiety to action: Helping Australians to plan for their financial future
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Viva Energy reassesses accounting approach after ASIC review, resulting in $25 million impairment
Viva Energy reassesses accounting approach after ASIC review, resulting in $25 million impairment
Sectors:
Topics:
BankAsset ManagerWealth Manager
CFTC Announces Innovation Task Force Staff
No description available.
Sectors:
Topics:
FintechCrypto Exchange
CFTC Announces Agricultural Advisory Committee Members
No description available.
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Topics:
Broker DealerAll Firms
Communication to the investment fund industry
regarding the โLMT activationโ module in relation to additional liquidity management requirements for Luxembourg-domiciled UCITS, or where applicable their management company, and Luxembourg-authorised AIFMs that manage open-ended AIFs, introduced by the Law of 3 March 2026, transposing Directive (EU) 2024/927 of the European Parliament and of the Council of 13 March 2024
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Topics:
Asset ManagerBank
SAMA Holds First Digital Transformation Committee Meeting with Financial Institutions in Banking Sector
SAMA Holds First Digital Transformation Committee Meeting with Financial Institutions in Banking Sector
Sectors:
Topics:
BankFintech
Former Big Un CEO pleads guilty in insider trading case
Former Big Un CEO pleads guilty in insider trading case
Sectors:
Topics:
BankBroker DealerAsset Manager
ASIC permanently bans Yanhua Chen from the financial services industry
ASIC permanently bans Yanhua Chen from the financial services industry
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
ASIC suspends AFS licence of Oscar Oliver Capital Ltd
ASIC suspends AFS licence of Oscar Oliver Capital Ltd
Sectors:
Topics:
Asset ManagerWealth Manager
Shane Monte Silva banned for five years over flawed Shield and First Guardian advice
Shane Monte Silva banned for five years over flawed Shield and First Guardian advice
Sectors:
Topics:
Wealth ManagerBank
ASIC bans former financial adviser Rhys Reilly for 10 years and suspends Conexus Groupโs AFS licence
ASIC bans former financial adviser Rhys Reilly for 10 years and suspends Conexus Groupโs AFS licence
Sectors:
Topics:
Wealth ManagerAll Firms
Issuers of securities whose home Member State is Luxembourg pursuant to the Law of 11 January 2008
Situation as at 31 March 2026
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Development of the balance sheet total and provisional net results of support PFS
Situation as at 28 February 2026
Sectors:
Topics:
BankAsset ManagerWealth Manager
Joint Statement of the Thirteenth ASEAN Finance Ministersโ and Central Bank Governorsโ Meeting (13th AFMGM)
The 13th AFMGM was convened under the co-chairmanship of H.E. Frederick D. Go, Secretary of the Department of Finance of the Philippines, and H.E. Eli M. Remolona, Jr., Governor of the Bangko Sentral ng Pilipinas.
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Topics:
BankFintechPayment Provider
DFSA publishes Thematic Review report on Compliance Arrangements in fintechโฆ
DFSA publishes Thematic Review report on Compliance Arrangements in fintechโฆ
Sectors:
Topics:
FintechPayment Provider
Policies,Human Capital Disclosures
No description available.
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ECB concludes asset quality reviews of building societies LBS Sรผd and Wรผstenrot
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Councils,Publication, the English version of Japanese Roadmap for sustainability disclosures and assurance
No description available.
Sectors:
Topics:
Asset ManagerBankBroker Dealer
General Announcements
General Announcements
Sectors:
Topics:
BankAsset ManagerInsurance
Procurement Tender
Procurement Tender
Sectors:
Topics:
BankAsset ManagerInsurance
ASIC permanently bans former financial adviser and credit representative Aristotle Papapavlou
ASIC permanently bans former financial adviser and credit representative Aristotle Papapavlou
Sectors:
Topics:
Wealth ManagerAll Firms
Electro Optic Systems Holdings ordered to pay $4 million penalty for continuous disclosure breaches
Electro Optic Systems Holdings ordered to pay $4 million penalty for continuous disclosure breaches
Sectors:
Topics:
All Firms
FINMA publishes guidance on managing digital fraud risks
A survey of banks conducted by the Swiss Financial Market Supervisory Authority FINMA shows that there is a need for action in addressing digital fraud risks, particularly in the areas of operational risk management and preventing money laundering. FINMA published its findings today in a new guidance.
Sectors:
Topics:
BankFintechPayment Provider
Convictions and Sentences Upheld for Masterminds Behind Singaporeโs Largest Stock Market Manipulation
9 April 2026โฆ On 18 March 2026, the Court of Appeal (CA) upheld the sentences of 36 and 20 yearsโ imprisonment meted out to Mr Soh Chee Wen (also known as John Soh) and Ms Quah Su-Ling respectively for orchestrating an elaborate scheme to manipulate the shares of Blumont Group Ltd, Asiasons Capital Ltd and LionGold Corp Ltd, the largest market manipulation case in Singaporeโs history. In October 2025, the CA had dismissed of their appeals against their convictions.
Sectors:
Topics:
BankBroker Dealer
DFSA announces temporary regulatory relief measures to support the DIFCโฆ
DFSA announces temporary regulatory relief measures to support the DIFCโฆ
Sectors:
Topics:
All Firms
International,Interview Article "Supervisory cooperation in a fragmented world: The IAIS work agenda" in The Eurofi Magazine (March 2026)
No description available.
Sectors:
Topics:
Insurance
Others,Twenty-fourth Meeting of the "Council for Cooperation on Financial Stability"
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
FCA imposes restrictions on Bazar Money Transfer Limited
On 21 November 2025, we imposed restrictions on Bazar Money Transfer Limited (BMTL), preventing it from providing regulated payment services. BMTL is registered with the FCA to provide money remittance services to retail and corporate customers.As BMTL was no longer meeting the conditions for registration as a small payment institution, we acted to impose restrictions to protect consumers, preventing BMTL from carrying out any regulated payment services.Following representations made by BMTL,...
Sectors:
Topics:
Payment ProviderCrypto Exchange
Central Bank publishes Financial Conditions of Credit Unions Report
Central Bank of Ireland today published the annual Financial Conditions of Credit Unions Report, which provides an update on the financial performance and position of the sector for the financial year ended 30 September 2025.
Sectors:
Topics:
Bank
ASIC ramps-up action to protect consumers from AI-powered online investment scams
ASIC ramps-up action to protect consumers from AI-powered online investment scams
Sectors:
Topics:
BankFintechWealth Manager
ASIC seeks appointment of receiver to investigate proposed Interprac sale
ASIC seeks appointment of receiver to investigate proposed Interprac sale
Sectors:
Topics:
Wealth ManagerAsset Manager
ASIC bans former ISG Financial Services Limited director Benjamin Godfrey for 10 years
ASIC bans former ISG Financial Services Limited director Benjamin Godfrey for 10 years
Sectors:
Topics:
BankWealth ManagerAll Firms
ASIC cancels AFS licence of The Silverfern Group Pty Ltd
ASIC cancels AFS licence of The Silverfern Group Pty Ltd
Sectors:
Topics:
Wealth Manager
Written reply to Parliamentary Question on Variable Capital Companies (VCCs)
Written reply to Parliamentary Question on Variable Capital Companies (VCCs)
Sectors:
Topics:
Asset ManagerBankWealth Manager
Written reply to Parliamentary Question on Household Liabilities and Household Assets
Written reply to Parliamentary Question on Household Liabilities and Household Assets
Sectors:
Topics:
BankFintech
Written reply to Parliamentary Question on impact of rising interest rates and mortgage repayments for homebuyers
Written reply to Parliamentary Question on impact of rising interest rates and mortgage repayments for homebuyers
Sectors:
Topics:
Bank
Oral reply to Parliamentary Questions on safeguards for GIRO transactions
Oral reply to Parliamentary Questions on safeguards for GIRO transactions
Sectors:
Topics:
BankFintechPayment Provider
Written reply to Parliamentary Question on findings about DBS and POSB digital banking services disruption
Written reply to Parliamentary Question on findings about DBS and POSB digital banking services disruption
Sectors:
Topics:
Bank
bahnemaninvest(.)net: BaFin warns about website and points to identity fraud
BaFin warns against offers on the website bahnemanninvest(.)net. There is suspicion that the unknown operators are offering financial services, without the necessary permission. Contrary to the information provided on the website, there is no connection with Dieter Bahnemann Fondsinvest GmbH. This constitutes identity fraud.
Sectors:
Topics:
BankWealth ManagerFintech
Others,We have updated the โCold Callingโ list (as of March 31, 2026).
No description available.
Sectors:
Topics:
Broker DealerAsset ManagerBank
Publication,FSA Weekly Review No.682 April 7, 2026
No description available.
Sectors:
Topics:
BankAsset ManagerCrypto Exchange
BaFin warns consumers about a further Investing In website:ย investing-in(.)pro
The Federal Financial Supervisory Authority (BaFin) again warns consumers about โInvesting Inโ and the services it is offering. The unknown operators are now using the additional website investing-in(.)pro. BaFin suspects the operators of this website of offering consumers financial and investment services without the required authorisation.
Sectors:
Topics:
BankFintechAll Firms
ASIC bans former MWL financial services adviser David Lofthouse for 3 years
ASIC bans former MWL financial services adviser David Lofthouse for 3 years
Sectors:
Topics:
Wealth Manager
Notifications sent by the CSSF to the competent authorities of other EEA Member States
Situation from March 2025 to March 2026
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Notifications received by the CSSF from the competent authorities of other EEA Member States
Situation from March 2025 to March 2026
Sectors:
Topics:
BankAsset ManagerBroker Dealer
CSSF approvals of prospectuses
Situation from March 2025 to March 2026
Sectors:
Topics:
Asset ManagerBankBroker Dealer
Explanatory Brief: The Securities and Futures (Amendment) Bill 2026
The explanatory brief for the Securities and Futures (Amendment) Bill 2026 provides the background and key amendments of the Bill.
Sectors:
Topics:
Broker DealerAsset ManagerBank
Written reply to Parliamentary Question on exposure of Singapore-domiciled financial institutions to US private credit
Written reply to Parliamentary Question on exposure of Singapore-domiciled financial institutions to US private credit
Sectors:
Topics:
BankAsset ManagerWealth Manager
Securities Industry Council (โSICโ or the "Council") Public Statement on PSC Corporation Ltd.
Public statement by the SIC on PSC Corporation Ltd.
Sectors:
Topics:
BankBroker DealerWealth Manager
Written reply to Parliamentary Question on pre-emptive adjustments to monetary policy to curb energy cost-driven inflation
Written reply to Parliamentary Question on pre-emptive adjustments to monetary policy to curb energy cost-driven inflation
Sectors:
Topics:
BankWealth ManagerAll Firms
Written reply to Parliamentary Question on timeline for making cash acceptance mandatory
Written reply to Parliamentary Question on timeline for making cash acceptance mandatory
Sectors:
Topics:
BankFintechPayment Provider
Regulatory Alert Meer Group
Regulatory Alert Meer Group
Sectors:
Topics:
BankWealth ManagerFintech
Active supply chain attack targeting Axios NPM
No description available.
Sectors:
Topics:
BankFintechAsset Manager
Securities,Publication of the Research Report, โStrengthening the Management of Third-Party Cybersecurity Risks by Financial Institutionsโ
No description available.
Sectors:
Topics:
BankAsset ManagerInsurance
CFTC Chairman Selig Announces Deputy General Counsel Appointments
No description available.
Sectors:
Topics:
BankBroker Dealer
Law of 8 December 2021 (consolidated version) (being updated) (Updated)
relating to the issue of covered bonds
Sectors:
Topics:
BankWealth ManagerAll Firms
Law of 16 July 2019 (consolidated version) (being updated) (Updated)
on the operationalisation of European regulations in the area of financial services
Sectors:
Topics:
BankAsset ManagerWealth Manager
Law of 30 May 2018 (consolidated version) (being updated) (Updated)
on markets in financial instruments
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Law of 17 April 2018 (consolidated version) (being updated) (Updated)
on key information documents for packaged retail and insurance-based investment products
Sectors:
Topics:
Asset ManagerBankInsurance
Law of 23 December 2016 (consolidated version) (being updated) (Updated)
on market abuse
Sectors:
Topics:
BankBroker DealerAsset Manager
Law of 23 July 2016 (consolidated version) (being updated) (Updated)
concerning the audit profession
Sectors:
Topics:
BankWealth ManagerAsset Manager
Law of 18 December 2015 (consolidated version) (being updated) (Updated)
on the failure of credit institutions and certain investment firms
Sectors:
Topics:
BankWealth ManagerAsset Manager
Law of 17 December 2010 (consolidated version) (being updated) (Updated)
relating to undertakings for collective investment
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Law of 19 May 2006 (consolidated version) (being updated) (Updated)
transposing Directive 2004/25/EC of the European Parliament and of the Council of 21 April 2004 on takeover bids
Sectors:
Topics:
BankBroker DealerAsset Manager
Law of 13 July 2005 (consolidated version) (being updated) (Updated)
on institutions for occupational retirement provision in the form of SEPCAVs and ASSEPs
Sectors:
Topics:
Asset ManagerBankInsurance
Law of 5 April 1993 (consolidated version) (being updated) (Updated)
on the financial sector
Sectors:
Topics:
BankWealth ManagerAsset Manager
SEC Announces Agenda and Panelists for Roundtable on Options Market Structure
The Securities and Exchange Commission today announced the agenda and panelists for its April 16, 2026, roundtable on options market structure.The roundtable will be held at the SECโs headquarters at 100 F Street, N.E., Washington, D.C., from 9:00 a.m.โฆ
Sectors:
Topics:
Broker DealerAsset Manager
Councils,The Expert Panel on the Revision of the Corporate Governance Code (3rd meeting) Material
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
CFTC Sues Trio of States to Reaffirm its Exclusive Jurisdiction Over Prediction Markets
No description available.
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Broker DealerFintech
Federal Court Grants CFTC Motion for Summary Judgment, Orders Former Hedge Fund Manager to Pay $2.2 Million for Swap Valuation Fraud
No description available.
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Hedge FundAsset Manager
Hillhouse Investment Opens New Office In Abu Dhabi
Hillhouse Investment Opens New Office In Abu Dhabi
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Asset ManagerBankWealth Manager
FCA and Bank seek members for their Transaction and Post-trade Reporting Taskforce
The FCA and Bank of England (Bank) invite expressions of interest from market participants to join a new taskforce. The purpose of this taskforce is to inform the design of our long-term approach to harmonising transaction and post-trade reporting requirements.The taskforce will be comprised of three separate working groups: a main Policy group, supported by a Strategy group and an Architecture group. The working groups will have the following individual objectives: Policy group:Identifying a...
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BankBroker DealerFintech
Minutes: CBDC Academic Advisory Group - January 2026
Meeting of the CBDC Academic Advisory Group
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BankFintechCrypto Exchange
Minutes of the Money Market Committee meeting โ March 2026
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 DealerFintech
Future-proofing Europeโs financial system
In his latest blog, Governor Gabriel Makhlouf argues that central banks must modernise their digital infrastructure and regulatory frameworks to ensure that central bank money remains the stable foundation of Europe's financial system whilst enabling private sector innovation in a digitally transformed ecosystem.
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BankFintechCrypto Exchange
BaFin warns consumers about the website brokereins(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website brokereins(.)com. BaFin has information that the operators are offering banking business and/or financial services on this website without the required authorisation. The operators are not supervised by BaFin.
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BankFintechCrypto Exchange
Changes to publication dates of the Decision Maker Panel data and Agentsโ summary of business conditions
We are changing the publication dates of the Decision Maker Panel and Agentsโ summary of business conditions so that they no longer fall on the same day as publication of the Monetary Policy Report
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BankAsset ManagerWealth Manager
crss(.)finance: BaFin warns consumers about website and identity fraud
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website crss(.)finance. According to information available to BaFin, the operators are offering financial and cryptoasset services on the website without the required authorisation. The unknown operators of the website claim to be a British company called โCeres Finance Limitedโ. It is not supervised by BaFin. This is a case of identity fraud. BaFin has no information regarding the British co...
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BankFintechCrypto Exchange
ASIC publishes ASX Inquiry Panel Final Report and acknowledges observations
ASIC publishes ASX Inquiry Panel Final Report and acknowledges observations
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BankBroker DealerAll Firms
ASIC cancels AFS licence of Beacon Wealth Pty Ltd
ASIC cancels AFS licence of Beacon Wealth Pty Ltd
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Wealth Manager
ASIC disqualifies Ashod Balanian from managing corporations for maximum five-year period
ASIC disqualifies Ashod Balanian from managing corporations for maximum five-year period
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Topics:
Crypto ExchangeFintech
BaFin warns consumers about the website uk-trd(.)investments
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website uk-trd(.)investments. According to information available to BaFin, the operators are offering financial and cryptoasset services on the website without the required authorisation. The unknown operators are not supervised by BaFin. They claim to be a company called โUK Trade & Investโ. In communications with customers, the website operators claim to be authorised by the European Financ...
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BankFintechCrypto Exchange
Spectrum Equity Pulseย GmbH: BaFin warns consumers the website spectrumequitypulse(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Spectrum Equity Pulse GmbH and the services it is offering. BaFin suspects the unknown operators of the website spectrumequitypulse(.)com of offering consumers financial, investment and cryptoasset services without the required authorisation. The operators claim to be supervised by BaFin and the Deutsche Bundesbank. This is not the case. The certificate provided in this context (โBusiness Licenseโ) is fake.
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BankFintechCrypto Exchange
DFSA and Ministry of Economy and Tourism sign MoU to enhance financial servicesโฆ
DFSA and Ministry of Economy and Tourism sign MoU to enhance financial servicesโฆ
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BankWealth ManagerAsset Manager
List of members of the Resolution Board (Updated)
No description available.
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BankWealth ManagerAsset Manager
List of members of the CPDI (Updated)
No description available.
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BankWealth ManagerAsset Manager
Fund Pre-Inception Readiness Review (Updated)
No description available.
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Asset ManagerBankWealth Manager
CFTC Resolves Action Against Former FTX Head of Engineering
No description available.
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Topics:
Crypto ExchangeFintech
Calculus Investments Ltd.: BaFin warns consumers about offers on the website calculusinv(.)com and on social media channels promoting the sale and purchase of the CVUZ token via the โGVEXPROโ app
BaFin warns against offers on the website calculusinv(.)com and on social media channels such as the โCalculus Investment Academy VIP Yโ group. According to information available to BaFin, Calculus Investments Ltd, which claims to be domiciled in New York and Frankfurt/Main, is providing financial, investment and cryptoasset services without the required authorisation.
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BankFintechCrypto Exchange
Global situation of undertakings for collective investment at the end of February 2026
Press release 26/08
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Asset ManagerBankWealth Manager
Basic statistical data on UCIs โ February 2026 (only in French)
No description available.
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Topics:
Asset ManagerWealth Manager
Restoring American Leadership in Financial Markets: CFTC Chairman Seligโs First 100 Days
No description available.
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Topics:
Broker DealerFintechCrypto Exchange
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat fรผr Wirtschaft (SECO) hat eine รnderung der Liste der sanktionierten natรผrlichen Personen, Unternehmen und Organisationen der Verordnung vom 21. Mรคrz 2025 รผber Massnahmen gegenรผber 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
The Bank and the PRAโs response to HMT, DSIT and DBT on AI in financial services
Letter from Sarah Breeden and Sam Woods to the Chancellor and Secretaries of State
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BankAsset ManagerWealth Manager
Financial Policy Committee Record โ April 2026
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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Topics:
BankHedge FundAsset Manager
PRA Regulatory Digest โ March 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:
BankAsset ManagerWealth Manager
CSSF Regulation No 26-01 of 31 March 2026 (only in French)
on the setting of the countercyclical buffer rate for the second quarter of 2026
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Bank
Three public companies fined more than a million dollars for breaching financial reporting and company officer obligations
Three public companies fined more than a million dollars for breaching financial reporting and company officer obligations
Sectors:
Topics:
BankAsset ManagerWealth Manager
Net assets of UCIs
Situation as at 28 February 2026
Sectors:
Topics:
Asset ManagerWealth Manager
Breakdown according to currency
Situation as at 28 February 2026
Sectors:
Topics:
Asset ManagerBankWealth Manager
Origin of UCI initiators in Luxembourg
Situation as at 28 February 2026
Sectors:
Topics:
Asset ManagerWealth Manager
Number of UCIs
Situation as at 28 February 2026
Sectors:
Topics:
BankAsset ManagerWealth Manager
Investment policy of UCIs
Situation as at 28 February 2026
Sectors:
Topics:
Asset ManagerWealth Manager
01 Apr 2026 Read more
01 Apr 2026 Read more
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BankWealth ManagerFintech
Others,Updated๏ผTrends in High-Speed Trading
No description available.
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Broker DealerFintech
Publication,FSA Weekly Review No.681 March 31, 2026
No description available.
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Topics:
BankAsset ManagerBroker Dealer
SEC Highlights Financial Independence During Financial Literacy Month
The Securities and Exchange Commissionโs Office of Investor Education and Assistance (OIEA) today announced that as part of Aprilโs National Financial Literacy Month it will highlight financial planning tools and resources on Investor.gov toโฆ
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Asset ManagerBroker DealerWealth Manager
Others,Revision of "Guidelines for Anti-Money Laundering and Combating the Financing of Terrorism"
No description available.
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BankWealth ManagerAsset Manager
The CSSF's 2026 priorities for supervising the investment fund sector
No description available.
Sectors:
Topics:
Asset Manager
The Autoritรฉ des Marchรฉs Financiers publishes the findings of its SPOT inspections on asset management companiesโ compliance and internal control systems
Supervision Asset management Compliance Journalists Investment management companies The Autoritรฉ des Marchรฉs Financiers publishes the findings of its SPOT inspections on asset management companiesโ compliance and internal control systems
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Topics:
Asset Manager
Appointments to SFC committees
No description available.
Sectors:
Topics:
All Firms
Mecca companies pay $594,000 in infringement notices for failing to lodge financial reports on time
Mecca companies pay $594,000 in infringement notices for failing to lodge financial reports on time
Sectors:
Topics:
FintechPayment Provider
Earnings and transaction value surge to five-year highs for Hong Kongโs securities industry in 2025
No description available.
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Topics:
Broker Dealer
Muzinich Co. Opens Adgm Office To Strengthen Middle East Presence
Muzinich Co. Opens Adgm Office To Strengthen Middle East Presence
Sectors:
Topics:
Asset ManagerBankWealth Manager
Millions of car finance customers to get payouts this year as FCA goes ahead with compensation scheme
Millions of motor finance customers will receive compensation this year under an FCA scheme for those treated unfairly by firms who broke the law by failing to disclose important information. Consumers were denied the chance to seek a better deal and, in some instances, paid more for their loan.The FCA has made several changes to the free to use scheme in response to conflicting feedback from consumers, their representatives, firms, manufacturers and industry bodies.This ensures it is fair fo...
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Topics:
BankFintechAll Firms
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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Topics:
FintechWealth Manager
Walnut Planetย 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 Pfรคffikon (Schwyz), Switzerland, is offering a capital investment that falls within the definition of โother investmentsโ under section 1 (2) no. 7 of the German Capital Investment Act (Vermรถgensanlagengesetz - 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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Topics:
Asset ManagerWealth ManagerBank
Central Bank of Ireland launches commemorative coin honouring playwright Seรกn O'Casey
Central Bank of Ireland today launched a commemorative coin celebrating the life and work of renowned Irish playwright Seรกn 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 โฌ90. 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 Commissionerโs 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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Topics:
BankFintechAll Firms
ECB streamlines how it supervises banksโ internal models
No description available.
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Topics:
BankAsset ManagerWealth Manager
Uncertificated securities market regime โ targeted for launch in November 2026
No description available.
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Topics:
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
Sectors:
Topics:
Wealth Manager
30 Mar 2026 Read more
30 Mar 2026 Read more
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Topics:
BankCrypto ExchangeFintech
Superintendent Peter Routledge participates in a fireside chat at Bank of America Expert Insights Series
Superintendent Peter Routledge participates in a fireside chat at Bank of America Expert Insights Series
Sectors:
Topics:
BankAsset ManagerWealth Manager
SAMA Licenses โAtyoun Litqniyat AlMalumat WalIttisalat AlMubtakirahโ Company to Provide Payment Services
SAMA Licenses โAtyoun Litqniyat AlMalumat WalIttisalat AlMubtakirahโ Company to Provide Payment Services
Sectors:
Topics:
Payment ProviderFintech
SEC Approves Amendment to NMS Plan to Further Reduce the Costs of the Consolidated Audit Trail
The Securities and Exchange Commission today approved an amendment to the National Market System Plan governing the Consolidated Audit Trail (โCATโ) and provided exemptive relief from certain requirements of Rule 17a-1 under the Securities Exchange Actโฆ
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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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Topics:
BankWealth Manager
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat fรผr Wirtschaft (SECO) hat eine รnderung der Liste der sanktionierten natรผrlichen Personen, Unternehmen und Organisationen der Verordnung vom 21. Mรคrz 2025 รผber Massnahmen gegenรผber 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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Topics:
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 EUโs 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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Topics:
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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Topics:
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
Sectors:
Topics:
Asset ManagerBank
FCA fines Dinosaur Merchant Bank Limited for market abuse surveillance failures
The FCA has fined Dinosaur Merchant Bank Limited (DMBL) ยฃ338,000 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 ...
Sectors:
Topics:
BankWealth ManagerAll Firms
Governor Gabriel Makhlouf Calls for Genuine Single Market to Mobilise Europeโs Savings
Governor Gabriel Makhlouf of the Central Bank of Ireland today emphasised the critical need to strengthen Europeโs Single Market as the foundation for mobilising the continentโs substantial savings in an increasingly fragmented global environment.
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Topics:
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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Topics:
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.
Sectors:
Topics:
BankFintechCrypto Exchange
Update to Discount Window Facility pricing โ 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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Topics:
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
Sectors:
Topics:
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
Sectors:
Topics:
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 Singaporeโs 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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Topics:
BankWealth ManagerFamily Office
Notice of Consultation Paper Release: CP 170
Notice of Consultation Paper Release: CP 170
Sectors:
Topics:
All Firms
Notice of Consultation Paper Release: CP 171
Notice of Consultation Paper Release: CP 171
Sectors:
Topics:
All Firms
SAMA Commences Licensing of Fintech Companies to Provide Open Banking Services
SAMA Commences Licensing of Fintech Companies to Provide Open Banking Services
Sectors:
Topics:
FintechBankPayment Provider
SAMA Licenses โAltknwlwjya aljadydh llhulul albrmjyhโ and โlyn tknwlwjyz Company Saudi Arabia litqniyat nuzum almaelumatโ to Provide Open Banking Services
SAMA Licenses โAltknwlwjya aljadydh llhulul albrmjyhโ and โlyn tknwlwjyz Company Saudi Arabia litqniyat nuzum almaelumatโ to Provide Open Banking Services
Sectors:
Topics:
FintechPayment Provider
International,Hosting Overseas Regulatory Officials at the Global Financial Partnership Center (28th Program: 12 Banking Regulatory Authorities)
No description available.
Sectors:
Topics:
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
Sectors:
Topics:
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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Topics:
Asset ManagerWealth ManagerBroker Dealer
Take control of your finances, one step at a time
No description available.
Sectors:
Topics:
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 weโre accelerating our ambition to be a smarter, more data-driven regulator.We will also use generative AI to support our efforts to modernise regula...
Sectors:
Topics:
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 firmsโ resolution reporting and disclosure requirements which reduces the burden of regulation while maintaining a robust and credible regime that supports growth and competition.
Sectors:
Topics:
BankWealth Manager
Pedro Machado: From vision to reality: turning the savings and investments union into Europeโs financial cornerstone
No description available.
Sectors:
Topics:
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...
Sectors:
Topics:
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
Sectors:
Topics:
BankAsset ManagerWealth Manager
SFC CEO re-appointed as Chair of IOSCO Asia-Pacific regional committee
No description available.
Sectors:
Topics:
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...
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Anneli Tuominen: Interview with Anneli Tuominen for Die Presse
No description available.
Sectors:
Topics:
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.
Sectors:
Topics:
BankBroker DealerAsset Manager
CFTC Staff Amends Brexit-Related No-Action Positions for Additional UK Trading Facilities
No description available.
Sectors:
Topics:
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
Sectors:
Topics:
Payment ProviderFintech
CSSF Newsletter No 302 โ March 2026
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Chairman Selig Announces Formation of New Innovation Task Force
No description available.
Sectors:
Topics:
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.
Sectors:
Topics:
BankCrypto ExchangeFintech
Pedro Machado: Changing the tune but not the tone: synthetic risk transfers in Europe
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Patrick Montagner: Physical risks and the role of insurance in risk mitigation
No description available.
Sectors:
Topics:
BankInsurance
Patrick Montagner: Making supervision more effective without compromising resilience
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Patrick Montagner: Embracing harmonisation and diversity
No description available.
Sectors:
Topics:
BankWealth ManagerAll Firms
Patrick Montagner: Banking supervision in a fragmented credit market: interconnections matter
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Anneli Tuominen: Upgrading banksโ capacity to deal with digital risks
No description available.
Sectors:
Topics:
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 ...
Sectors:
Topics:
BankWealth ManagerFintech
Wertede: BaFinย 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.
Sectors:
Topics:
BankFintechCrypto Exchange
Claudia Buch: Interview with Naftemporiki
No description available.
Sectors:
Topics:
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
Sectors:
Topics:
BankInsurance
Publication,FSA Weekly Review No.680 March 23, 2026
No description available.
Sectors:
Topics:
BankAsset ManagerInsurance
Mr Davy Reinard sworn in by the Minister of Finance as Director Resolution (only in French)
Press release 26/07
Sectors:
Topics:
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.
Sectors:
Topics:
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.
Sectors:
Topics:
BankWealth ManagerAsset Manager
Asset Purchase Facility: Gilt Sales โ 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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Topics:
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.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Letter from Claudia Buch, Chair of the Supervisory Board, to Mr Nikolas Farantouris, MEP, on banking supervision
No description available.
Sectors:
Topics:
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.
Sectors:
Topics:
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.
Sectors:
Topics:
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.Weโve taken this action following concerns about the suitability of the firmโs 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.
Sectors:
Topics:
BankFintechCrypto Exchange
Development of the banks' financial situation over the last years
Situation as at 31 December 2025
Sectors:
Topics:
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
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Development of the bank's balance sheet total
Situation as at 31 December 2025
Sectors:
Topics:
BankAsset ManagerWealth Manager
Quarterly development of employment in banks
Situation as at 31 December 2025
Sectors:
Topics:
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.
Sectors:
Topics:
BankFintechAsset Manager
List of members of the Investment Fund Managers Committee (Updated)
No description available.
Sectors:
Topics:
Asset ManagerWealth ManagerBank
International,The fourth meeting of the Japan-UK Financial Regulatory Forum
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Communication regarding management notifications and de-notifications with a European passport for Luxembourg-domiciled IFMs
No description available.
Sectors:
Topics:
Asset Manager
Issue 3 2026
No description available.
Sectors:
Topics:
BankBroker DealerCrypto Exchange
CFTC and MLB Sign Groundbreaking MOU
No description available.
Sectors:
Topics:
Broker DealerAll Firms
Bank Rate maintained at 3.75% - March 2026 Monetary Policy Summary and Minutes
The Bank of Englandโs Monetary Policy Committee is responsible for making decisions about Bank Rate.
Sectors:
Topics:
BankAsset ManagerWealth Manager
International,The Japan-Bermuda bilateral meeting on insurance
No description available.
Sectors:
Topics:
Insurance
Notification form for updating payment institutions/electronic money institutions information
No description available.
Sectors:
Topics:
Payment Provider
Highย Performanceย Batteryย Holdingย 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.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Strategic innovation drives growth of Hong Kongโs listing and digital asset markets: SFC Quarterly Report
No description available.
Sectors:
Topics:
Asset ManagerBroker DealerCrypto Exchange
Legal department - Consumer protection / financial crime (Updated)
Out-of-court consumer complaint resolution
Sectors:
Topics:
BankWealth ManagerFintech
Crowdfunding: the AMF reminds platforms of their complaint handling obligations
Asset management Crowdfunding: the AMF reminds platforms of their complaint handling obligations
Sectors:
Topics:
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 SECโs decision means that directors and officers of EEA FPIs will not be required to comply with these specifi...
Sectors:
Topics:
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
Sectors:
Topics:
Asset ManagerBank
Claudia Buch: Hearing of the Committee on Economic and Monetary Affairs of the European Parliament
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
ECB Annual Report on supervisory activities 2025
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
FCA confirms new incident and third party rules to bolster resilience
Weโve 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, ...
Sectors:
Topics:
BankFintechCrypto Exchange
ECB publishes supervisory banking statistics on significant institutions for the fourth quarter of 2025
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Supervisory Banking Statistics for significant institutions - Fourth quarter 2025
No description available.
Sectors:
Topics:
Bank
SFC publishes review on SEHKโs performance in regulating listing matters
No description available.
Sectors:
Topics:
All Firms
ASIC launches financial complaints data dashboard
ASIC launches financial complaints data dashboard
Sectors:
Topics:
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
Sectors:
Topics:
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 Commissionโs efforts to provideโฆ
Sectors:
Topics:
Crypto ExchangeFintech
Michael S. Selig, Chairman: 9th Annual DC Blockchain Summit
No description available.
Sectors:
Topics:
BankFintechCrypto Exchange
SEC Publishes Data on Public and Private Offerings, Municipal Advisors, Transfer Agents, and Securities-Based Swap Dealers
The Securities and Exchange Commissionโs 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 registeredโฆ
Sectors:
Topics:
Broker DealerAsset Manager
CFTC Joins SEC to Clarify the Application of Federal Securities Laws to Crypto Assets
No description available.
Sectors:
Topics:
Crypto ExchangeFintech
DORA โ Register of Information collection - Update
No description available.
Sectors:
Topics:
BankWealth ManagerAll Firms
CFTC Staff Issues No-Action Position to Self-Custodial Crypto Asset Wallet Software Provider
No description available.
Sectors:
Topics:
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
Sectors:
Topics:
BankWealth ManagerAsset Manager
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (March ๏ผ, 2026)
No description available.
Sectors:
Topics:
BankBroker DealerFintech
Publication,FSA Weekly Review No.679 March 17, 2026
No description available.
Sectors:
Topics:
BankFintechPayment Provider
Development of the balance sheet total and provisional net results of specialised PFS
Situation as at 31 January 2026
Sectors:
Topics:
BankAsset ManagerWealth Manager
Development of the balance sheet total and provisional net results of support PFS
Situation as at 31 January 2026
Sectors:
Topics:
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
Sectors:
Topics:
BankAsset ManagerWealth Manager
CFTC Chairman Selig Announces Jessica Harris as Director, Division of Data and Chief Data Officer
No description available.
Sectors:
Topics:
BankBroker DealerAll Firms
WhatsApp groups:ย BaFin investigates โFides Venturesโ and โNexquantโ
According to information available to the Federal Financial Supervisory Authority (BaFin), โFides Venturesโ 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 โFides Ventures Business Schoolโ. The unknown provider advertises by promoting a so-called โFIVS tokenโ, claiming that the token can be obtained on the cooperating crypto exchange โNexquantโ. The crypto exchange, also operating under the name โNex...
Sectors:
Topics:
BankFintechCrypto Exchange
eDesk โ Disruptions on Monday 16 March 2026
No description available.
Sectors:
Topics:
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
Sectors:
Topics:
BankWealth ManagerAsset Manager
SSM Calendar Claude Wampach โ 12/2025
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
ASIC urges Gen Z to โsense-checkโ money advice as social media fuels riskier financial decisions
ASIC urges Gen Z to โsense-checkโ money advice as social media fuels riskier financial decisions
Sectors:
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
Sectors:
Topics:
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 โSmarter trading with zero spreadsโ
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 antiโmoney...
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 Bรถrsenblick 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
Equityย Researchย Ventures PTE. LTD. (โAlleAktienโ): 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 โCo-Investment AlleAktien Wealth x SpaceXโ to the public in Germany without the required prospectus. These capital investments are being offered in the form of โother capital investmentsโ within the meaning of section 1 (2) no. 7 of the German Capital Investment Act (Vermรถgensanlagengesetz - 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 โAij Company for Financingโ
SAMA Licenses โAij Company for Financingโ
Sectors:
Topics:
Fintech
SAMA Licenses โWukad Solutions for Aggregation Servicesโ Company to Provide Finance Aggregation Services
SAMA Licenses โWukad Solutions for Aggregation Servicesโ 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 โGenialer Intelligenter Roboter 5.0โ trading system.
Sectors:
Topics:
BankFintechAll Firms
Aktualisierte Sanktionsmeldung: Taliban
Das Staatssekretariat fรผr Wirtschaft (SECO) hat eine รnderung der Liste der sanktionierten natรผrlichen Personen, Unternehmen und Organisationen der Verordnung vom 21. Mรคrz 2025 รผber Massnahmen gegenรผber 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:ย BaFinย 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 firmsโ 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 FCAโs 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 โdiscounted gold purchasesโ (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 (Vermรถgensanlagengesetz - VermAnlG), no prospectus has been...
Sectors:
Topics:
BankWealth ManagerAll Firms
BaFin warns consumers about the series of platforms with the slogan โInvest and trade 300+โ
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 EUโs 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 firmโs 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 โ 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 2026โฆThe Monetary Authority of Singapore (MAS) and the Economic Society of Singapore (ESS) today launched the MAS-ESS Essay Competition 2026. The theme for this yearโs competition is โSingaporeโs AI-Driven Economic Future: How can artificial intelligence reshape our industries, workforce, and competitive advantage while ensuring inclusive growth and managing disruption?โ.
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 Nasdaqโs New Office in Singapore on 9 March 2026
At the opening of Nasdaqโs 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 Multiโfaceted 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:ย 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.
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BankFintechCrypto Exchange
BaFin warns consumers about the series of platforms with the slogan โTrade Without Limits with 0 Spread Forex Brokerโ
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.
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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 Commissionโs 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 potentialโฆ
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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, andโฆ
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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...
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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...
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Wealth Manager
Regulators launch GenA.I. Sandbox++ to foster A.I. innovation across financial services
No description available.
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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. โAurenbridge Alliance (ABA)โ). 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.
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Topics:
BankFintechCrypto Exchange
SFC obtains compensation and disqualification orders against former executive director of Coolpad Group Limited
No description available.
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Topics:
BankBroker DealerAsset Manager
SFC drives Asia-Pacific regulatory consensus to strengthen market resilience through collaboration and new technology
No description available.
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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
Notice of Amendments to Legislation March 2026
Notice of Amendments to Legislation March 2026
Sectors:
Topics:
All 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 ...
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Asset ManagerWealth Manager
Patrick Montagner: Deepening integration, enhancing scale and completing the Single Market
No description available.
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BankAsset ManagerBroker Dealer
FCA fines John Wood Group PLC for issuing misleading statements
John Wood Group PLC (Wood Group) has been fined ยฃ12,993,700 for publishing inaccurate information in its financial results. Following the poor performance of certain projects, Wood Groupโs 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...
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All Firms
Examination of professional competence for โrรฉviseurs dโentreprisesโ (statutory auditors) โ 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
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Topics:
BankWealth ManagerFintech
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat fรผr Wirtschaft (SECO) hat eine รnderung der Verordnung vom 21. Mรคrz 2025 รผber Massnahmen gegenรผber 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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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...
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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...
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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.OPBASโs latest report found Professional Body Supervisors (PBSs) generally continue to demonstrate good levels o...
Effective Date: 31 December 2018
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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
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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 EUโs 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 ofโฆ
The DFSA reminds investors to exercise caution and prudence in periods ofโฆ
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Nasdaq Dubai reopens for trading effective Wednesday, 4 March 2026 at 10.00amโฆ
Nasdaq Dubai reopens for trading effective Wednesday, 4 March 2026 at 10.00amโฆ
Sectors:
Topics:
BankBroker DealerFintech
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:ย 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, peopleโs 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 โ 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 CSSFโs 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 โSofortiger Aimex/Saimex Tradeโ
The Federal Financial Supervisory Authority BaFin warns customers about online trading platforms that use the name โSofortiger Aimex/ Sofortiger Saimexโ. 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, 3โฆ
Temporary closure of Nasdaq Dubai effective Monday, 2 March 2026 and Tuesday, 3โฆ
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 โ Statement: 1 March 2026
DFSA Reminder: Current DFSA Working arrangements โ 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 SECโFSA Dialogue builds upon longstanding efforts between the twoโฆ
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 UKโs 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 Authorityโs (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 EUโs 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. ETโฆ
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 โsmart it Worldโ and โsmart it Sprintโ. 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 (โsm...
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 โProject Manager of ASP Investment Management Companyโ. 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 โSaudi Economistsโ Track Under SPP
SAMA Announces Opening of Applications for โSaudi Economistsโ Track Under SPP
Sectors:
Topics:
Bank
Identity fraud against Ultramarin Capitalย 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 borrowersโ 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 consumersโ credit files and ensure these more accurately reflect peopleโs 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 Kongโs 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:ย BaFinย 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.
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BankFintechCrypto Exchange
Identity theft:ย BaFinย 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...
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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...
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Insurance
SFC obtains worldwide court orders in Hong Kong and England and Wales to freeze suspectsโ assets up to HK$4.3 million in alleged insider dealing
No description available.
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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
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Asset ManagerWealth ManagerBank
Polygreen Establishes Regional Holding Company In Adgm
Polygreen Establishes Regional Holding Company In Adgm
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BankWealth ManagerFintech
Written reply to Parliamentary Question on Circulation of Five-Cent Coins
Written reply to Parliamentary Question on Circulation of Five-Cent Coins
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BankPayment ProviderAll Firms
CFTC Chairman Selig Announces Senior Staff Appointments
No description available.
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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.
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BankWealth ManagerFintech
Covered bond issue programme Authorisation Application Form (only in French)
Conditions relating to the organisation of the credit institution issuing covered bonds
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Bank
Covered bond issue programme Authorisation Application Form
Conditions specific to each covered bond issue programme
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Bank
Launch of a dedicated page for the Luxembourgish covered bonds (โlettres de gageโ) framework on the CSSF website
No description available.
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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.
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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 ยฃ3,750 and ordered to pay costs of ยฃ5,778.18.Biggs Chris was fined ยฃ600 and ordered to pay costs of ยฃ1,000.Jam...
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Asset ManagerWealth ManagerFintech
Tethys Investment Alliance: BaFinย 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 โTethys Investment Alliance 771โ and โTethys Investment Alliance-S62โ, the websites โtethys-alliance.deโ and โtethys-uberblick.comโ as well as the apps โQVTCoineseโ und โQVTCoinese Proโ, 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 ...
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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 โDr Feldmannโ and his assistant โLina Weissโ. According to information available to BaFin, the operator BlueOcean Asset Management Ltd. is providing financial and investment services without the required authorisation.
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Asset Manager
Councils,The second meeting of the Expert Panel on the Revision of the Corporate Governance Code (2025-2026)
No description available.
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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
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BankBroker DealerAsset Manager
Global situation of undertakings for collective investment at the end of December 2025
Press release 26/04
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Asset ManagerBankWealth Manager
Frank Elderson: Interview with Bloomberg
No description available.
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BankAsset ManagerWealth Manager
Publication,FSA publishes English translation of monthly magazine, Access FSA No.268
No description available.
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All Firms
Publication,FSA publishes English translation of monthly magazine, Access FSA No.267
No description available.
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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.
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BankFintechCrypto Exchange
BaFinย 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.
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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.
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FintechCrypto ExchangeAll Firms
Aktualisierte Sanktionsmeldung
Das Eidgenรถssische Departement fรผr Wirtschaft, Bildung und Forschung (WBF) hat den Anhang der Verordnung vom 10. April 2024 รผber Massnahmen gegenรผber Personen und Organisationen, welche die Hamas oder den Palรคstinensischen Islamischen Dschihad unterstรผtzen (SR 946.231.09), geรคndert.
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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 EUโs 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 ...
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BankBroker Dealer
SEC Proposes Amendments to Reduce Burdens in Reporting of Fund Portfolio Holdings
No description available.
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Asset ManagerBroker DealerWealth Manager
CSSF Newsletter No 301 โ February 2026
No description available.
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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 ...
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Asset ManagerWealth ManagerBank
SSM Calendar Claude Wampach โ 11/2025
No description available.
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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.
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Topics:
Crypto ExchangeFintech
P&L Invest Holding AG:ย BaFinย 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.
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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.ร .r.l. - Frankfurt Branch or any other company belonging to Intermediate Capital G...
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BankFintechCrypto Exchange
Alain Girard to assume leadership of FINMAโs 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 Brรถnnimann, who oversaw the Banks division on an interim basis, will now assume leadership of the Recovery and Resolution division on an interim basis.
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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
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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
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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
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Wealth Manager
CFTC Reaffirms Exclusive Jurisdiction over Prediction Markets in U.S. Circuit Court Filing
No description available.
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Broker DealerCrypto Exchange
Chairman Selig: Op-Ed | States Encroach on Prediction Markets
No description available.
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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
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BankPayment Provider
ECB welcomes extension of Frank Eldersonโs term as Vice-Chair of the Supervisory Board
No description available.
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BankAll Firms
BaFin warns consumers about the series of platforms that claim: โThe [platform name] label holds authorization in multiple global jurisdictions and stands as a reputable online brokerage for Forex and CFDs.โ
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.
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BankBroker DealerFintech
ASIC cancels AFS licence of Superfast AM Pty Ltd
ASIC cancels AFS licence of Superfast AM Pty Ltd
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Asset ManagerWealth ManagerBroker Dealer
DORA โ Submission timeframe for register of information for third-country branches of credit institutions having their head office in a third country
No description available.
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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
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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
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Bank
Publication,FSA Weekly Review No.675 February 16, 2026
No description available.
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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 โ Termination of the operation of a branch under Article 33 of Directive 2011/61/EU (AIFMD)
Version 1
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Asset ManagerBank
CSSF Annex โ Termination of the operation of a branch under Article 17 of Directive 2009/65/EC (UCITSD)
Version 1
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Asset ManagerBank
FCA fines former chief executive of Carillion plc (in liquidation)
The FCA has fined Richard Howson ยฃ237,700 for his part in misleading statements being issued by Carillion plc. As group chief executive, Mr Howson was aware of serious financial troubles in Carillionโs 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 FCAโs decision.Mr Howson was one of two executive directors on Carillionโs Board. His...
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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.
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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.
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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.
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BankAsset ManagerBroker Dealer
CSSF Annex to the Notification Letter under Articles 17 and 18 of the UCITS Directive (Updated)
Version 3.1
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Asset ManagerBank
CSSF Annex to the Notification Letter under Article 33 of the AIFMDย ย ย ย ย ย ย ย ย (Updated)
Version 3.1
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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 EUโs financial markets regulator and supervisor, has published today its latest edition of the Spotlight on Markets Newsletter. This edition opens with ESMAโs 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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Asset ManagerBroker DealerCrypto Exchange
SEC Announces 45th Annual Small Business Forum to Improve Capital-Raising Policy
The Securities and Exchange Commission will host the agencyโs 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. โฆ
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Asset ManagerBroker DealerFintech
Slides from Huw Pillโs fireside chat at Santander UKโs macroeconomic event
Slides by Huw Pill
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BankAsset ManagerWealth Manager
Basic statistical data on UCIs โ December 2025 (only in French)
No description available.
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Asset ManagerWealth Manager
Minutes of the Market Participants Group meeting โ 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 Englandโs Monetary Policy Committee.
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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
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Asset Manager
Charge against NSW director dismissed
Charge against NSW director dismissed
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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
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Broker DealerAll Firms
Net assets of UCIs
Situation as at 31 December 2025
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Asset ManagerBankWealth Manager
Breakdown according to currency
Situation as at 31 December 2025
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Asset ManagerBankWealth Manager
Origin of UCI initiators in Luxembourg
Situation as at 31 December 2025
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Asset ManagerWealth Manager
Development of net assets and number of UCIs
Situation as at 31 December 2025
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Asset ManagerWealth Manager
Number of UCIs
Situation as at 31 December 2025
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BankAsset ManagerWealth Manager
Investment policy of UCIs
Situation as at 31 December 2025
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Asset ManagerWealth Manager
List of UCI and SIFs having a sharia-compliant policy (only in French) (Updated)
No description available.
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Asset ManagerWealth Manager
Net assets of UCIs according to SFDR (Updated)
Situation as at 31 December 2025
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Asset ManagerWealth Manager
Workgroup convened to enhance Singaporeโs ecosystem for Growth Capital
Singapore, 13 February 2026โฆ 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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BankAsset ManagerBroker Dealer
CFTC Announces Innovation Advisory Committee Members
No description available.
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Crypto ExchangeFintech
ASIC imposes licence conditions on Corpay subsidiary following compliance failures
ASIC imposes licence conditions on Corpay subsidiary following compliance failures
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BankPayment Provider
12 Feb 2026 Read more
12 Feb 2026 Read more
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Broker DealerWealth ManagerBank
Reply to Adjournment Motion on โAn Industrial Policy in Financeโ 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 โAn Industrial Policy in Financeโ 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
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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.
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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
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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
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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
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BankFintechAll Firms
The DFSA publishes Crypto Token FAQs to support implementation of updatedโฆ
The DFSA publishes Crypto Token FAQs to support implementation of updatedโฆ
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
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Claudia Buch: AMLA and ECB Banking Supervision: strengthening cooperation
No description available.
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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
โCyprus: from crisis to growthโ
No description available.
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BankWealth ManagerAll Firms
Report on declared time commitment of non-executive directors in the SSM
No description available.
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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...
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FintechPayment Provider
SFC launches trading initiatives to boost digital asset market vibrancy in Hong Kong
No description available.
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Crypto ExchangeBroker Dealer
ECB appoints Thomas Broeng Jorgensen as Director General Specialised Institutions and Less Significant Institutions
No description available.
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BankAsset Manager
DORA โ Submission timeframe for register of information โ 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)
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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.
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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
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BankAsset ManagerBroker Dealer
Notifications sent by the CSSF to the competent authorities of other EEA Member States
Situation from January 2025 to January 2026
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BankAsset ManagerBroker Dealer
Notifications received by the CSSF from the competent authorities of other EEA Member States
Situation from January 2025 to January 2026
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BankAsset ManagerBroker Dealer
CSSF approvals of prospectuses
Situation from January 2025 to January 2026
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Asset ManagerBankBroker Dealer
SFC cautions against ramp and dump schemes involving impersonation of stock commentators
No description available.
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Asset ManagerBroker DealerBank
Foreign Currency Reserves 2026 โ 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
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BankBroker DealerAsset Manager
Publication,FSA publishes English translation of monthly magazine, Access FSA No.266
No description available.
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All Firms
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (February 3, 2026)
No description available.
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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...
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Crypto Exchange
FCA fines two individuals a combined ยฃ108,731 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 ยฃ52,731, and Mr Hirani has been fined ยฃ56,000.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...
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Broker DealerAsset Manager
Patrick Montagner: Interview with MLex
No description available.
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BankAsset ManagerWealth Manager
SFC obtains compensation and disqualification orders against former directors of Arta TechFin Corporation Limited
No description available.
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BankBroker DealerAsset Manager
Active exploitation of vulnerabilities on Ivanti Endpoint Manager Mobile (EPMM)
CVE-2026-1281 & CVE-2026-1340
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Topics:
BankWealth ManagerFintech
Former director of NDIS provider charged with dishonesty offences
Former director of NDIS provider charged with dishonesty offences
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Topics:
BankWealth ManagerFintech
Development of the balance sheet total and provisional net results of specialised PFS
Situation as at 31 December 2025
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Topics:
BankAsset ManagerWealth Manager
Quarterly development of employment in specialised PFS
Situation as at 31 December 2025
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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 DFSAโs decision to impose a fine on Alโฆ
Financial Markets Tribunal upholds the DFSAโs decision to impose a fine on Alโฆ
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Broker DealerBankWealth Manager
Publication,FSA Weekly Review No.674 February 9, 2026
No description available.
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BankAsset ManagerBroker Dealer
PSD2 - PSP ICT Assessment โ 2026 Campaign related to the financial year 2025
No description available.
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Topics:
Payment Provider
Volfor:ย 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.
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BankFintechCrypto Exchange
Foreign Currency Reserves 2026 โ 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
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BankBroker DealerAsset Manager
Masterminds jailed up to 24 months in securities fraud case involving social media โstock tipsโ of alleged ramp-and-dump schemes
No description available.
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Broker DealerBank
The Autoritรฉ des Marchรฉs Financiers publishes the findings of its inspections of asset management companies' operational risk management
Supervision Asset management Journalists Investment management companies The Autoritรฉ des Marchรฉs Financiers publishes the findings of its inspections of asset management companies' operational risk management
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Asset ManagerBank
Sharon Donnery: Interview with the Business Post
No description available.
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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
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Broker DealerWealth ManagerAll Firms
Regulated People and Entities
Regulated People and Entities
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BankAsset ManagerInsurance
Procurement
Procurement
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BankWealth ManagerFintech
Curatorships
Curatorships
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Asset ManagerWealth ManagerBank
Language Policy and Services
Language Policy and Services
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BankAsset ManagerInsurance
Financial Services Tribunal
Financial Services Tribunal
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BankAsset ManagerInsurance
PAIA and POPIA Requests
PAIA and POPIA Requests
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BankWealth ManagerAll Firms
Subscriptions
Subscriptions
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BankWealth ManagerFintech
FSCA Speech Competition
FSCA Speech Competition
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All Firms
FSCA Money Smart Week
FSCA Money Smart Week
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All Firms
FSCA MyMoney
FSCA MyMoney
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BankFintechAll Firms
Trustee Toolkit
Trustee Toolkit
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Insurance
Related Websites
Related Websites
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BankWealth ManagerAsset Manager
Supervisory Information
Supervisory Information
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BankAsset ManagerInsurance
Comments Portal
Comments Portal
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BankWealth ManagerAll Firms
Submit an enquiry or complaint
Submit an enquiry or complaint
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All Firms
CFTC Staff Reissues Letter 25-40 Updating Payment Stablecoin Definition
No description available.
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BankFintechPayment Provider
WhatsApp groups and trading app: BaFin warns consumers about identity fraud in connection with the use of the app โIB-Kundendienstโ
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.
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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.
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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.
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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 websiteโs operators are using it to offer banking business and/or financial services without the required authorisation. The operators are not supervised by BaFin.
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BankFintechCrypto Exchange
SFC convenes third Digital Asset Consultative Panel meeting
No description available.
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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.
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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
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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.
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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
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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
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Topics:
Broker DealerWealth ManagerAll Firms
List of fund units subject to Regulation 2013/346 on European Social Entrepreneurship Funds (EuSEF)
No description available.
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Asset ManagerWealth Manager
List of fund units subject to Regulation 2013/345 on European Venture Capital funds (EuVECA)
No description available.
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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.
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Asset ManagerWealth Manager
IFM - Tied agent notification and change of tied agent particulars notification form (Updated)
Version 2.1
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Asset ManagerWealth Manager
The DFSA fines Ark Capital Management (Dubai) Limited USD 504,000 for marketโฆ
The DFSA fines Ark Capital Management (Dubai) Limited USD 504,000 for marketโฆ
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 Commissionโs 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, andโฆ
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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
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Topics:
Crypto ExchangeFintech
Bank Rate maintained at 3.75% - February 2026 Monetary Policy Summary and Minutes
The Bank of Englandโs Monetary Policy Committee is responsible for making decisions about Bank Rate.
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Topics:
BankAsset ManagerWealth Manager
Reappointment of Claude Marx as Director General of the CSSF
Press release 26/03
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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...
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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.
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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).
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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 donโt 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...
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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.
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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.
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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.
Sectors:
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-Josรจphe-Vanel thesis prize in law to Vincent Ramonรฉda
Institutional Regulatory developments Financing the economy Other professionals Journalists Listed companies and issuers The AMF awards its Marie-Josรจphe-Vanel thesis prize in law to Vincent Ramonรฉda
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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 FCAโs 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 ยฃ4m, ยฃ352,000 and ยฃ14,200 were appropriate for Rangecourt SA, Mr Rowland and Mr Bolelyy respectively. The Tribunal also upheld the FCAโs 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
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Topics:
Asset ManagerBroker Dealer
Patrick Montagner: Encouraging innovation, managing risks: the ECBโs 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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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 lโAgefi
No description available.
Sectors:
Topics:
BankAsset ManagerInsurance
Falling cost of premium finance saving consumers around ยฃ157m a year
People who pay monthly for their insurance are saving around ยฃ157m 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 ยฃ8 on a typical motor policy and ยฃ3 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
Sectors:
Topics:
BankWealth ManagerFintech
Reply to Adjournment Motion on โMake (Singapore) Equities Great Againโ 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 โMake (Singapore) Equities Great Againโ 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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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.
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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 firmsโ 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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Topics:
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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Topics:
FintechPayment Provider
SFC forges stronger industry collaboration to shape a compliant and innovative future
No description available.
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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.
Sectors:
Topics:
BankInsurance
Council Implementing Regulation (EU) 2026/259 of 29 January 2026
implementing Regulation (EU) 2024/2642 concerning restrictive measures in view of Russiaโs 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:ย BaFinย warns against offers on the website pc-asset-management[.]com, in the app โPCAU pro,โ and in WhatisApp groups
In the WhatsApp groups, investors are recommended by โHarrison T Blakeโ and โFrancesca Mรผllerโ to invest in financial instruments that can then be traded via the aforementioned app or the platform pc-asset-management[.]com.
Sectors:
Topics:
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 andโฆ
The DFSA fines reinsurance broker USD 455,176 for engaging in misleading andโฆ
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). Georgeโฆ
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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.
Sectors:
Topics:
Asset ManagerInsuranceBank
Council Implementing Regulation (EU) 2026/259 of 29 January 2026
implementing Regulation (EU) 2024/2642 concerning restrictive measures in view of Russiaโs 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
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Topics:
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 โalhulul almuntilaqaโ Company to Provide Consumer Microfinance Solutions
SAMA Licenses โalhulul almuntilaqaโ 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
Sectors:
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 EUโs 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 ...
Sectors:
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 EUโs 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 โ 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...
Sectors:
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 OSFIโs Quarterly Release Day
Theresa Hinz, Executive Director of Policy and Risk Response, delivers remarks for OSFIโs Quarterly Release Day
Sectors:
Topics:
BankAsset ManagerWealth Manager
OSFIโs Quarterly Release: continuing to advance smart, well-calibrated risk-taking
OSFIโs 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 โฌ23.7m. The sale of Spencer Dock was a key element of the Central Bankโs 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 IMFโs 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 โRisks in BaFinโs Focusโ, 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 โฆ
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 UAEโs 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 FCAโs 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...
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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 CFTCโฆ
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
SAMAโs Decision on Repo and Reverse Repo Rates
SAMAโs Decision on Repo and Reverse Repo Rates
Sectors:
Topics:
BankWealth Manager
SAMA Licenses โTabby financeโ Company to Engage in BNPL Activity
SAMA Licenses โTabby financeโ Company to Engage in BNPL Activity
Sectors:
Topics:
FintechPayment Provider
SAMA Licenses โDarb Pay for Information Technologyโ to Provide Payment Services
SAMA Licenses โDarb Pay for Information Technologyโ to Provide Payment Services
Sectors:
Topics:
Payment Provider
SAMA Seeks Public Consultation on the Draft Update to the โOversight Framework for Payment Systems and Their Operatorsโ
SAMA Seeks Public Consultation on the Draft Update to the โOversight Framework for Payment Systems and Their Operatorsโ
Sectors:
Topics:
Payment Provider
SAMA Revokes the License of โFas Finance Companyโ
SAMA Revokes the License of โFas Finance Companyโ
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 โMadd Balasโ Company to Provide Debt-Based Crowdfunding Solutions
SAMA Licenses โMadd Balasโ 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 Cboeโs listing application to bolster competition in public markets
ASIC approves Cboeโs 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
ASICโs annual report reveals strong growth in enforcement action and investigations and keen focus on strengthening markets
ASICโs 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 ASICโs claims against former Freedom Insurance director and consultant
Federal Court dismisses ASICโs 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 directorโs duties and providing false and misleading documents
Construction industry director charged with breach of directorโs 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 2024โ25 as part of expanded program of work
ASIC highlights financial reporting and audit findings for FY 2024โ25 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 directorโs duties
ASIC sues former Electro Optic Systems Holdings director and CEO Ben Greene for breach of directorโs 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 Australiaโs financial markets in response to ASX Inquiry interim report
ASIC announces transformational package to safeguard Australiaโs 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 โpump and dumpโ case
Market riggers sentenced in ASX โpump and dumpโ 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 Aurichtโs liquidator registration cancellation overturned on appeal, substituted with five-year suspension
Richard Ernest Aurichtโs 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 Petrovicโs ban varied to three years
Former United Global Capital financial adviser Milutin Petrovicโs ban varied to three years
Sectors:
Topics:
Wealth ManagerAsset Manager
Fund manager sentenced to 6 yearsโ jail in $3 million Platinum Asset Management insider trading case
Fund manager sentenced to 6 yearsโ jail in $3 million Platinum Asset Management insider trading case
Sectors:
Topics:
Asset ManagerBroker Dealer
Chairman Selig to Sponsor the CFTCโs 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 theโฆ
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 Commissionโs 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 beโฆ
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% ($37.6โฆ
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 SECโs Investor Advisory Committee, established pursuant to Section 39 of the Securities Exchange Act of 1934 to help protect investors and improve securitiesโฆ
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
Leadingย Assetย Management: BaFin warns consumers about WhatsApp groups and the LAMย 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
Aureusย 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:ย 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 agencyโs Small Business Capital Formation Advisory Committee, which provides advice and recommendations to the Commission on rules, regulations, andโฆ
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 rulemakingโฆ
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.โChristina brings her deep technicalโฆ
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: Americaโs 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 divisionโs Deputy Director, Actingโฆ
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 FCAโs 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 ECBโs 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 ยฃ2,037,892 has been upheld by the Upper Tribunal. The FCA's decision to ban Darren Antony Reynolds from working in financial services and fine him ยฃ2,037,892 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 customersโ 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 Institutionsโ Services
SAMA Issues Fees Guide for Financial Institutionsโ 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 โBridging Knowledge & Building the Nationโ at ADFW 2025
ADGM Academy Hosts groundbreaking activities under the theme โBridging Knowledge & Building the Nationโ 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
โCourageโ Takes Centre Stage at RESOLVE 2025 as Experts Tackle Dispute Resolution in a Digital Era
โCourageโ 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 Dhabiโs Next Decade of Growth with Over 35,000 Attendees
ADFW 2025 Delivers its Most Successful Edition, Showcasing Abu Dhabiโs 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 Dhabiโs Dispute Resolution Community Expands
APIAC and Opus 2 Announce Office Openings in the ADGM Dispute Resolution Hearing Centre as Abu Dhabiโs 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
ADGMโs FSRA issues alert concerning fraudulent scheme and false and misleading claims - SGV Advisory FZ LLC or Strategic Global Ventures
ADGMโs FSRA issues alert concerning fraudulent scheme and false and misleading claims - SGV Advisory FZ LLC or Strategic Global Ventures
Sectors:
Topics:
BankWealth ManagerFintech
ADGMโs Registration Authority Reshapes Services in the Real Estate Sector
ADGMโs 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 FCAโs proposals to distribute Asset Land investor funds
On 19 December 2025 the High Court approved the FCAโs 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 โParagonix Edgeโ 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:ย BaFinย 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.
Sectors:
Topics:
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.
Sectors:
Topics:
BankFintechAll Firms
Identity fraud:ย BaFinย 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...
Sectors:
Topics:
BankFintechCrypto Exchange
FCA fines oil rig consultant ยฃ309,843 for insider dealing
The FCA has fined Russel Gerrity ยฃ309,843 for using inside information to net himself ยฃ128,765. 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...
Sectors:
Topics:
Broker DealerAsset Manager
Central Bank of Ireland and Banca dโItalia launch first joint Innovation Data Challenge
Central Bank of Ireland and Banca dโItalia 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...
Sectors:
Topics:
FintechPayment Provider
ECB advances climate and nature work after delivering on 2024-2025 plan
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
SFC warns public of suspicious AI-themed investment product offered by Gold Fun and Angel Guardian Alliance Technology
No description available.
Sectors:
Topics:
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
Sectors:
Topics:
BankAsset ManagerWealth Manager
parex-am(.)com:ย 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.
Sectors:
Topics:
BankCrypto Exchange
J. Russell McGranahan Named SEC General Counsel
The Securities and Exchange Commission today announced that J. Russell โRustyโ McGranahan has been named SEC General Counsel. As the SECโs chief legal officer, Mr. McGranahan will oversee the provision of legal expertise and advice to the Office of theโฆ
Sectors:
Topics:
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 Russiaโs actions destabilising the situation in Ukraine
Sectors:
Topics:
BankWealth ManagerAsset Manager
BaFinย 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:
Topics:
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.
Sectors:
Topics:
BankInsuranceAll Firms
Letter from Gareth Truran and Shoib Khan โ Insurance Supervision: 2026 priorities
Letter to Chief Executive Officers of PRA-regulated Insurance firms
Sectors:
Topics:
Insurance
Letter from Rebecca Jackson and Alison Scott โ International Banks Supervision: 2026 priorities
Letter to Chief Executive Officers of PRA regulated international banks active in the UK
Sectors:
Topics:
BankWealth Manager
Letter from Charlotte Gerken and Laura Wallis โ UK Deposit Takers Supervision: 2026 priorities
Letter to Chief Executive Officers of PRA regulated UK deposit takers
Sectors:
Topics:
Bank
SSM Calendar Claude Wampach โ 10/2025
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
Five Pillars DeFi: BaFinย 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 โcrypto debit cardsโ and staking using Five Pillars Tokens.
Sectors:
Topics:
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...
Sectors:
Topics:
Asset ManagerBroker DealerBank
Publication,FSA Weekly Review No.670 January 14, 2026
No description available.
Sectors:
Topics:
BankFintechCrypto Exchange
Telegram groups and trading app: BaFin warns consumers about identity theft in connection with the apps โNYLIโ and โNYLIPLUSโ
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 โMacKay Shieldsโ. This is a case of identity fraud.
Sectors:
Topics:
BankWealth ManagerFintech
WhatsApp groups and trading app: BaFin warns consumers about identity theft in connection with the app โPayDenProโ
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 โPayden & Rygelโ. This is a case of identity theft misusing the names of real employees.
Sectors:
Topics:
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 โ 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:
Topics:
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:
Topics:
BankCrypto Exchange
BaFinย 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:
Topics:
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 UKโs CTP regime.
Sectors:
Topics:
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
ESMAโs Digital and Data strategies support supervision of EU financial markets
ESMAโs 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 EUโs financial markets regulator and supervisor, has adopted a new Digital Strategy and updated its Data Strategy . They reflect ESMAโs commitment to smarter regulatory reporting and technology-driven supervision, promote synergies and innovation while reducing unnecessary complexity. The digital strategy...
Sectors:
Topics:
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.
Sectors:
Topics:
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.
Sectors:
Topics:
Bank
DFSA to host webinar on updated Crypto Token framework and DIFCโs digital assetsโฆ
DFSA to host webinar on updated Crypto Token framework and DIFCโs digital assetsโฆ
Sectors:
Topics:
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...
Sectors:
Topics:
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
Sectors:
Topics:
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:
Topics:
Crypto ExchangeBankFintech
The DFSA implements major updates to Crypto Token Regulatory Framework,โฆ
12 JAN 2026, 07:30 AM The DFSA implements major updates to Crypto Token Regulatory Framework,โฆ
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 isโฆ
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
FCA obtains ยฃ265,523.96 confiscation order against Collateral fraudster Andrew Currie
The FCA has secured a confiscation order of ยฃ265,523.96 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 ยฃ265,523.96. This amount represen...
Sectors:
Topics:
BankWealth ManagerFintech
Finfluencers โ Tips for responsible promotion
No description available.
Sectors:
Topics:
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.
Sectors:
Topics:
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:
Topics:
Asset ManagerWealth ManagerBank
Identity fraud:ย BaFinย 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.
Sectors:
Topics:
BankFintechCrypto Exchange
SEC Publishes Staff Report on Capital-Raising Dynamics
The Securities and Exchange Commissionโs 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 dynamicsโฆ
Sectors:
Topics:
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 โ 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.
Sectors:
Topics:
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...
Sectors:
Topics:
Asset ManagerWealth ManagerInsurance
2026 fines
This page contains information about fines published during 2026. The total amount of fines so far is ยฃ371,700. Firm or individual finedDateAmountReasonRichard Adam07/01/2026ยฃ232,800The 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 Khan07/01/2026ยฃ138,900The Final Notice refers to knowing concern in breaches of Article 15 of the Market Abuse Regulations, Listing Ru...
Sectors:
Topics:
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 โBCAAT,โ 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.
Sectors:
Topics:
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...
Sectors:
Topics:
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).
Sectors:
Topics:
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.
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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.
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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 ...
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BankFintechCrypto Exchange
blauline(.)ai:ย 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 Carillionโs 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 ยฃ232,800 and ยฃ138,900, 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 โ 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.
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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 EUโs 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
ESAsโ 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)
ESAsโ 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 (โThe Boardโ) of the European Supervisory Authorities (ESAs) โ the EBA, ESMA, EIOPA โ 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 Insurersโ 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 โ 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 Vermรถgensverwaltungsย KG: suspected offer to the public of shares in AuAย 24ย AG without the required prospectus
The Federal Financial Supervisory Authority (BaFin) has sufficient grounds to suspect that TPK Vermรถgensverwaltungs 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.โCicely has gone above and beyond the call of duty over the past twenty-four years to serveโฆ
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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 creditorsโ 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 โRBC NLโ: 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 โS373 Robeco Kernmitgliedergruppeโ, โM2 Robeco Value Investing Kreisโ and โ999 Robeco Investment Strategiezentrum - Blockhandelโ, which are allegedly operated by the Frankfurt a.M.-based company Robeco Deutschland, Zweigniederlassung der Robeco Institutional Asset Management B.V. (โRobecoโ). In the WhatsApp groups consumers are enticed to trade financial products via the app โRBC NLโ. 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 Committeeโs Digital Asset Markets Subcommittee
No description available.
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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 Investmentโฆ
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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 EUโs 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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BankBroker DealerCrypto Exchange
Asset Purchase Facility: Gilt Sales โ 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.
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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 โ 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.
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BankBroker DealerAsset Manager
UAE Sustainable Finance Working Group Publishes Fourth Statement During Abuโฆ
19 DEC 2025, 10:55 AM UAE Sustainable Finance Working Group Publishes Fourth Statement During Abuโฆ
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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 โ 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:ย BaFinย warns consumers about the websiteย 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.
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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 EUโs 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, ESMAโs Executive Director, said: โTodayโs announcement...
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โThe Year That Was and Will Beโ
In this, his final blog for 2025, Governor Gabriel Makhlouf reflects on Ireland and the euro areaโs 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 โ[...] invest your money in the world of cryptocurrencies with [...]โ. BaFin suspects the unknown operators of offering consumers cryptoasset services without the required authorisation. The websites have the same text design and layout.
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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 โ 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 Englandโs 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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Topics:
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 ofโฆ
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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 Commissionโs 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:Anโฆ
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Asset ManagerBroker DealerCrypto Exchange
ECB proposes to extend Frank Eldersonโs 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 EUโs 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 ESMAโs 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
Weโre 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 UKโs 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 โ and should not โ 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 โVideo and online identificationโ
On 16 December 2025, the Swiss Financial Market Supervisory Authority FINMA launched the consultation on the partially revised Circular 2016/7 โVideo and online identificationโ. 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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Topics:
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 โ 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 banksโ 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 Englandโs Court of Directors and Dame Anne Glover and Diana Noble reappointed as NonโExecutive 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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Topics:
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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Topics:
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 ECBโs 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 controlsโBlackridge, LLC, Gray Digital Capital Management USA, LLC, and Gray Digital Technologies, LLCโwith orchestrating two fraudulent securitiesโฆ
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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 Austinโฆ
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Broker DealerAll Firms
PRA letter to the Prime Minister - December 2025
The Prudential Regulation Authorityโs (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 FINMAโs 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 โ 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 โ 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 โ 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.โI have known Lori forโฆ
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Asset ManagerBroker DealerWealth Manager
Update to lending and deposit spread of the Operational Standing Facility โ 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
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08 Dec 2025 Read more
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ECB concludes asset quality review of Raiffeisen-Holding Niederรถsterreich-Wien
No description available.
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Topics:
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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Topics:
BankAsset ManagerBroker Dealer
SEC Announces Agenda and Panelists for Roundtable on Financial Surveillance and Privacy
The Securities and Exchange Commissionโs Crypto Task Force has announced the agenda and panelists for its rescheduled Roundtable on Financial Surveillance and Privacy.โNew technologies give us a fresh opportunity to recalibrate financial surveillanceโฆ
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 17โฆ
Sectors:
Topics:
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).
Sectors:
Topics:
BankWealth ManagerFintech
Mutuals landscape report
This report has been informed by the PRA and FCAโs ongoing regulation and supervision of mutuals and by direct engagement with mutuals and their trade associations in sessions around the country throughout 2025.
Sectors:
Topics:
BankAsset ManagerWealth Manager
The Autoritรฉ des Marchรฉs Financiers takes note of the Cour de Cassation ruling in the Vivendi SE case
Financial disclosures & corporate financing Journalists Listed companies and issuers The Autoritรฉ des Marchรฉs Financiers takes note of the Cour de Cassation ruling in the Vivendi SE case
Sectors:
Topics:
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.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Rรฉmi Bouchez, the new Ombudsman of the Autoritรฉ des Marchรฉs Financiers
Mediation Appointment Institutional Other professionals Executive & other private individuals Retail investors Journalists Investment services providers Investment management companies Listed companies and issuers ...
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
Global situation of undertakings for collective investment at the end of October 2025
Press release 25/19
Sectors:
Topics:
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 โ November 2025
Exchange of letters between the Governor and the Chancellor
Sectors:
Topics:
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:
Topics:
BankAsset ManagerWealth Manager
Supply-chain attack using NPM packages
Press release 25/18
Sectors:
Topics:
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
Sectors:
Topics:
Bank
2025 list of UK headquartered Globally Systemically Important Institutions (G-SIIs)
The PRA disclosure of UK headquartered G-SIIs for 2025.
Sectors:
Topics:
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:
Topics:
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.
Sectors:
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
Sectors:
Topics:
BankAsset ManagerWealth Manager
Patrick Montagner: Supervision in uncertain times: vigilance, governance and the case for effective supervision
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Swiss Takeover Board: Beat Fellmannโs term of office extended by one year
The Board of Directors of the Swiss Financial Market Supervisory Authority FINMA has extended Beat Fellmannโs term of office by one year until the end of 2026.
Sectors:
Topics:
BankWealth Manager
The Autoritรฉ des Marchรฉs Financiers has amended its doctrine to clarify its expectations of ELTIFs
Asset management Collective investments The Autoritรฉ des Marchรฉs Financiers has amended its doctrine to clarify its expectations of ELTIFs
Sectors:
Topics:
Asset Manager
New DFSA Thematic Review: Continuing Professional Development for Moneyโฆ
27 NOV 2025, 10:25 AM New DFSA Thematic Review: Continuing Professional Development for Moneyโฆ
Sectors:
Topics:
Asset ManagerWealth ManagerBank
DFSA and HKMA co-host second Joint Climate Finance Conference, showcasingโฆ
26 NOV 2025, 03:15 PM DFSA and HKMA co-host second Joint Climate Finance Conference, showcasingโฆ
Sectors:
Topics:
BankAsset ManagerFintech
Remit for the Monetary Policy Committee - November 2025
Letter from the Chancellor to the Governor
Sectors:
Topics:
BankWealth ManagerAsset Manager
Issue 7 2025
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
Ex-post evaluation of Circular 2019/2 โInterest rate risks โ banksโ
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...
Sectors:
Topics:
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. Asโฆ
Sectors:
Topics:
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 Commissionโs 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 Corporateโฆ
Sectors:
Topics:
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 โ 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 Commissionโs Crypto Task Force has rescheduled its Financial Surveillance and Privacy Roundtable, previously scheduled for October, to Monday, Dec. 15, 2025.โI am looking forward to getting this event back on the calendarโฆ
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 SECโs Sept. 18,โฆ
Sectors:
Topics:
Broker DealerAll Firms
Pedro Machado: Fireside chat
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Statement on the Bankโs 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 โ addressingโฆ
19 NOV 2025, 02:00 PM DFSA hosts 2025 Annual Outreach for over 500 industry leaders โ addressingโฆ
Sectors:
Topics:
BankWealth ManagerFintech
Claudia Buch: The evidence is in: resilient banks build Europeโs growth on solid ground
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
ECB appoints three Directors General for banking supervision
No description available.
Sectors:
Topics:
Bank
Federal Council appoints new member to FINMAโs 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
Sectors:
Topics:
BankWealth ManagerFintech
Anneli Tuominen: Improving banksโ resilience to hybrid threats
No description available.
Sectors:
Topics:
BankWealth ManagerAll Firms
New DFSA-HKMA report reveals that labelled sustainable debt issuance in MENA andโฆ
18 NOV 2025, 12:00 PM New DFSA-HKMA report reveals that labelled sustainable debt issuance in MENA andโฆ
Sectors:
Topics:
BankAsset ManagerAll Firms
Claudia Buch: Introductory statement
No description available.
Sectors:
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 ยฃ120,000 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 Commissionโs 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 theโฆ
Sectors:
Topics:
Asset ManagerBroker DealerCrypto Exchange
FINMA Risk Monitor 2025: accentuated geopolitical risks โ 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:
Topics:
Asset ManagerWealth ManagerBank
Frank Elderson: Resilient banks through effective supervision: a pillar of Europeโs 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 โ 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 Englandโs 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
Sectors:
Topics:
BankFintechCrypto Exchange
New DFSA AI survey: Generative AI adoption has nearly tripled within the DIFC inโฆ
12 NOV 2025, 10:00 AM New DFSA AI survey: Generative AI adoption has nearly tripled within the DIFC inโฆ
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...
Sectors:
Topics:
Insurance
Minutes of the Money Market Committee meeting โ 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.
Sectors:
Topics:
BankBroker DealerAsset Manager
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat fรผr Wirtschaft (SECO) hat eine รnderung der Verordnung vom 21. Mรคrz 2025 รผber Massnahmen gegenรผber 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 SONIA Stakeholder Advisory Group - 22 October 2025
The SONIA Stakeholder Advisory Group supports the Bankโs administration of SONIA by providing advice and technical input to the Bank and the SONIA Oversight Committee
Sectors:
Topics:
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.
Sectors:
Topics:
BankBroker Dealer
Bank Rate maintained at 4% - November 2025 Monetary Policy Summary and Minutes
Find out more about the Monetary Policy Committeeโs latest decision
Sectors:
Topics:
BankWealth ManagerAll Firms
The Autoritรฉ des Marchรฉs Financiers is running a new financial education campaign aimed at young investors
Long term investment Savings protection Investing wisely Retail investors Journalists The Autoritรฉ des Marchรฉs Financiers is running a new financial education campaign aimed at young investors
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
Minutes of the CBDC Engagement Forum - May 2025
Meeting of the CBDC Engagement Forum
Sectors:
Topics:
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
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
UK Berne Financial Services Agreement (BFSA) Guidelines
Guidelines to assist firms considering providing services under the Berne Financial Services Agreement.
Sectors:
Topics:
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.
Sectors:
Topics:
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:โฆ
Sectors:
Topics:
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.
Sectors:
Topics:
BankAsset ManagerWealth Manager
SoP5/15 โ The PRA's methodologies for setting Pillar 2 capital
Statement of Policy 5/15
Sectors:
Topics:
BankAsset ManagerWealth Manager
SoP8/25 โ The PRAโs 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
Sectors:
Topics:
BankAll Firms
SoP6/25 โ The PRAโs approach to Internal Model Method (IMM) permission under the Counterparty Credit Risk (CRR) Part
Statement of policy 6/25
Sectors:
Topics:
Bank
SoP7/25 โ The PRAโs approach to waivers and permissions under the Securitisation (CRR) Part of the PRA Rulebook
Statement of policy 7/25
Sectors:
Topics:
BankAll Firms
Global situation of undertakings for collective investment at the end of September 2025
Press release 25/17
Sectors:
Topics:
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
Sectors:
Topics:
Crypto ExchangeBankFintech
The SCA and DFSA strengthen regulatory cooperation with Memorandum ofโฆ
27 OCT 2025, 10:00 AM The SCA and DFSA strengthen regulatory cooperation with Memorandum ofโฆ
Sectors:
Topics:
BankBroker DealerWealth Manager
Issue 6 2025
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
List of supervised entities - Cut-off date 1 September 2025
No description available.
Sectors:
Topics:
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
Sectors:
Topics:
Asset ManagerBankBroker Dealer
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat fรผr Wirtschaft (SECO) hat eine รnderung der Verordnung vom 21. Mรคrz 2025 รผber Massnahmen gegenรผber 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 โ Enhancements to theโฆ
21 OCT 2025, 09:33 AM The DFSA publishes summary of Consultation Paper 168 โ Enhancements to theโฆ
Sectors:
Topics:
Crypto ExchangeFintech
UK Islamic Finance and the Alternative Liquidity Facility - slides by Victoria Saporta
Slides by Victoria Saporta
Sectors:
Topics:
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
Sectors:
Topics:
BankBroker Dealer
Dubai advances position as Middle East, Africa and South Asiaโs leading globalโฆ
20 OCT 2025, 10:00 AM Dubai advances position as Middle East, Africa and South Asiaโs leading globalโฆ
Sectors:
Topics:
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.
Sectors:
Topics:
BankFintechPayment Provider
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat fรผr Wirtschaft (SECO) hat eine รnderung der Verordnung vom 21. Mรคrz 2025 รผber Massnahmen gegenรผber 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 โ Low Impact Amendments Finalisation October 2025
The PRA has published LIAF02/25, a collection of final low impact rule amendments.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Live from GITEX: DFSA and VARA strengthen regulatory cooperation to supportโฆ
15 OCT 2025, 03:05 PM Live from GITEX: DFSA and VARA strengthen regulatory cooperation to supportโฆ
Sectors:
Topics:
Crypto ExchangeFintech
The Autoritรฉ des Marchรฉs 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 Autoritรฉ des Marchรฉs Financiers publishes the findings of its thematic inspections on governance and role of senior managers at asset management companies
Sectors:
Topics:
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.
Sectors:
Topics:
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 Courtโs 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.
Sectors:
Topics:
Bank
DFSA Connect: new digital services streamline regulatory approvals processes,โฆ
13 OCT 2025, 09:43 AM DFSA Connect: new digital services streamline regulatory approvals processes,โฆ
Sectors:
Topics:
BankWealth ManagerFintech
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat fรผr Wirtschaft (SECO) hat eine รnderung der Verordnung vom 21. Mรคrz 2025 รผber Massnahmen gegenรผber 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 โ September 2025
The Securities Lending Committee is a forum for market participants and authorities to discuss the UK securities lending market.
Sectors:
Topics:
Asset ManagerBankBroker Dealer
DFSA and HKMA to co-host second Climate Finance Conference to strengthenโฆ
09 OCT 2025, 12:00 PM DFSA and HKMA to co-host second Climate Finance Conference to strengthenโฆ
Sectors:
Topics:
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.
Sectors:
Topics:
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.
Sectors:
Topics:
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.
Sectors:
Topics:
BankBroker DealerPayment Provider
Financial Policy Committee Record โ 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.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Foreign Currency Reserves 2025 โ 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.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Minutes: CBDC Academic Advisory Group - June 2025
Meeting of the CBDC Academic Advisory Group
Sectors:
Topics:
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
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Global situation of undertakings for collective investment at the end of August 2025
Press release 25/16
Sectors:
Topics:
Asset ManagerWealth Manager
Notice of Consultation Paper Release: CP 168
01 OCT 2025, 09:38 AM Notice of Consultation Paper Release: CP 168
Sectors:
Topics:
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.
Sectors:
Topics:
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 Directorโฆ
Sectors:
Topics:
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, staffโฆ
Sectors:
Topics:
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, andโฆ
Sectors:
Topics:
Broker DealerAsset Manager
Profit and loss account of credit institutions as at 30 June 2025
Press release 25/15
Sectors:
Topics:
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) generallyโฆ
Sectors:
Topics:
BankBroker DealerAll Firms
CFTC Obtains Order for Over $5.5M Restitution for Victims in Commodity Pool Fraud by Tennessee Couple
No description available.
Sectors:
Topics:
Asset ManagerBroker DealerBank
UBS resolution report
The Swiss Financial Market Supervisory Authority FINMA has identified further progress in UBSโs resolvability and continues to view a resolution as feasible. However, there is a need for greater optionality, which will also require legislative changes. UBSโs 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, FINMAโs 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. โKen has been an integral leader at the SEC for more than twoโฆ
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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 fosterโฆ
22 SEP 2025, 11:05 AM Masaar: DFSA welcomes 2025 cohort of its graduate programme, helping to fosterโฆ
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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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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 supervisingโฆ
10 SEP 2025, 11:01 AM DFSA and Securities and Futures Commission bolster ties in supervisingโฆ
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Asset ManagerBroker DealerWealth Manager
Issue 5 2025
No description available.
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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
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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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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 โ 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 Septemberโฆ
03 SEP 2025, 03:20 PM DFSA publishes FAQ on the annual AML Return and reminds Firms of 30 Septemberโฆ
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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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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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BankWealth ManagerAsset Manager
Global situation of undertakings for collective investment at the end of July 2025
Press release 25/14
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Asset ManagerWealth Manager
FINMA assesses the emergency and recovery plans for PostFinance, Raiffeisen and Zรผrcher 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 Zรผrcher 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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Broker DealerCrypto Exchange
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat fรผr Wirtschaft (SECO) hat eine รnderung der Verordnung vom 21. Mรคrz 2025 รผber Massnahmen gegenรผber 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
List of supervised entities โ cut-off date 1 July 2025
No description available.
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BankAsset ManagerWealth Manager
Sanktionen: Harmonisierung von Sanktionsverordnungen
No description available.
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BankWealth ManagerAsset Manager
The Autoritรฉ des Marchรฉs Financiers (AMF) revoked the authorisation of alternative investment fund manager (AIFM) APICAP
Asset management The Autoritรฉ des Marchรฉs 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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BankAsset ManagerWealth Manager
Methodological note for the publication of aggregated Supervisory Banking Statistics
No description available.
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BankAsset ManagerWealth Manager
Spreadsheet: High-level individual results for banks not included in the EBA sample
No description available.
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BankAsset ManagerWealth Manager
Counterparty credit risk exploratory scenario exercise
No description available.
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BankAsset ManagerBroker Dealer
Press release regarding BGL BNP Paribas
Press release 25/13
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Bank
Global situation of undertakings for collective investment at the end of June 2025
Press release 25/12
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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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BankAsset ManagerBroker Dealer
Active account notification under Article 7a(1) of EMIR
No description available.
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All Firms
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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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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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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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. FINMAโs 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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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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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...
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Asset ManagerWealth ManagerBroker Dealer
Notice of Consultation Paper Release: CP 167
04 JUL 2025, 11:40 AM Notice of Consultation Paper Release: CP 167
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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
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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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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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BankBroker DealerAsset Manager
New DFSA report explores regulatory insights into cybersecurity, Artificialโฆ
30 JUN 2025, 03:18 PM New DFSA report explores regulatory insights into cybersecurity, Artificialโฆ
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BankFintechAsset Manager
Profit and loss account of credit institutions as at 31 March 2025
Press release 25/10
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Bank
Rene W. Keller resigns from FINMAโs 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.
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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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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
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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
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Asset ManagerWealth Manager
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat fรผr Wirtschaft (SECO) hat eine รnderung der Verordnung vom 21. Mรคrz 2025 รผber Massnahmen gegenรผber 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
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
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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
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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
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Asset ManagerBroker DealerWealth Manager
Global situation of undertakings for collective investment at the end of April 2025
Press release 25/09
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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 ...
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Asset ManagerBroker DealerFintech
Retail investor activity up again
Shares ETF Retail investor activity up again
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Asset ManagerBroker DealerWealth Manager
Second thematic review on the use of Artificial Intelligence in the Luxembourg financial sector
Press release 25/08
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BankAsset ManagerWealth Manager
Issue 4 2025
No description available.
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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
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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
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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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Asset ManagerBankBroker Dealer
Global situation of undertakings for collective investment at the end of March 2025
Press release 25/07
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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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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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Asset ManagerWealth Manager
Issue 3 2025
No description available.
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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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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
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Crypto ExchangeBankAsset Manager
Issue 2 2025
No description available.
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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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BankBroker DealerAsset Manager
Internal Auditors Committee Mandate and Audit Charter for the Eurosystem/ESCB and the Single Supervisory Mechanism
No description available.
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BankAsset ManagerWealth Manager
Global situation of undertakings for collective investment at the end of February 2025
Press release 25/06
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Asset ManagerWealth Manager
Profit and loss account of credit institutions as at 31 December 2024
Press release 25/05
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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
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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 โdefenceโ investment funds
Asset management Journalists Investment management companies The AMF introduces a fast-track approval procedure for โdefenceโ investment funds
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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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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:
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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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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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All Firms
Publication of the 2023 asset management key figures report
Asset management Publication of the 2023 asset management key figures report
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Asset ManagerWealth Manager
The AMF publishes the findings of its thematic inspections of asset management companiesโ 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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Asset ManagerWealth Manager
The AMF approves its first bond prospectus for European green bonds under the โEuGBโ 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 โEuGBโ standard
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Asset ManagerBank
DEROGATION TAKEOVER LAW: Iris Financial S.A. (renamed Younited Financial S.A.) - ISIN: KYG7552D1354
Press release 25/03
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BankWealth Manager
The Autoritรฉ des Marchรฉs 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 Autoritรฉ des Marchรฉs 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.
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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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Asset Manager
ETFs: strong growth for retail investors in 2024
Shares ETF ETFs: strong growth for retail investors in 2024
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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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Asset ManagerWealth Manager
Operational resilience โ 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 โ The AMF applies the Joint Guidelines on the oversight cooperation and information exchange under the Digital Operational Resilience Act (DORA)
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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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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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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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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
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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...
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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
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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
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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
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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
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Asset Manager
The Autoritรฉ des Marchรฉs Finances has decided to apply ESMA's Guidelines on funds' names
Sustainable Finance Asset management The Autoritรฉ des Marchรฉs Finances has decided to apply ESMA's Guidelines on funds' names
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Asset ManagerWealth Manager
Issue 13 2024
No description available.
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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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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
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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
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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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Asset ManagerWealth ManagerBroker Dealer
Issue 10 2024
No description available.
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Asset ManagerBankWealth Manager
Publication of the first CSRD sustainability statements: AMF draws issuersโ attention to ESMA's 2024 recommendations
Periodic & ongoing disclosures Sustainable Finance Publication of the first CSRD sustainability statements: AMF draws issuersโ attention to ESMA's 2024 recommendations
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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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Asset ManagerBankBroker Dealer
The Autoritรฉ des Marchรฉs Financiers (AMF) has published a recommendation governing the distribution of actively managed certificates (AMCs) to retail clients
Asset management Marketing The Autoritรฉ des Marchรฉs Financiers (AMF) has published a recommendation governing the distribution of actively managed certificates (AMCs) to retail clients
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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
Sectors:
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
Sectors:
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 Autoritรฉ des Marchรฉs Financiers (AMF) launches a major financial education campaign aimed at young investors
Long term investment Savings protection Retail investors Journalists The Autoritรฉ des Marchรฉs 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
ESMAโs communications to support the implementation and supervision of corporate sustainability reporting
Sustainable Finance Periodic & ongoing disclosures ESMAโs communications to support the implementation and supervision of corporate sustainability reporting
Sectors:
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 Autoritรฉ des Marchรฉs Financiers (AMF) signs #JamaisSansElles Charter
Institutional Organisational rules Journalists The Autoritรฉ des Marchรฉs Financiers (AMF) signs #JamaisSansElles Charter
Sectors:
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 Autoritรฉ des Marchรฉs Financiers (AMF) announces withdrawal of the authorisation of the portfolio asset management company Wide Asset Management as of 8 July 2024
Asset management The Autoritรฉ des Marchรฉs Financiers (AMF) announces withdrawal of the authorisation of the portfolio asset management company Wide Asset Management as of 8 July 2024
Sectors:
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
Sectors:
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
Sectors:
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.
Sectors:
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 Autoritรฉ des Marchรฉs Financiers (AMF) publishes the findings of three supervisory initiatives on sustainable finance
Sustainable Finance Asset management Other professionals Journalists Investment management companies The Autoritรฉ des Marchรฉs Financiers (AMF) publishes the findings of three supervisory initiatives on sustainable finance
Sectors:
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
Sectors:
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
Sectors:
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 Autoritรฉ des Marchรฉs Financiers (AMF) withdraws the authorisation of the portfolio asset management company Wide Asset Management
Asset management The Autoritรฉ des Marchรฉs 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 fundsโ costs
Financial products The AMF publishes a research paper on French fundsโ costs
Sectors:
Topics:
Asset ManagerWealth Manager
Marie Seiller appointed Resources, Operations and Transformation Director at the Autoritรฉ des Marchรฉs Financiers
Appointment AMF activity Journalists Marie Seiller appointed Resources, Operations and Transformation Director at the Autoritรฉ des Marchรฉs 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 Autoritรฉ des Marchรฉs Financiers
Appointment AMF activity Retail investors Journalists France Mayer appointed Retail Investor Relations and Protection Director at the Autoritรฉ des Marchรฉs 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
Sectors:
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 Autoritรฉ des Marchรฉs Financiers announces the new composition of the Financial Skills Certification Board
Professional certification AMF activity Journalists The Autoritรฉ des Marchรฉs Financiers announces the new composition of the Financial Skills Certification Board
Sectors:
Topics:
Asset ManagerBroker DealerBank
Pauline Briand joins the Autoritรฉ des Marchรฉs Financiers (AMF) as Head of Communications
Appointment AMF activity Journalists Pauline Briand joins the Autoritรฉ des Marchรฉs 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 Autoritรฉ des Marchรฉs Financiers
AMF activity Appointment Journalists Ten new key figures admitted to the Board of the Autoritรฉ des Marchรฉs 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 companiesโ 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 companiesโ 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 Carrรฉ
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, Sรฉbastien Raspiller
Appointment Institutional AMF activity Other professionals Executive & other private individuals Retail investors Fintech Professional investors Journalists Investment services providers Investment management...
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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 Autoritรฉ des Marchรฉs Financiers (AMF) announces withdrawal of the authorisation of the portfolio asset management company Quantology Capital Management as of 30 June 2023
Asset management The Autoritรฉ des Marchรฉs 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 counterpartiesโ recovery and resolution: AMF complies with ESMA guidelines
Regulatory developments Post-trading infrastructures Market infrastructures Central counterpartiesโ 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 counterpartiesโ recovery plan: AMF complies with ESMA guidelines on recovery plan indicators and scenarios
Regulatory developments Post-trading infrastructures Market infrastructures Central counterpartiesโ 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 Autoritรฉ des Marchรฉs Financiers (AMF) has withdrawn the authorisation of the portfolio asset management company Quantology Capital Management
Asset management The Autoritรฉ des Marchรฉs 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 Chairโs Executive Office with effect from 1 April 2023
Appointment AMF activity Institutional Journalists Laure Tertrais is appointed Head of the AMF Chairโs 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 COLBโs National Risk Assessment
Asset management Anti-money Laundering Money Laundering and Terrorist Financing: update of the COLBโs 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 AMFโs 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 AMFโs 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 Autoritรฉ des Marchรฉs 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 Autoritรฉ des marchรฉs financiers (AMF) has requested the resumption of listing of ORPEAโs securities today
Markets Financial disclosures & corporate financing The Autoritรฉ des marchรฉs financiers (AMF) has requested the resumption of listing of ORPEAโs 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 SASโs registration as a DASP
Crypto-assets Anti-money Laundering Supervision Journalists Investment services providers AMF and ACPR announce the withdrawal of BYKEPS SASโs 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
Grรฉgoire Vuarlot is appointed coordinator of the ACPR and AMF Joint Unit starting 1st July 2022
AMF activity Appointment Journalists Grรฉgoire 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:
Topics:
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
Sectors:
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
Sectors:
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
โRegulated firms must prioritise diversity at senior levels to prevent groupthink, promote internal challenge, and protect consumers and investorsโ - Derville Rowland, Director General, Financial Conduct
Gender diversity at senior levels in the regulated financial services sector is increasing but remains insufficient, according to the latest Central Bank of Ireland Demographic Analysis Report . The annual publication analyses applications to hold certain senior roles within regulated firms that require the Central Bankโs prior approval under the Fitness & Probity Regime. The Central Bank received more than 3,500 such applications for Pre-Approval Control Function (PCF) roles in 2021. This is...
Sectors:
Topics:
Bank
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
Sectors:
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
Sectors:
Topics:
Asset Manager
Benchmarks: the AMF will apply ESMA Guidelines
Market infrastructures Benchmark Benchmarks: the AMF will apply ESMA Guidelines
Sectors:
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
Sectors:
Topics:
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
Sectors:
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
Sectors:
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 ยซ Nestadio Capital ยป
Asset management The AMF informs about the liquidation of the portfolio asset management company ยซ Nestadio Capital ยป
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
Sectors:
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
Sectors:
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
Sectors:
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
Sectors:
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
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF updates its investigation and inspection charters
Supervision The AMF updates its investigation and inspection charters
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Marketing communications under the Regulation on cross-border distribution of funds : the AMF complies with ESMAโs Guidelines
Asset management Marketing communications under the Regulation on cross-border distribution of funds : the AMF complies with ESMAโs Guidelines
Sectors:
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
Sectors:
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
Sectors:
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
Sectors:
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
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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
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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
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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
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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
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Asset ManagerBroker DealerBank
Application Form โ Third country auditors and audit entities
No description available.
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BankWealth Manager
List of notifications received
No description available.
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BankWealth ManagerAsset Manager
URR - ManCo identifiers
No description available.
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All Firms
URR - UCITS identifiers
No description available.
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Asset ManagerAll Firms
New Data Series: Insurance Data โ 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 Bankโs website . This year the Central Ban...
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Insurance