Muzinich Co. Opens Adgm Office To Strengthen Middle East Presence
Muzinich Co. Opens Adgm Office To Strengthen Middle East Presence
Sectors:
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Asset ManagerBankWealth Manager
Authorisation & Licensing
Licensing requirements, authorisation procedures, and ongoing compliance for regulated activities.
Shojin Financial Services Limited enters administration
Shojin Financial Services Limited (Shojin) is a crowdfunding platform authorised and regulated by the FCA. Shojin allowed customers to make investments that were used to fund loans toward property developments. On 23 March 2026, Shojin went into administration. Simon Carvill-Biggs and Ian Corfield of FRP Trading Advisory Limited were appointed as Joint Administrators.The Joint Administrators are responsible for acting in the best interests of the people who are owed money by Shojin, and they ...
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FintechWealth Manager
Walnut Planet GmbH: evidence indicates no prospectus published
The Federal Financial Supervisory Authority (BaFin) has evidence indicating that Walnut Planet GmbH, which has its registered office in Pfäffikon (Schwyz), Switzerland, is offering a capital investment that falls within the definition of “other investments” under section 1 (2) no. 7 of the German Capital Investment Act (Vermögensanlagengesetz - VermAnlG) to the public in Germany. The investment on offer consists of combined lease and service agreements relating to the cultivation of walnuts i...
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Asset ManagerWealth ManagerBank
Central Bank of Ireland launches commemorative coin honouring playwright Seán O'Casey
Central Bank of Ireland today launched a commemorative coin celebrating the life and work of renowned Irish playwright Seán O'Casey, on what would have been his 146 th birthday. It marks the 100th anniversary of the inaugural performance of his masterpiece The Plough and the Stars at the Abbey Theatre. The silver proof coin will go on sale today (Monday 30 March 2026) at 1pm on www.collectorcoins.ie . Designed by PJ Lynch, there are just 3,000 coins available, and they will retail at €90. Gov...
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BankWealth ManagerAll Firms
Regulators launch joint taskforce to crack down on poor practice in motor finance claims
A new taskforce will tackle poor handling of motor finance claims by some claims management companies (CMCs) and law firms, after the FCA, Solicitors Regulation Authority (SRA), Information Commissioner’s Office (ICO) and Advertising Standards Authority (ASA) agreed to join up their efforts. The announcement comes as the FCA prepares to set out its final compensation scheme for motor finance customers.The regulators will step up efforts to share intelligence and continue to take co-ordinated ...
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BankFintechAll Firms
Uncertificated securities market regime – targeted for launch in November 2026
No description available.
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BankBroker DealerFintech
Former Venture Egg, Reilly Financial and Interprac adviser Nicholas Hogan banned for four years
Former Venture Egg, Reilly Financial and Interprac adviser Nicholas Hogan banned for four years
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Topics:
Wealth Manager
30 Mar 2026 Read more
30 Mar 2026 Read more
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Topics:
BankCrypto ExchangeFintech
SAMA Licenses “Atyoun Litqniyat AlMalumat WalIttisalat AlMubtakirah” Company to Provide Payment Services
SAMA Licenses “Atyoun Litqniyat AlMalumat WalIttisalat AlMubtakirah” Company to Provide Payment Services
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Topics:
Payment ProviderFintech
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
Central Bank Appointments
The Central Bank Commission has appointed Elizabeth Mahon as Secretary of the Central Bank, effective 30 March. Elizabeth has also been appointed to the role of Head of Governance in the Central Bank. Elizabeth has more than 20 years' experience in financial services, principally in the banking sector, where her career has focused on strategy and implementation, management consulting, organisational change, and stakeholder management. Since 2022 she has worked at the Central Bank as Head of S...
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BankWealth Manager
The AMF clarifies its doctrine on several aspects relating to asset management companies
Asset management Regulatory developments The AMF clarifies its doctrine on several aspects relating to asset management companies
Sectors:
Topics:
Asset ManagerBank
Naperte Designated Activity Company (CLONE) - Central Bank of Ireland issues warning about unauthorised firm
Naperte Designated Activity Company (CLONE) - Central Bank of Ireland issues warning about unauthorised firm
Sectors:
Topics:
BankWealth ManagerAll Firms
TD ICAV (CLONES) - Central Bank of Ireland Issues Warning on Unauthorised Firm
TD ICAV (CLONES) - Central Bank of Ireland Issues Warning on Unauthorised Firm
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Asset ManagerWealth Manager
Castleforbes Wealth (CLONE)– Central Bank of Ireland issues warning about unauthorised firm
Castleforbes Wealth (CLONE)– Central Bank of Ireland issues warning about unauthorised firm
Sectors:
Topics:
Wealth Manager
BaFin warns consumers about the websites renvio(.)icu and renvio(.)pro
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the websites renvio(.)icu and renvio(.)pro. BaFin has information that these websites are being used to offer financial, investment and cryptoasset services without the required authorisation.
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Topics:
BankFintechCrypto Exchange
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
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Topics:
Crypto Exchange
SAMA Commences Licensing of Fintech Companies to Provide Open Banking Services
SAMA Commences Licensing of Fintech Companies to Provide Open Banking Services
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FintechBankPayment Provider
SAMA Licenses “Altknwlwjya aljadydh llhulul albrmjyh” and “lyn tknwlwjyz Company Saudi Arabia litqniyat nuzum almaelumat” to Provide Open Banking Services
SAMA Licenses “Altknwlwjya aljadydh llhulul albrmjyh” and “lyn tknwlwjyz Company Saudi Arabia litqniyat nuzum almaelumat” to Provide Open Banking Services
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FintechPayment Provider
International,Hosting Overseas Regulatory Officials at the Global Financial Partnership Center (28th Program: 12 Banking Regulatory Authorities)
No description available.
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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
FCA responds to Complaint Commissioner’s report on the British Steel Pension Scheme
We sympathise with former members of the British Steel Pension Scheme (BSPS) who lost money after they were given unsuitable advice from people they trusted. Complaints are a valuable source of feedback which help us improve and learn. There have also been 4 independent reports into the BSPS since 2018, which have helped us learn lessons. We have accepted several of their recommendations and implemented improvements, including those below.We now have much closer collaboration between the FCA,...
AI Analysis
The FCA's response to the Complaint Commissioner's report on the British Steel Pension Scheme addresses systemic failures in pension transfer advice that affected approximately 7,700 members, with 47% receiving unsuitable advice. This statement demonstrates the FCA's acknowledgment of regulatory shortcomings and outlines remedial measures implemented to prevent similar harm, including enhanced inter-agency collaboration, stricter product governance rules, and a £106 million redress scheme now benefiting 1,870 affected members.
Sectors:
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Wealth ManagerAsset ManagerAll Firms
Equity for Growth (Securities) Limited enters liquidation
On 25 March 2026, following a petition filed by the FCA, the High Court ordered that Equity for Growth (Securities) Limited (EFG) be wound up. EFG is a corporate finance firm. EFG was also a principal for a number of appointed representatives between 2015 and 2020, including Amyma Ltd and Osborne Baldwin Ltd, which traded as Hunter Jones.An appointed representative carries on regulated activity under the responsibility of an authorised firm, known as 'the principal'. Find more information on ...
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Asset ManagerWealth ManagerBroker Dealer
West Invest Bank - Central Bank of Ireland Issues Warning on Unauthorised Firm
West Invest Bank - Central Bank of Ireland Issues Warning on Unauthorised Firm
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Bank
Walsh Trust Bank - Central Bank of Ireland Issues Warning on Unauthorised Firm
Walsh Trust Bank - Central Bank of Ireland Issues Warning on Unauthorised Firm
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Bank
FCA sets out next phase of smarter, more effective regulation
We have set out plans for using AI to speed up authorisations, testing new tools to identify key risks earlier, with our people remaining at the heart of decision-making. The new authorisation tool is being developed internally and will be integrated into existing FCA systems.It forms part of our annual work programme 2026/27, which lays out how we’re accelerating our ambition to be a smarter, more data-driven regulator.We will also use generative AI to support our efforts to modernise regula...
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BankWealth ManagerFintech
Bank of England streamlines reporting and disclosure requirements for bank failure regime
The Bank of England and Prudential Regulation Authority have finalised a package of changes to firms’ resolution reporting and disclosure requirements which reduces the burden of regulation while maintaining a robust and credible regime that supports growth and competition.
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BankWealth Manager
SFC CEO re-appointed as Chair of IOSCO Asia-Pacific regional committee
No description available.
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All Firms
FCA plans to help people get more financial advice for important decisions
More people could access financial advice, under proposals set out by FCA. The FCA is consulting on how to make it easier for firms to give more simplified forms of individualised financial advice to consumers.Simplified forms of advice can help consumers with more straightforward needs and do not require a full assessment of all their financial circumstances, making it more accessible and affordable.Sarah Pritchard, deputy chief executive of the FCA, said:'For too long the support people nee...
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Asset ManagerWealth ManagerBank
SFC obtains court order to freeze assets worth up to $219 million belonging to suspected manipulators of KNT shares
No description available.
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BankBroker DealerAsset Manager
CFTC Staff Amends Brexit-Related No-Action Positions for Additional UK Trading Facilities
No description available.
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Broker DealerAll Firms
SAMA Issues the Updated Oversight Framework of the Payment Systems and Their Operators
SAMA Issues the Updated Oversight Framework of the Payment Systems and Their Operators
Sectors:
Topics:
Payment ProviderFintech
J.P. Morgan Asset Management (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
J.P. Morgan Asset Management (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
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Asset ManagerBank
Chairman Selig Announces Formation of New Innovation Task Force
No description available.
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FintechCrypto Exchange
BaFin warns consumers about the website panda-financial.com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website panda-financial.com. BaFin has information that the operators are offering banking business and/or financial services as well as cryptoasset services on this website without the required authorisation. The operators of the website are not supervised by BaFin and have no connection to the licensed institution Bitpanda Financial Services GmbH.
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Topics:
BankCrypto ExchangeFintech
SFC bans Lui Pak Tong for life and fines him $17.43 million for misconduct
No description available.
AI Analysis
The SFC has imposed a **lifetime ban and $17.43 million fine** on Lui Pak Tong for orchestrating a scheme where he exploited a fund under his control by directing $22.5 million in unsecured loans to a company he owned, while concealing conflicts of interest and diverting loan proceeds to himself and associates. This enforcement action demonstrates the SFC's aggressive stance on fiduciary breaches, undisclosed conflicts of interest, and self-dealing by licensed representatives, with direct implications for fund governance, investment committee oversight, and compliance with the Code of Conduct.
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Asset ManagerWealth ManagerBroker Dealer
Festgeldplan(.)com: BaFin warns about website and identity fraud
The German Financial Supervisory Authority (BaFin) warns about offers from the website festgeldplan(.)com. According to information available to BaFin, the unknown operators of the website are offering financial services without the required authorisation. They give the impression that their offers originate from WPV Advisory & Asset Management GmbH & Co. KG, which is supervised by BaFin. It is a case of identity fraud. WPV Advisory & Asset Management GmbH & Co. KG has no connection with the ...
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BankWealth ManagerFintech
Wertede: BaFin warns consumers about the services offered on the websites wertede(.)com and wertede(.)cc
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the websites wertede(.)com and wertede(.)cc. According to information available to BaFin, the operator is providing financial and investment services on this website without the required authorisation.
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BankFintechCrypto Exchange
CFTC Chairman Michael S. Selig: Town Hall Remarks, Washington, D.C.
No description available.
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Broker DealerFintechCrypto Exchange
MORRISONBOOST: BaFin warns consumers about services offered in WhatsApp groups
The Federal Financial Supervisory Authority (BaFin) warns consumers about WhatsApp groups directing consumers to the MORRISONBOOST platform. In these WhatsApp groups, consumers are encouraged to use the MORRISONBOOST platform to trade in financial instruments. BaFin suspects the unknown operators of conducting banking business and/or offering consumers financial services without the required authorisation. The operators are not supervised by BaFin.
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Topics:
FintechCrypto Exchange
Regulatory Notice 26-09
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
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Topics:
Broker DealerAsset Manager
FCA highlights risks when dealing with unregulated lenders
We are reminding regulated firms they need to undertake proper checks when dealing with unregulated lenders, safe custody providers, money brokers and financial leasing companies – also known as 'Annex 1' firms. There are around 1,200 of these firms registered with us for solely anti-money laundering purposes. Our powers are currently limited to looking at how these firms are meeting their anti-money laundering obligations and they are not subject to our wider rulebook. This regime is based o...
AI Analysis
The FCA statement reminds regulated firms to perform robust due diligence on 'Annex 1' firms—unregulated lenders, safe custody providers, money brokers, and financial leasing companies registered solely for AML purposes—due to their limited oversight and heightened financial crime risks. This matters because Annex 1 firms (approx. 1,200) are not subject to FCA's full rulebook, conduct rules, or protections like the Financial Ombudsman Service, exposing regulated firms to contagion risks if they fail to manage interactions properly. Non-compliance could lead to regulatory scrutiny, enforcement, or reputational damage amid FCA's ongoing AML focus.
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BankPayment ProviderAll Firms
CFTC Staff Issues FAQs Concerning Registrant and Registered Entity Activities Relating to Crypto Assets and Blockchain Technologies
No description available.
AI Analysis
The CFTC issued FAQs on March 20, 2026, providing clarification on how registered entities and market participants should handle crypto assets and blockchain technologies in their operations, building directly on the agency's tokenized collateral guidance and no-action relief issued in late 2025 and early 2026. This guidance is critical because it operationalizes the SEC-CFTC joint interpretation issued just three days earlier (March 17, 2026), which established a binding regulatory framework classifying 16 crypto assets as digital commodities and clarifying the treatment of non-security crypto assets under federal law.
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Topics:
Crypto ExchangeBroker DealerFintech
Investigation into Market Financial Solutions Limited
We have opened an enforcement investigation into Market Financial Solutions Limited (MFS). MFS is an Annex 1 business, which is solely registered with and supervised by us for its compliance with the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017.Annex 1 registered firms are not authorised or subject to wider FCA regulation.MFS entered administration on 25 February 2026.
AI Analysis
The FCA has opened an enforcement investigation into Market Financial Solutions Limited (MFS) following the firm's entry into administration on 25 February 2026, amid allegations of serious financial irregularities, fraud, and double-pledging of collateral. This investigation is significant because it represents regulatory scrutiny of an Annex 1 business—a firm with limited FCA oversight—whose collapse exposed structural weaknesses in private credit markets and raised questions about due diligence practices across the financial sector.
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BankAll Firms
Tradealles(.)com: BaFin warns consumers about website and identity fraud
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website tradealles(.)com. BaFin has information that this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
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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.
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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.We’ve taken this action following concerns about the suitability of the firm’s senior management and its conduct in dealing with us. Read the full Notice (PDF)
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All Firms
BaFin warns consumers about the website gfi-hold(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website gfi-hold(.)com. BaFin has information that this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
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Topics:
BankFintechCrypto Exchange
Development of the banks' financial situation over the last years
Situation as at 31 December 2025
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BankWealth ManagerAll Firms
List of members of the Investment Fund Managers Committee (Updated)
No description available.
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Topics:
Asset ManagerWealth ManagerBank
Communication regarding management notifications and de-notifications with a European passport for Luxembourg-domiciled IFMs
No description available.
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Topics:
Asset Manager
EU Bonds - Central Bank of Ireland Issues Warning on Unauthorised Firm
EU Bonds - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
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All Firms
Suisse Equity- Central Bank of Ireland Issues Warning on Unauthorised Firm
Suisse Equity- Central Bank of Ireland Issues Warning on Unauthorised Firm
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Wealth Manager
Issue 3 2026
No description available.
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Topics:
BankBroker DealerCrypto Exchange
CFTC and MLB Sign Groundbreaking MOU
No description available.
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Broker DealerAll Firms
Elarem Limited - Central Bank of Ireland Issues Warning on Unauthorised Firm
Elarem Limited - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Wealth ManagerFintech
Callanor -Central Bank of Ireland Issues Warning on Unauthorised Firm
Callanor - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Wealth ManagerFintech
International,The Japan-Bermuda bilateral meeting on insurance
No description available.
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Insurance
Notification form for updating payment institutions/electronic money institutions information
No description available.
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Payment Provider
High Performance Battery Holding AG: grounds to suspect shares being offered to the public without the required securities prospectus
The Federal Financial Supervisory Authority (BaFin) has sufficient grounds to suspect that High Performance Battery Holding AG, Switzerland, is offering securities in the form of company shares to the public in Germany without the required prospectus. There are no indications that the conditions for exemption from the prospectus requirement are met.
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BankAsset ManagerBroker Dealer
SFC bans Kuo Che-jung for four and a half years and fines him $1 million
No description available.
AI Analysis
The SFC has banned former responsible officer Kuo Che-jung from the industry for 4.5 years (effective 19 March 2026 to 18 September 2030) and fined him HK$1 million for executing 25 matched trades in Hang Seng Index options between Yuanta's proprietary account and his wife's secret account, plus concealing beneficial interests and submitting false declarations. This enforcement action underscores the SFC's zero-tolerance for market abuse via matched trades, staff dealing violations, and dishonesty, signaling heightened scrutiny on proprietary traders and internal controls to protect market integrity. Compliance professionals must prioritize robust staff trading surveillance and disclosure enforcement to mitigate similar risks.
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Broker DealerAll Firms
Strategic innovation drives growth of Hong Kong’s listing and digital asset markets: SFC Quarterly Report
No description available.
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Topics:
Asset ManagerBroker DealerCrypto Exchange
Crowdfunding: the AMF reminds platforms of their complaint handling obligations
Asset management Crowdfunding: the AMF reminds platforms of their complaint handling obligations
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Topics:
Asset ManagerBroker DealerWealth Manager
Warning concerning fraudulent activities by persons misusing the name of JPMorgan Asset Management (Europe) S.à r.l.
No description available.
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Asset ManagerBankWealth Manager
SEC confirms exemption for directors and officers of EEA Foreign Private Issuers
SEC confirms exemption for directors and officers of EEA Foreign Private Issuers 18 March 2026 Market Abuse Post Trading The United States Securities and Exchange Commission (SEC) has decided to exempt directors and officers of European Economic Area (EEA) foreign private issuers (FPIs) from the reporting requirements under Section 16(a) of the US Securities Exchange Act of 1934. The SEC’s decision means that directors and officers of EEA FPIs will not be required to comply with these specifi...
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Asset ManagerBroker DealerBank
Private Client Trustees Limited (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Private Client Trustees Limited (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Wealth ManagerAll Firms
SFC publishes review on SEHK’s performance in regulating listing matters
No description available.
Sectors:
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All Firms
ASIC launches financial complaints data dashboard
ASIC launches financial complaints data dashboard
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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
Regulatory Notice 26-08
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
Sectors:
Topics:
Broker DealerBankAsset Manager
SEC Clarifies the Application of Federal Securities Laws to Crypto Assets
The Securities and Exchange Commission (SEC) today issued an interpretation clarifying how the federal securities laws apply to certain crypto assets and transactions involving crypto assets. This is a major step in the Commission’s efforts to provide…
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Topics:
Crypto ExchangeFintech
Michael S. Selig, Chairman: 9th Annual DC Blockchain Summit
No description available.
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Topics:
BankFintechCrypto Exchange
SEC Publishes Data on Public and Private Offerings, Municipal Advisors, Transfer Agents, and Securities-Based Swap Dealers
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published a new report on security based swap dealers (SBSDs) and updated statistics and data visualizations on initial public offerings (IPOs), follow-on registered…
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Broker DealerAsset Manager
CFTC Joins SEC to Clarify the Application of Federal Securities Laws to Crypto Assets
No description available.
Sectors:
Topics:
Crypto ExchangeFintech
DORA – 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
MAS Issues Prohibition Orders against former Relationship Managers, Mr Wang Qiming and Mr Liu Kai
Singapore, 17 March 2026 … The Monetary Authority of Singapore (MAS) has issued Prohibition Orders (POs) under the Financial Services and Markets Act 2022 (FSMA) against Mr Wang Qiming and Mr Liu Kai, former relationship managers, who were convicted of charges connected to the major money laundering case of August 2023. Given the gravity of their misconduct, MAS has issued a 16-year PO against Mr Wang Qiming and a 7-year PO against Mr Liu Kai.
AI Analysis
The Monetary Authority of Singapore (MAS) issued Prohibition Orders (POs) on 17 March 2026 under the Financial Services and Markets Act 2022 (FSMA) against former relationship managers Wang Qiming (16-year PO) and Liu Kai (7-year PO) for convictions tied to Singapore's S$3 billion money laundering scandal of August 2023. This enforcement action underscores MAS's rigorous application of fit and proper criteria, barring them from regulated activities due to forgery, money laundering, and related offences. It matters for compliance professionals as it signals heightened scrutiny on individual accountability in AML failures within wealth management.
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BankWealth ManagerAll Firms
Special Notice – 3/17/26
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
Sectors:
Topics:
Broker DealerAsset ManagerAll Firms
SEC Announces Enforcement Division Director Judge Margaret A. Ryan Has Resigned From Agency
The Securities and Exchange Commission today announced that Judge Margaret A. Ryan has resigned from her role as Director of the Division of Enforcement. Principal Deputy Director Sam Waldon has been named Acting Director of the Division, effective March…
AI Analysis
Judge Margaret A. Ryan, who assumed the role of SEC Enforcement Division Director in August 2025 and signaled a significant recalibration of enforcement priorities toward fraud and market integrity while reducing enforcement actions for technical violations, has resigned from the agency. Principal Deputy Director Sam Waldon has been named Acting Director, creating immediate uncertainty regarding continuity of the enforcement approach that was just articulated in February 2026 and may signal a shift in the SEC's enforcement trajectory going forward.
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Topics:
Broker DealerAsset ManagerBank
Creating a redress system that works better for consumers and firms
We’ve reached a significant milestone in our joint work with the Financial Ombudsman Service and the Government to modernise the redress systemso that consumers get fair outcomes quicker and firms have greater clarity about how issues will be handled.We’re delivering change at speed by acting now within our current powers, with a focus on improving how the system works in practice. This includes a new registration stage for complaints, updated dismissal grounds and clearer guidance on the fai...
AI Analysis
The FCA, in collaboration with the Financial Ombudsman Service (FOS) and the Government, has announced modernization of the UK's financial redress system to accelerate consumer compensation and provide firms with greater regulatory clarity. This initiative represents a fundamental shift in how complaints are registered, assessed, and resolved, with immediate implementation underway within existing FCA powers and broader legislative reforms planned.
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Topics:
BankFintechPayment Provider
WhatsApp groups: BaFin investigates “Fides Ventures” and “Nexquant”
According to information available to the Federal Financial Supervisory Authority (BaFin), “Fides Ventures” is using WhatsApp groups and chats to contact German investors. The company, which claims to be based in the US, also operates under the name “Fides Ventures Business School”. The unknown provider advertises by promoting a so-called “FIVS token”, claiming that the token can be obtained on the cooperating crypto exchange “Nexquant”. The crypto exchange, also operating under the name “Nex...
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Topics:
BankFintechCrypto Exchange
CFTC Secures Judgement Against New York Companies to Pay Over $2.4 Million in Restitution, Penalties for Forex Fraud
No description available.
AI Analysis
The CFTC secured a default judgment on March 13, 2026, against New York-based Safety Capital Management Inc. and GNS Capital Inc. (d/b/a ForexnPower) for retail forex fraud, fraud as commodity pool operators (CPOs) and commodity trading advisors (CTAs), and related violations of the Commodity Exchange Act (CEA), ordering over $2.4 million in restitution and penalties. This enforcement action underscores the CFTC's aggressive pursuit of fraud targeting vulnerable retail investors, with permanent injunctions against future violations, serving as a stark reminder for firms in forex, CPO, and CTA spaces to prioritize robust compliance programs.
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Asset ManagerBroker Dealer
Warning concerning the website www.vivid-money.lu
No description available.
Sectors:
Topics:
FintechPayment Provider
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
BaFin warns consumers about the series of platforms with the slogan “Smarter trading with zero spreads”
The Federal Financial Supervisory Authority (BaFin) warns consumers about a series of almost identical websites. According to information available to BaFin, the operators use these websites to conduct banking business and/or provide financial services without the required authorisation. The operators of the websites are not supervised by BaFin.
Sectors:
Topics:
BankCrypto ExchangeFintech
FCA bans Kasim Garipoglu from working in UK financial services
KasimGaripoglu has been banned from working in UK financial services. The FCA found he is not fit and proper because of his lack of honesty and integrity. Mr Garipoglu is the owner of a firm that provided online trading of foreign exchange and contracts.Between April 2012 and December 2022, including when Mr Garipoglu was the chief executive and director at the firm and an approved person, he repeatedly demonstrated a disregard for regulatory requirements, undermined compliance and anti‑money...
Sectors:
Topics:
BankWealth ManagerFintech
BaFin warns consumers about the website mbspoint(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about MBS Point and the services it is offering. BaFin suspects the unknown operators of the website mbspoint(.)com of offering consumers financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankFintechCrypto Exchange
Identity fraud: BaFin warns consumers about the website alijz(.)com, the app alijzspro and offers in WhatsApp groups
The Federal Financial Supervisory Authority (BaFin) warns consumers about the website alijz(.)com and WhatsApp groups operated under the company name AL Konzept GmbH & Co. KG. In these WhatsApp groups, consumers are encouraged to use an app called alijzspro to invest in financial instruments. BaFin suspects the unknown operators of offering consumers financial services without the required authorisation.
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BankFintechPayment Provider
BaFin warns consumers about the Gainorex Investment app
The Federal Financial Supervisory Authority (BaFin) warns consumers about the Börsenblick A-001 WhatsApp group. In the WhatsApp group, consumers are encouraged to use the Gainorex Investment app to trade in financial instruments. BaFin suspects the unknown operators of offering consumers banking business and/or financial services without the required authorisation. The operators are not supervised by BaFin.
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BankFintechAll Firms
Equity Research Ventures PTE. LTD. („AlleAktien“): evidence indicates no prospectus published
The Federal Financial Supervisory Authority (BaFin) has evidence indicating that Equity Research Ventures PTE. LTD., purportedly domiciled in Singapore, is offering capital investments under the name “Co-Investment AlleAktien Wealth x SpaceX” to the public in Germany without the required prospectus. These capital investments are being offered in the form of “other capital investments” within the meaning of section 1 (2) no. 7 of the German Capital Investment Act (Vermögensanlagengesetz - Verm...
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Asset ManagerWealth ManagerBroker Dealer
New speech by Kelvin Wong: Keynote address at HKICPA’s Financial Services Interest Group Cocktail Reception
No description available.
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BankAsset ManagerBroker Dealer
SAMA Licenses “Aij Company for Financing”
SAMA Licenses “Aij Company for Financing”
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Fintech
SAMA Licenses “Wukad Solutions for Aggregation Services” Company to Provide Finance Aggregation Services
SAMA Licenses “Wukad Solutions for Aggregation Services” Company to Provide Finance Aggregation Services
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Fintech
CFTC Staff Issues Prediction Markets Advisory
No description available.
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Broker DealerCrypto Exchange
Prometheus Investment Alliance: BaFin warns against offers in WhatsApp groups
The German Financial Supervisory Authority (BaFin) warns against offers made by Prometheus Investment Alliance (PIA), which claims to be based in the United States of America and Frankfurt am Main, on the website prometheus-alliance(.)de and in various WhatsApp groups. In the WhatsApp groups run by the alleged Achim Falkenberg and his assistant Bertha, consumers are tricked into trading financial products via the QVTcoinese-Pro app using the ‘Genialer Intelligenter Roboter 5.0’ trading system.
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BankFintechAll Firms
CFTC Seeks Public Comment on Advanced Notice of Proposed Rulemaking Relating to Prediction Markets
No description available.
AI Analysis
The CFTC has issued an Advanced Notice of Proposed Rulemaking (ANPRM) seeking public comments on potential amendments or new regulations for event contracts in prediction markets, focusing on statutory compliance, public interest prohibitions, and cost-benefit analysis. This matters for compliance professionals as it signals heightened CFTC scrutiny and forthcoming rules that could reshape prediction market operations, amid jurisdictional disputes and enforcement priorities. (https://www.cftc.gov/PressRoom/PressReleases/9194-26)
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Broker DealerCrypto ExchangeAll 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:
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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...
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Asset ManagerWealth Manager
Mjolnex: BaFin warns against offers on website mjolnex-ltd(.)com
The Federal Financial Supervisory Authority BaFin warns against offers on the website mjolnex-ltd(.)com. According to information available to BaFin, the company Mjolnex, allegedly based in Frankfurt, is offering financial or investment services and crypto asset services without the required authorisation.
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BankCrypto ExchangeFintech
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.
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BankFintechCrypto Exchange
TGI AG: evidence indicates no prospectus published
The Federal Financial Supervisory Authority (BaFin) has evidence indicating that TGI AG, domiciled in Vaduz, Principality of Liechtenstein, is offering capital investments to the public in Germany called “discounted gold purchases” (Goldkauf mit Rabatt). In return for the temporary provision of money, these investments grant interest and the physical delivery of gold. In contravention of section 6 of the German Capital Investment Act (Vermögensanlagengesetz - VermAnlG), no prospectus has been...
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BankWealth ManagerAll Firms
BaFin warns consumers about the series of platforms with the slogan “Invest and trade 300+”
The Federal Financial Supervisory Authority (BaFin) warns consumers about a series of almost identical websites. According to information available to BaFin, this website is being used to offer financial, investment and cryptoasset services without the required authorisation. The operators of the website are not supervised by BaFin.
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BankFintechCrypto Exchange
List of professional activities and mandates performed by members of the management body/governing body and by conducting officers (points 105 and 107 of Circular CSSF 18/698) (Updated)
Table listing the professional activities and the mandates performed
AI Analysis
This CSSF publication is an updated table (in XLSX format) listing standardized professional activities and mandates for members of the management body/governing body and conducting officers, as required under points 105 and 107 of Circular CSSF 18/698. It matters because it ensures consistent, transparent reporting of senior personnel roles in Luxembourg investment fund managers (IFMs), supporting governance, conflict-of-interest management, and CSSF supervisory oversight. Compliance professionals must use this list to standardize disclosures in authorization files and ongoing reporting.
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Asset ManagerBankAll Firms
CFTC and SEC Announce Historic Memorandum of Understanding Between Agencies
No description available.
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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.
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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.
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BankCrypto ExchangeAll Firms
Global situation of undertakings for collective investment at the end of January 2026
Press release 26/05
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Asset ManagerWealth Manager
FCA imposes restrictions on Sendsii Ltd
On 23 January 2026, the FCA imposed requirements on Sendsii Ltd which prevent them from carrying out any regulated activity. The FCA has issued a First Supervisory Notice to Sendsii Ltd after HM Revenue and Customs (HMRC) suspended the firm’s registration on 9 October 2025. The suspension means that Sendsii Ltd no longer met the conditions required for its FCA authorisation under the Payment Services Regulations 2017.These requirements prevent Sendsii Ltd from carrying out any regulated activ...
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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...
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BankFintech
Remedy Housing officers sentenced for dishonesty offences
Remedy Housing officers sentenced for dishonesty offences
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BankFintech
Stepping back, staying safe: a joined-up approach to growth
Speech by David Geale, executive director, payments and digital finance, and PSR managing director at the MoneyLIVE Summit 2026, London. ConsolidationRule 1 is ‘Out of clutter, find simplicity.’The Government announced its intention to consolidate the PSR into the FCA about a year ago. It was a decision we welcomed.Our work has always been complementary, and we made it work.As an economic regulator, the PSR is focused on getting the foundations right – the payment systems and infrastructure t...
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BankFintechCrypto Exchange
Remarks by Gerry Cross, Director of Capital Markets & Funds - CASP Industry Briefing
Introduction Good morning. I am delighted to welcome you to Central Bank of Ireland today as part of our continued engagement with the crypto sector. This time last year we hosted an industry briefing focused on the path to success in the authorisation of Crypto-Asset Service Providers (CASPs). It has been a very active 12 months, and today I see many of you in the room from newly authorised CASPs who have come through the process successfully. This morning’s event is an excellent opportunity...
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Crypto ExchangeFintech
Basic statistical data on UCIs – January 2026 (only in French)
No description available.
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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
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Wealth Manager
Issuers of securities whose home Member State is Luxembourg pursuant to the Law of 11 January 2008
Situation as at 28 February 2026
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BankAsset ManagerBroker Dealer
Origin of UCI initiators in Luxembourg
Situation as at 31 January 2026
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Asset ManagerWealth Manager
Investment policy of UCIs
Situation as at 31 January 2026
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Asset ManagerBankWealth Manager
CFTC Chairman Michael S. Selig, Chairman: FIA Global Cleared Markets Conference
No description available.
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Broker DealerFintechCrypto Exchange
CFTC Announces Marc H. Sielski as Executive Director
No description available.
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BankBroker DealerFintech
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
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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
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BankFintech
New speech by Kelvin Wong: Keynote remarks at the Hong Kong Securities and Investment Institute Chairman’s Cocktail
No description available.
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BankAsset ManagerBroker Dealer
Opening Remarks by Mr Alvin Tan, Minister of State, Ministry of National Development and Ministry of Trade and Industry and Board Member, Monetary Authority of Singapore at the Opening of Nasdaq’s New Office in Singapore on 9 March 2026
At the opening of Nasdaq’s new office in Singapore, Mr Alvin Tan, Minister of State, Ministry of National Development & Ministry of Trade and Industry, and Board Member of MAS, highlighted the Global Listing Board as a "digital bridge" connecting Asian and US markets, and emphasised Singapore's broader efforts to strengthen its startup ecosystem through various initiatives.
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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.
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Asset ManagerBankBroker Dealer
CFTC Chairman Selig Announces Departure of Senior Advisor Brigitte Weyls
No description available.
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Broker DealerCrypto Exchange
Administrative sanction of 2 December 2025
Administrative sanction imposed on a réviseur d’entreprises agréé
AI Analysis
The CSSF imposed an administrative sanction on 2 December 2025 against an approved statutory auditor (*réviseur d’entreprises agréé*) for breaches of professional obligations, likely related to continuing education requirements under Luxembourg's Audit Law, mirroring patterns in recent similar cases. This enforcement action underscores the CSSF's rigorous oversight of audit professionals, emphasizing compliance with ongoing training mandates to maintain audit quality and market integrity. Compliance professionals should note it as evidence of heightened scrutiny on non-delegable professional duties.
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All Firms
Administrative sanction of 2 December 2025
Administrative sanction imposed on a réviseur d’entreprises agréé
AI Analysis
The CSSF imposed an administrative sanction on 2 December 2025 against an approved statutory auditor (*réviseur d’entreprises agréé*) for breaches of professional obligations, likely related to continuing education requirements under Luxembourg's Audit Law, mirroring patterns in recent similar cases. This enforcement action underscores the CSSF's rigorous oversight of audit professionals, emphasizing compliance with ongoing training mandates to maintain audit quality and market integrity. Compliance professionals should note it as evidence of heightened scrutiny on non-compliance with minimum continuing education hours.
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All Firms
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (February 27, 2026)
No description available.
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BankAsset ManagerWealth Manager
Additional charges brought against financial services company director
Additional charges brought against financial services company director
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Wealth ManagerBankFintech
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
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Topics:
BankAsset ManagerWealth Manager
exomarkets(.)pro: BaFin warns consumers about website and identity theft
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website exomarkets(.)pro. According to information available to BaFin, this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
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BankFintechCrypto Exchange
Warning concerning the websites www.goldingfx.com, www.goldingdigital.com and www.goldingdigital.net
No description available.
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BankWealth ManagerFintech
BaFin warns consumers about the series of platforms with the slogan “Trade Without Limits with 0 Spread Forex Broker”
The Federal Financial Supervisory Authority (BaFin) warns consumers about a series of almost identical websites. According to information available to BaFin, the operators are offering cryptoasset services on these websites without the required authorisation. The operators are not supervised by BaFin.
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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
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BankWealth ManagerAll Firms
SEC Investor Advisory Committee to Host March 12 Meeting
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on March 12 at 10 a.m. ET to discuss public company disclosure reform, fund proxy voting, and a potential…
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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, and…
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Broker DealerAll Firms
Central Bank of Ireland Launches Discussion Paper on Tokenisation and Distributed Ledger Technology in Financial Services
Central Bank of Ireland today published a Discussion Paper examining the potential role of Distributed Ledger Technology (DLT) and tokenisation in the financial system . Deputy Governor Vasileios Madouros, commenting on the publication, said: “Distributed ledger technology and tokenisation have the potential to transform how financial services are delivered. We believe this technology, if enabled and deployed correctly, can change the financial system for the better, including by helping the ...
AI Analysis
The Central Bank of Ireland (CBI) has launched Discussion Paper 12 (DP12) on Distributed Ledger Technology (DLT) and tokenisation in financial services to explore their transformative potential in areas like markets, funds, payments, and money, while assessing opportunities, risks, and enablers such as legal clarity and interoperability. This matters for compliance professionals as it signals CBI's proactive stance on integrating these technologies into a resilient financial system, aligning with EU ambitions like the Savings and Investment Union, and invites stakeholder input to shape future policy without proposing immediate rules. (Source: https://www.centralbank.ie/news/article/press-release-discussion-paper-tokenisation-and-distributed-ledger-technology-in-financial-services-5-march-26 [publication]; https://www.arthurcox.com/insights/central-bank-issues-discussion-paper-on-dlt-tokenisation-in-financial-services/ )
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Asset ManagerBankFintech
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
Impax Stocker (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Impax Stocker (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
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Asset 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
Aurenbridge Alliance: BaFin warns consumers about the website aurenbridge(.)com and offers in WhatsApp groups
The Federal Financial Supervisory Authority (BaFin) warns consumers about the website aurenbridge(.)com and WhatsApp groups operated under the company name Aurenbridge Alliance (e.g. “Aurenbridge Alliance (ABA)”). In these WhatsApp groups, consumers are encouraged to use an app called Cryplus to trade in financial instruments and cryptoassets. BaFin suspects the unknown operators of offering consumers financial, investment and cryptoasset services without the required authorisation.
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Topics:
BankFintechCrypto Exchange
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.
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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.
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BankFintechAll Firms
Warning concerning the website www.parefturn.fund
No description available.
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Topics:
BankWealth ManagerFintech
Examination of professional competence for “réviseurs d’entreprises” (statutory auditors) – 2025 Session (only in French)
No description available.
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Topics:
BankWealth ManagerAll Firms
ASIC cancels Australian credit licence of John Adicho
ASIC cancels Australian credit licence of John Adicho
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All Firms
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung der Verordnung vom 21. März 2025 über Massnahmen gegenüber Personen und Organisationen, die mit den Organisationen ISIL (Da'esh) und Al-Kaida in Verbindung stehen (SR 946.231.08) publiziert.
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BankWealth ManagerAll Firms
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.
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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.
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Topics:
BankCrypto ExchangeFintech
watchvestvermittlung(.)com / wv-vermittlung(.)com: BaFin warns about websites and indicates identity fraud at the expense of Watchvest GmbH
The German Financial Supervisory Authority (BaFin) warns about offers from the websites watchvestvermittlung(.)com and wv-vermittlung(.)com. According to information available to BaFin, the unknown operators of the website are offering banking services, in particular fixed-term deposits, and financial services without the required authorisation. They give the impression that their offers originate from Watchvest GmbH. It is a case of identity fraud. Watchvest GmbH has no connection with the w...
Sectors:
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BankWealth ManagerFintech
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.
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BankFintechAll Firms
UK Listing Rules for investment entities review
We are bringing forward a review of some aspects of the UK Listing Rules to consider how they apply to specific types of investment entities. As part of the Primary Markets EffectivenessReviewwe explored which types of investment entities could be eligible to be listed. Since introducing the new listingruleswe have heard from stakeholders that these eligibility criteria, particularlyregardingrisk-spreading, may be unduly restrictive. We will use this review to assess if changes should be made...
AI Analysis
The FCA is conducting a targeted review of UK Listing Rules applicable to investment entities, with particular focus on whether current risk-spreading eligibility criteria are unduly restrictive and how rules support shareholder rights and conflict management. This review represents a potential material shift in listing accessibility for alternative investment funds and closed-ended investment vehicles, with final proposals expected by end-2026.
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Asset ManagerHedge Fund
Regulatory Notice 26-05
Regulatory Notice 26-05
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Broker DealerWealth ManagerBank
Notifications sent by the CSSF to the competent authorities of other EEA Member States
Situation from February 2025 to February 2026
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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
CFTC Chairman Selig Announces Mel Gunewardena as Director of the Office of International Affairs and Senior Markets Advisor to the Chairman
No description available.
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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
CFTC Chairman Selig Announces David I. Miller as Director of Enforcement
No description available.
AI Analysis
The CFTC announced on March 2, 2026, the appointment of David I. Miller, a former federal prosecutor and white-collar defense attorney, as Director of Enforcement, replacing acting director Paul Hayeck. This leadership change signals a potential shift toward stricter enforcement against fraud, market manipulation, and abusive trading practices, particularly in commodities and digital assets, while emphasizing the division's core policing role over policy-making. Compliance professionals should monitor this for evolving enforcement priorities, as Miller's prosecutorial background and digital asset experience may intensify scrutiny on high-risk activities.
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Topics:
Broker DealerCrypto ExchangeAll Firms
Publication of guidance on documents and information to be submitted for the assessment of the shareholding structure of authorised IFMs – initial authorisation and modification of an authorised IFM (qualified and non-qualified shareholders)
No description available.
AI Analysis
The CSSF published guidance on 2 March 2026 specifying minimum documents and information required for assessing shareholding structures of authorised Investment Fund Managers (IFMs) during initial authorisation and subsequent modifications, covering both qualified and non-qualified shareholders. This matters because incomplete submissions will not be processed, potentially delaying authorisations or amendments amid ongoing CSSF scrutiny of governance and ownership in Luxembourg's fund sector.
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Topics:
Asset Manager
Guidance on the documents and information to be submitted for the assessment of the shareholding structure of authorised IFMs – initial authorisation and modification of an authorised IFM (qualified and non-qualified shareholders)
Version 1.0
AI Analysis
This CSSF guidance (Version 1.0, published 2 March 2026) specifies the minimum documents and information required for assessing shareholding structures of authorised Investment Fund Managers (IFMs) during initial authorisation or modifications involving qualified and non-qualified shareholders. It standardises submissions to ensure completeness, with incomplete applications rejected until fully provided, enhancing regulatory efficiency and scrutiny of ownership changes. Compliance professionals must prioritise this to avoid delays in authorisation processes for Luxembourg-domiciled IFMs.
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Topics:
Asset Manager
MetaFlow Finance: BaFin issues warning about job offers
The Federal Financial Supervisory Authority (BaFin) warns consumers about job offers for a “part-time payment assistant” (Teilzeit-Auszahlungsassistent) appearing on the website metaflows(.)work. BaFin suspects the unknown operators of the website metaflows(.)work of offering consumers payment services without the required authorisation.
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Topics:
BankFintechPayment Provider
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.
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Topics:
BankWealth ManagerFintech
BaFin warns consumers about the website viforex(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website viforex(.)com. BaFin has information that this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankFintechCrypto Exchange
Capitalis (Bank): BaFin warns consumers about the website capitalisgroup(.)site
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Capitalis and the services it is offering. BaFin suspects the unknown operators, who purportedly have their registered office in France, of using the website capitalisgroup(.)site to offer loans to consumers and thus conduct banking business without the required authorisation.
Sectors:
Topics:
BankFintech
Financiamas: BaFin warns consumers about the website financiamas-cs(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Financiamas and the services it is offering. BaFin suspects the unknown operators, who purportedly have their registered office in Madrid, Spain, of using the website financiamas-cs(.)com to offer loans to consumers and thus conduct banking business without the required authorisation.
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Topics:
BankFintech
Sophia Bennani appointed AMF Director of Inspections
Appointment Institutional Sophia Bennani appointed AMF Director of Inspections
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Asset ManagerWealth Manager
FCA opens authorisation gateway for targeted support
Firms can now apply for permission to provide targeted support. Targeted support is a once in a generation change that will help millions navigate their financial lives. From 6 April 2026, people’s banks, pension providers, or other financial firms that are authorised for targeted support can provide suggestions designed for groups of consumers with common characteristics. This will help them make important decisions across their pensions and investments.We want authorised firms to be ready t...
Sectors:
Topics:
BankWealth Manager
KPH Advisory Services (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
KPH Advisory Services (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Wealth ManagerAll Firms
Sugon Ventures - Central Bank of Ireland Issues Warning on Unauthorised Firm
Central Bank of Ireland Issues Warning on Unauthorised Firm – Sugon Ventures
Sectors:
Topics:
Fintech
Stalwart Investments Limited (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Stalwart Investments Limited (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankFintechAll Firms
SB Leasing Ireland Limited (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
SB Leasing Ireland Limited (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankFintechAll Firms
Earston Limited t/a Earston Wealth Management (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Earston Limited t/a Earston Wealth Management (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Wealth Manager
Investment fund managers
Situation as of 31 December 2025
Sectors:
Topics:
Asset ManagerBank
Axoria AI: BaFin warns against offers on the website axoria(.)ai
The Federal Financial Supervisory Authority BaFin warns against offers on the website axoria(.)ai. According to information available to BaFin, the operator is providing financial and investment services without the required authorisation.
Sectors:
Topics:
BankFintechAll Firms
BaFin warns about the series of platforms „Sofortiger Aimex/Saimex Trade“
The Federal Financial Supervisory Authority BaFin warns customers about online trading platforms that use the name “Sofortiger Aimex/ Sofortiger Saimex”. According to information available to BaFin, operators are providing financial and investment services without the required authorisation.
Sectors:
Topics:
BankFintechAll Firms
Temporary closure of Nasdaq Dubai effective Monday, 2 March 2026 and Tuesday, 3…
Temporary closure of Nasdaq Dubai effective Monday, 2 March 2026 and Tuesday, 3…
Sectors:
Topics:
BankBroker DealerFintech
DFSA AML and Glossary Modules amendments come into force; FAQs published
DFSA AML and Glossary Modules amendments come into force; FAQs published
Sectors:
Topics:
BankWealth ManagerAsset Manager
DFSA Reminder: Current DFSA Working arrangements – Statement: 1 March 2026
DFSA Reminder: Current DFSA Working arrangements – Statement: 1 March 2026
Sectors:
Topics:
BankWealth ManagerAll Firms
Others,Updated : Japan Weeks 2026
No description available.
Sectors:
Topics:
Asset ManagerBroker Dealer
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
SEC, FSA Hold Spring Financial Regulatory Dialogue
The U.S. Securities and Exchange Commission (SEC) and the Financial Services Agency of Japan (FSA) convened the Spring SEC-FSA Financial Regulatory Dialogue in Tokyo on Feb. 27, 2026.The SEC–FSA Dialogue builds upon longstanding efforts between the two…
Sectors:
Topics:
BankAsset ManagerBroker Dealer
New Q&As available
New Q&As available 27 February 2026 CCP Digital Finance and Innovation Financial reporting Issuer disclosure Transparency The European Securities and Markets Authority (ESMA), the EU's securities markets regulator, has published or updated the following Questions and Answers: European crowdfunding service providers for business Use of fiduciary (nominee) structures in equity crowdfunding (2601) Markets in Crypto-Assets Regulation (MiCA) Clarification on Withdrawal Requirements under Article 7...
AI Analysis
ESMA has published or updated multiple Q&As covering European crowdfunding, MiCA for crypto-asset service providers (CASPs), EMIR for central counterparties (CCPs), and Transparency Directive requirements on financial reporting and alternative performance measures (APMs). These updates provide clarifications on operational, reporting, and disclosure obligations, enhancing supervisory convergence and compliance certainty amid evolving EU regulations like MiCA and IFRS 18. Compliance professionals must prioritize these to avoid enforcement risks, particularly with upcoming effective dates in 2027.
Sectors:
Topics:
Crypto ExchangeBroker DealerFintech
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
Braddick to take the helm at the UK’s banking watchdog
Katharine Braddick CB appointed as the next Deputy Governor for Prudential Regulation at the Bank of England and Chief Executive of the Prudential Regulation Authority, succeeding Sam Woods when his term ends in June 2026.
Sectors:
Topics:
BankWealth ManagerAsset Manager
Midvest Limited: warns consumers about the website midv-lim(.)com
The Federal Financial Supervisory Authority BaFin warns against offers on the website midv-lim(.)com. According to information available to BaFin, the operator Midvest Limited from Manchester, UK, is providing financial and investment services without the required authorisation.
Sectors:
Topics:
BankWealth Manager
Issue 2 2026
No description available.
Sectors:
Topics:
Asset ManagerBankBroker Dealer
List of supervised entities - Cut-off date 1 January 2026
No description available.
Sectors:
Topics:
Bank
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
ESMA issues a supervisory briefing on algorithmic trading
ESMA issues a supervisory briefing on algorithmic trading 26 February 2026 Trading The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, today published a supervisory briefing to support consistent supervision of algorithmic trading across the EU. The briefing provides National Competent Authorities (NCAs) with practical tools and clarified expectations for supervising firms engaged in algorithmic trading under MiFID II. It focuses on key a...
Sectors:
Topics:
Broker DealerFintechAll Firms
SEC Announces Roundtable on Private Markets Valuation As Retail Investor Access Accelerates
The Securities and Exchange Commission today announced it will hold a roundtable on March 4 to discuss private market valuations and responsible retailization.The roundtable will be hosted by the Division of Investment Management from 1 p.m. to 3 p.m. ET…
Sectors:
Topics:
Asset ManagerBroker DealerFintech
Payments Vision Delivery Committee publishes Payments Forward Plan
The Payments Vision Delivery Committee (the Committee) has published the Payments Forward Plan (the Plan). Read the Plan on GOV.UKThe Committee comprises:HM TreasuryBank of EnglandFinancial Conduct AuthorityPayment Systems RegulatorThe Plan sets out upcoming initiatives across retail and wholesale payments, including elements of digital assets. Recent publications on open banking, stablecoins and contactless limits, alongside the initiatives in the Plan, show the high level of activity across...
AI Analysis
The Payments Vision Delivery Committee—comprising HM Treasury, Bank of England, FCA, and Payment Systems Regulator—has published the **Payments Forward Plan**, a three-year regulatory roadmap for retail, wholesale payments, and digital assets, aligning with the UK's National Payments Vision for a trusted, innovative ecosystem. This matters for compliance teams as it provides sequencing and milestones for multiple initiatives, enabling proactive planning amid high regulatory activity, including PSR consolidation into FCA and infrastructure upgrades. It signals coordinated efforts to boost competition, resilience, and innovation while minimizing sector capacity strain.[FCA publication]
Sectors:
Topics:
Payment ProviderFintechBank
Directive (EU) 2026/470 of the European Parliament and of the Council of 24 February 2026
amending Directives 2006/43/EC, 2013/34/EU, (EU) 2022/2464 and (EU) 2024/1760 as regards certain corporate sustainability reporting requirements and certain corporate sustainability due diligence requirements
Sectors:
Topics:
Asset ManagerBankWealth Manager
Smart IT Global Limited: evidence indicates no prospectus published
The Federal Financial Supervisory Authority (BaFin) has evidence indicating that Smart IT Global Limited, Hong Kong, is offering several capital investments to the public in Germany. This includes two forms of profit participation loans, which are being offered under the names “smart it World” and “smart it Sprint”. Furthermore, another investment is currently being marketed that offers the prospect of assets in the form of a cash settlement in return for the temporary provision of money (“sm...
Sectors:
Topics:
All Firms
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
CFTC Enforcement Division Issues Prediction Markets Advisory
No description available.
AI Analysis
The CFTC Enforcement Division issued an advisory on February 25, 2026, detailing two enforcement cases involving illegal trading on prediction markets (event contracts) traded on KalshiEX, a Designated Contract Market. The advisory clarifies that the CFTC maintains full enforcement authority over prediction markets and will prosecute violations including insider trading, market manipulation, and fraud—establishing critical compliance expectations for platforms and traders in this emerging asset class.
Sectors:
Topics:
Crypto ExchangeBroker Dealer
SAMA Announces Opening of Applications for “Saudi Economists” Track Under SPP
SAMA Announces Opening of Applications for “Saudi Economists” Track Under SPP
Sectors:
Topics:
Bank
Identity fraud against Ultramarin Capital GmbH, Munich: BaFin warns consumers about the website ultramarin-capital(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website ultramarin-capital(.)com. BaFin suspects the unknown operators of the website of offering consumers financial and investment services without the required authorisation.
Sectors:
Topics:
BankWealth Manager
Warning concerning the fraudulent activities carried out by Aisbierg Ennerstetzung Bank
No description available.
Sectors:
Topics:
BankWealth Manager
FCA selects 4 firms to test stablecoin innovation in its Regulatory Sandbox
The FCA has chosen 4 companies to test how their stablecoin services work with proposed regulation in a safe environment. The stablecoins cohort is part of our commitment to supporting growth and innovation in UK financial services. 20 applications were received and the FCA has chosen the following firms:Monee Financial TechnologiesReStabiliseRevolutVVTXThe Regulatory Sandbox programme allows firms to trial stablecoin products in real world conditions with appropriate safeguards. It will help...
Sectors:
Topics:
FintechCrypto ExchangePayment Provider
FCA proposes action to close gaps in borrowers’ credit files
Lenders could have access to more comprehensive information to support lending decisions, under new proposals by the FCA. The FCA is consulting on designating certain credit reference agencies (CRAs). If a lender shares credit information with one designated consumer CRA, it would be required to share it with them all.The changes aim to close gaps in consumers’ credit files and ensure these more accurately reflect people’s financial circumstances.Alison Walters, director of consumer finance a...
Sectors:
Topics:
BankFintechAll Firms
SFC welcomes Government budget measures to bolster Hong Kong’s role in global finance and national development
No description available.
Sectors:
Topics:
BankBroker DealerCrypto Exchange
Warning concerning fraudulent activities by persons misusing the name of MERITUM CAPITAL
No description available.
Sectors:
Topics:
BankWealth ManagerAll Firms
Warning concerning the website www.jfl-invest.com
No description available.
Sectors:
Topics:
BankWealth ManagerFintech
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
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
Misrepresentations Made By A Non Adgm Entity
Misrepresentations Made By A Non Adgm Entity
Sectors:
Topics:
BankWealth ManagerFintech
ESMA reminds firms of their obligations under CFD product intervention measures amid rising offerings of perpetual futures
ESMA reminds firms of their obligations under CFD product intervention measures amid rising offerings of perpetual futures 24 February 2026 Investor protection The European Securities and Markets Authority (ESMA), the EU’s 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 contracts for differences (CFDs). The statement responds to the...
Sectors:
Topics:
Broker DealerCrypto ExchangeAll Firms
Warning concerning the website www.capman-holding.com
No description available.
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Identity fraud: BaFin warns against offers on website trade.amlin-limited(.)info
The Federal Financial Supervisory Authority BaFin warns against offers on the website trade.amlin-limited(.)info. According to information available to BaFin, financial or investment services and crypto asset services are being offered on this platform without the required authorisation. According to the current state of knowledge, there is no connection to MS Amlin Investment Management Ltd., based in London, UK. This is likely to be a case of identity fraud.
Sectors:
Topics:
BankFintechCrypto Exchange
Identity theft: BaFin warns against offers on website personalcontrol-room(.)com
The Federal Financial Supervisory Authority BaFin warns against offers on the website personalcontrol-room(.)com and against fake investment contracts sent by alleged financial experts from Clearstream Holding AG. According to information available to BaFin, the unknown operators are providing financial or investment services and crypto asset services without the required authorisation. The offers do not originate from Clearstream Holding AG or any other legal entities of Clearstream. This is...
Sectors:
Topics:
BankWealth ManagerFintech
Independent Football Regulator and FCA Memorandum of Understanding
We have signed a Memorandum of Understanding (MoU) with the Independent Football Regulator (IFR). The MoU establishes how the 2 organisations will work together and support effective regulation where football and financial services intersect.It also sets out a high-level framework for principles for cooperation between the IFR and the FCA.Read the MoU (PDF)
AI Analysis
The FCA has signed a Memorandum of Understanding (MoU) with the newly established Independent Football Regulator (IFR) to define cooperation on regulating intersections between football clubs and financial services, such as ownership suitability, licensing, and financial sustainability. This matters for compliance professionals as it formalizes information sharing and joint oversight, potentially impacting firms involved in football-related financing, investments, or consumer credit products tied to sports. It supports the Football Governance Act 2025 framework, enhancing regulatory alignment where financial misconduct could affect club operations.[https://www.fca.org.uk/news/statements/mou-independent-football-regulator-fca]
Sectors:
Topics:
BankFintechPayment Provider
Madison Realty Capital Expands Global Platform With Launch Of Middle East Office
Madison Realty Capital Expands Global Platform With Launch Of Middle East Office
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Polygreen Establishes Regional Holding Company In Adgm
Polygreen Establishes Regional Holding Company In Adgm
Sectors:
Topics:
BankWealth ManagerFintech
Written reply to Parliamentary Question on Circulation of Five-Cent Coins
Written reply to Parliamentary Question on Circulation of Five-Cent Coins
Sectors:
Topics:
BankPayment ProviderAll Firms
CFTC Chairman Selig Announces Senior Staff Appointments
No description available.
Sectors:
Topics:
BankFintechCrypto Exchange
Identity Fraud: BaFin Warns About Offers On Website krf-mbh(.)com
The German Federal Financial Supervisory Authority (BaFin) has issued a warning regarding offers available at the website krf-mbh(.)com, purportedly operated by Gesellschaft für Kryptoregisterführung GmbH based in Willich. However, these offerings do not originate from Gesellschaft für Kryptoregisterführung GmbH nor any of their staff members; it's a clear instance of identity fraud. Unauthorized individuals are providing unauthorized financial and cryptocurrency-related services through this...
Sectors:
Topics:
BankFintechCrypto Exchange
BaFin warns consumers about the websites weisbergadvisors(.)inc and weisbergadvisors(.)ai
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the websites weisbergadvisors(.)inc and weisbergadvisors(.)ai. According to information available to BaFin, these websites are being used to offer financial and investment services without the required authorisation.
Sectors:
Topics:
BankWealth ManagerFintech
Covered bond issue programme Authorisation Application Form (only in French)
Conditions relating to the organisation of the credit institution issuing covered bonds
Sectors:
Topics:
Bank
Covered bond issue programme Authorisation Application Form
Conditions specific to each covered bond issue programme
Sectors:
Topics:
Bank
Launch of a dedicated page for the Luxembourgish covered bonds (“lettres de gage”) framework on the CSSF website
No description available.
Sectors:
Topics:
BankWealth Manager
Regulatory Notice 26-04
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
Sectors:
Topics:
Broker DealerAll Firms
Influencers fined for issuing unauthorised financial promotions
Seven social media influencers have been sentenced at Southwark Crown Court for their role in the promotion of an unauthorised foreign exchange trading scheme. Biggs Chris, Jamie Clayton, Lauren Goodger, Rebecca Gormley, Yazmin Oukhellou, Scott Timlin and Eva Zapico all pleaded guilty to one count of issuing unauthorised financial promotions.The outcomes were:Lauren Goodger was fined £3,750 and ordered to pay costs of £5,778.18.Biggs Chris was fined £600 and ordered to pay costs of £1,000.Jam...
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
PS5/26 – Credit Union Service Organisations
Policy statement 5/26
AI Analysis
PRA Policy Statement PS5/26 finalizes rules permitting UK credit unions to invest in Credit Union Service Organisations (CUSOs), expanding from the CP13/25 proposals to foster innovation, collaboration, and growth while managing prudential risks through safeguards like due diligence and investment caps. This matters as it enables credit unions—often smaller mutuals—to access shared services (e.g., HR, IT, compliance) via CUSOs, leveling the playing field against larger competitors and supporting the PRA's safety/soundness and competitiveness objectives.
Sectors:
Topics:
BankFintechAll Firms
Identity Fraud: BaFin warns of unfair job offer on the website vios-beratung(.)de
The financial supervisory authority BaFin is warning about a dubious job advertisement on the website vios-beratung(.)de which allegedly operates from the VIOS Consulting GmbH, Bielefeld. However, the offers on this site do not come from the VIOS Consulting GmbH or its employees. This is identity fraud. Unknown operators are advertising private individuals with seemingly lucrative job opportunities that involve opening accounts for testing purposes and transferring money or cryptocurrencies a...
Sectors:
Topics:
BankFintechCrypto Exchange
Tethys Investment Alliance: BaFin warns against offers in WhatsApp groups and indicates identity fraud at the expense of Tethys Investment Management LLC
The German Financial Supervisory Authority (BaFin) warns against the WhatsApp groups „Tethys Investment Alliance 771“ and „Tethys Investment Alliance-S62“, the websites „tethys-alliance.de“ and „tethys-uberblick.com“ as well as the apps „QVTCoinese“ und „QVTCoinese Pro“, which are allegedly operated by the Baku/Boston/Dubai-based company Tethys Investment Management LLC. In the WhatsApp groups consumers are enticed to trade financial products via the respective apps. It is suspected that the ...
Sectors:
Topics:
BankWealth ManagerFintech
WhatsApp groups: warns consumers about boamglobal and BlueOcean Asset Management Ltd.
The Federal Financial Supervisory Authority BaFin warns against offers on the websites boamglobal.com and boamglobal-mf.com and against WhatsApp groups lead by “Dr Feldmann” and his assistant “Lina Weiss”. According to information available to BaFin, the operator BlueOcean Asset Management Ltd. is providing financial and investment services without the required authorisation.
Sectors:
Topics:
Asset Manager
Councils,The second meeting of the Expert Panel on the Revision of the Corporate Governance Code (2025-2026)
No description available.
Sectors:
Topics:
BankWealth Manager
The Casino case: the Paris Tribunal Correctionnel ruling marks the end of a market abuse case in which the AMF has been heavily involved
MAR Executive & other private individuals Journalists Listed companies and issuers The Casino case: the Paris Tribunal Correctionnel ruling marks the end of a market abuse case in which the AMF has been heavily involved
Sectors:
Topics:
BankBroker DealerAsset Manager
Publication,FSA publishes English translation of monthly magazine, Access FSA No.267
No description available.
Sectors:
Topics:
Payment ProviderAll Firms
Dukas-Global: BaFin warns consumers about the website dukas-global(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Dukas-Global and the services it is offering. BaFin suspects the unknown operators of the website dukas-global(.)com of offering consumers financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankFintechCrypto Exchange
BaFin warns consumers about the website referral.mnlo(.)app
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website referral.mnlo(.)app. BaFin has information that Next Level Church Global Hub, Inc., New Orleans, USA, is using this website to offer banking business and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankFintechCrypto Exchange
BaFin warns consumers about the website blue-invest(.)org
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website blue-invest(.)org. BaFin has information that the operators are offering banking business and/or financial services on this website without the required authorisation. The operators are not supervised by BaFin.
Sectors:
Topics:
FintechCrypto ExchangeAll Firms
Aktualisierte Sanktionsmeldung: Sudan
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung (WBF) hat den Anhang 2 der Verordnung vom 25. Mai 2005 über Massnahmen gegenüber Sudan (SR 946.231.18) geändert.
AI Analysis
The Swiss Federal Department for Economic Affairs, Education and Research (WBF) has amended Annex 2 of the Ordinance of 25 May 2005 on Measures against Sudan (SR 946.231.18), updating Switzerland's sanctions list in alignment with UN and international developments. This matters for Swiss financial institutions as it imposes immediate asset freeze and reporting obligations on newly designated individuals and entities linked to threats against Sudan's peace and security, including RSF support and mercenary activities. Compliance teams must screen and act swiftly to avoid FINMA enforcement under supervisory law.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Aktualisierte Sanktionsmeldung
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung (WBF) hat den Anhang der Verordnung vom 10. April 2024 über Massnahmen gegenüber Personen und Organisationen, welche die Hamas oder den Palästinensischen Islamischen Dschihad unterstützen (SR 946.231.09), geändert.
Sectors:
Topics:
BankWealth ManagerAll Firms
SEC Proposes Amendments to Reduce Burdens in Reporting of Fund Portfolio Holdings
No description available.
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
Central Bank Independence is an anchor for stability, not a shield - Makhlouf
Gabriel Makhlouf, Governor of the Central Bank of Ireland, today delivered a keynote address at the Blavatnik School of Government, outlining the critical role of central bank independence in delivering price stability and supporting economic prosperity for society. Speaking on “Institutions, Anchors, and Their Discontents: The Role of Central Banks”, Governor Makhlouf highlighted how central bank independence, underpinned by clear mandates and robust accountability frameworks, enables moneta...
Sectors:
Topics:
BankAsset ManagerWealth Manager
Warning concerning the website www.qatari.xyz
No description available.
Sectors:
Topics:
BankWealth ManagerFintech
Tribunal upholds bans and fines for reckless adviser and fund manager
The Upper Tribunal has upheld the FCA's decisions to ban Stephen Joseph Burdett and James Paul Goodchild from working in financial services. Mr Burdett and Mr Goodchild previously held senior roles at Synergy Wealth Limited (Synergy) and Westbury Private Clients LLP (Westbury), respectively.The FCA banned the pair from working in regulated financial services for recklessly exposing pension holders to unsuitable investments.The Tribunal also found that it was appropriate for the FCA to impose ...
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Omenyxgroup(.)com: BaFin warns consumers about website
The German Financial Supervisory Authority (BaFin) warns against the website omenyxgroup(.)com, which entices consumers to trade crypto assets. According to information available to BaFin, the unknown operators of the website are offering crypto asset services without the required authorisation.
Sectors:
Topics:
Crypto ExchangeFintech
P&L Invest Holding AG: BaFin warns against offers on website pnl-holding(.)com
The Federal Financial Supervisory Authority BaFin warns against offers on the website pnl-holding(.)com. According to information available to BaFin, P&L Invest Holding AG is providing financial or investment services and crypto asset services without the required authorisation. According to the current state of knowledge, there is no connection to the P&L Invest Holding GmbH. This is likely to be a case of identity fraud.
Sectors:
Topics:
All Firms
ICG GEF: BaFin warns against identity fraud in WhatsApp groups
The Federal Financial Supervisory Authority BaFin warns against offers in WhatsApp groups, which are allegedly operated by Intermediate Capital Group (ICG). According to information available to BaFin, recommendations for the purchase of financial instruments and cryptocurrencies, which can allegedly be traded via ICG GEF app, are offered in various WhatsApp groups. The offers do not originate from ICG Europe S.à.r.l. - Frankfurt Branch or any other company belonging to Intermediate Capital G...
Sectors:
Topics:
BankFintechCrypto Exchange
Identity theft: BaFin warns against offers from the email address info[at]lgimeu(.)com
The Federal Financial Supervisory Authority BaFin warns against fixed-term deposit offers sent from the email address info[at]lgimeu(.)com. According to information available to BaFin, the unknown providers are conducting banking transactions without the required authorisation. The offers do not originate from LGIM Managers (Europe) Limited. This is a case of identity theft.
Sectors:
Topics:
BankAsset ManagerWealth Manager
ASIC commences new review of advice licensees that use lead generation services
ASIC commences new review of advice licensees that use lead generation services
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC cancels AFS licence of Red Panda Future Wealth Pty Ltd
ASIC cancels AFS licence of Red Panda Future Wealth Pty Ltd
Sectors:
Topics:
Wealth Manager
CFTC Reaffirms Exclusive Jurisdiction over Prediction Markets in U.S. Circuit Court Filing
No description available.
Sectors:
Topics:
Broker DealerCrypto Exchange
Chairman Selig: Op-Ed | States Encroach on Prediction Markets
No description available.
Sectors:
Topics:
Crypto ExchangeAll Firms
SAMA Seeks Public Consultation on Draft Rules Regulating Cash Center Management and Operation
SAMA Seeks Public Consultation on Draft Rules Regulating Cash Center Management and Operation
Sectors:
Topics:
BankPayment Provider
The AMF invites financial market participants to AMLA’s consultations on three draft AML/CFT implementing standards
Anti-money Laundering Asset management The AMF invites financial market participants to AMLA’s consultations on three draft AML/CFT implementing standards
AI Analysis
The AMF is urging financial market participants, especially in asset management and related sectors, to engage in AMLA's public consultations on three draft Regulatory Technical Standards (RTS) under the new EU AML/CFT package, covering customer due diligence (CDD), identification of business relationships/transactions, and enforcement measures. These RTS aim to provide harmonized, proportionate implementation guidance, significantly impacting CDD processes and supervisory consistency across the EU, with underlying rules applying from 10 July 2027.[Source URL: https://www.amf-france.org/en/news-publications/news/amf-invites-financial-market-participants-amlas-consultations-three-draft-amlcft-implementing#xts=607212&xtor=RSS-11&type=RSS]
Sectors:
Topics:
Asset ManagerCrypto ExchangeAll Firms
ECB welcomes extension of Frank Elderson’s term as Vice-Chair of the Supervisory Board
No description available.
Sectors:
Topics:
BankAll Firms
Update of the CSSF FAQ concerning the Luxembourg Law of 17 December 2010 with regard to the portfolio transparency requirements for UCITS ETFs and the holding of ancillary liquid assets
No description available.
AI Analysis
The CSSF has updated its FAQ on portfolio transparency requirements for UCITS ETFs, relaxing disclosure frequency from monthly to quarterly publication of detailed holdings while maintaining daily information sharing with market makers and authorized participants. This change aligns Luxembourg's regulatory framework more closely with Ireland's semi-transparent ETF approach and is designed to attract active asset managers to the Luxembourg domicile by reducing proprietary information exposure.
Sectors:
Topics:
Asset Manager
BaFin warns consumers about the series of platforms that claim: “The [platform name] label holds authorization in multiple global jurisdictions and stands as a reputable online brokerage for Forex and CFDs.”
The Federal Financial Supervisory Authority (BaFin) warns consumers about a series of similarly designed websites. According to information available to BaFin, the operators are providing banking business and/or financial services on these websites without the required authorisation. The operators of the website are not supervised by BaFin.
Sectors:
Topics:
BankBroker DealerFintech
ASIC cancels AFS licence of Superfast AM Pty Ltd
ASIC cancels AFS licence of Superfast AM Pty Ltd
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
FAQ concerning the Luxembourg Law of 17 December 2010 relating to undertakings for collective investment (Updated)
Version 23
AI Analysis
This CSSF FAQ (Version 23, updated 17 February 2026) provides interpretive guidance on the Luxembourg Law of 17 December 2010 relating to undertakings for collective investment (UCIs), covering UCITS, Part II UCIs, SIFs, and SICARs. It matters for compliance professionals as it clarifies authorisation processes, investment rules, and supervisory expectations, ensuring alignment with evolving EU frameworks like AIFMD and MiCAR. The update, effective today, addresses recent regulatory shifts including crypto-asset integration.
Sectors:
Topics:
Asset ManagerHedge FundAll Firms
List of issuers of shares and issuers of sovereign debt (Updated)
For which the CSSF is the relevant competent authority under Regulation (EU) No 236/2012 of the European Parliament and of the Council of 14 March 2012 on short selling and certain aspects of credit default swaps
Sectors:
Topics:
BankBroker DealerAsset Manager
Councils,Publication of the Report by the Working Group on Crypto-asset Systems of the Financial System Council
No description available.
Sectors:
Topics:
Crypto ExchangeFintech
CSSF Annex – Termination of the operation of a branch under Article 33 of Directive 2011/61/EU (AIFMD)
Version 1
Sectors:
Topics:
Asset ManagerBank
CSSF Annex – Termination of the operation of a branch under Article 17 of Directive 2009/65/EC (UCITSD)
Version 1
Sectors:
Topics:
Asset ManagerBank
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 AIFMD (Updated)
Version 3.1
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Topics:
Asset ManagerWealth Manager
SEC Announces 45th Annual Small Business Forum to Improve Capital-Raising Policy
The Securities and Exchange Commission will host the agency’s 45th Annual Government Business Forum on Small Business Capital Formation at SEC headquarters in Washington, D.C., on March 9 from 1 p.m. to 5 p.m. ET. The event will be webcast live. …
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Asset ManagerBroker DealerFintech
Warning concerning the fraudulent activities carried out by Minea Global Finance SA
No description available.
Sectors:
Topics:
BankWealth ManagerFintech
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
Sectors:
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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
Sectors:
Topics:
Broker DealerAll Firms
Origin of UCI initiators in Luxembourg
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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Topics:
BankAsset ManagerWealth Manager
Workgroup convened to enhance Singapore’s ecosystem for Growth Capital
Singapore, 13 February 2026… The Prime Minister and Minister for Finance announced at his 2026 Budget Statement the establishment of a workgroup to develop strategies to strengthen Singapore as a leading centre for growth capital. The Growth Capital Workgroup will be chaired by Mr Chee Hong Tat, Minister for National...
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BankAsset ManagerBroker Dealer
CFTC Announces Innovation Advisory Committee Members
No description available.
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Topics:
Crypto ExchangeFintech
Warning concerning the website www.digitalasset-bank.com
No description available.
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Topics:
BankFintechCrypto Exchange
ASIC imposes licence conditions on Corpay subsidiary following compliance failures
ASIC imposes licence conditions on Corpay subsidiary following compliance failures
Sectors:
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BankPayment Provider
FAQ concerning Master/Feeder Structures (Updated)
Version 3
AI Analysis
This CSSF FAQ (Version 2, July 2013, with updates through 24 June 2013 and 11 July 2013) provides guidance on master-feeder structures for UCITS funds under the Luxembourg Law of 12 July 2010 (the "2010 Law"), addressing financial reporting, performance disclosure, and operational requirements. It matters for Luxembourg-domiciled UCITS managers and depositaries as it clarifies compliance with UCITS Directive rules on aggregation of charges, audit irregularities, and past performance in cross-border master-feeder setups, reducing ambiguity in documentation and investor communications.
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Asset Manager
12 Feb 2026 Read more
12 Feb 2026 Read more
Sectors:
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Broker DealerWealth ManagerBank
Reply to Adjournment Motion on “An Industrial Policy in Finance” by Mr Chee Hong Tat, Minister for National Development, and Deputy Chairman of MAS, on behalf of Mr Gan Kim Yong, Deputy Prime Minister and Minister for Trade and Industry, and Chairman of MAS, on 12 February 2026
Reply to Adjournment Motion on “An Industrial Policy in Finance” by Mr Chee Hong Tat, Minister for National Development, and Deputy Chairman of MAS, on behalf of Mr Gan Kim Yong, Deputy Prime Minister and Minister for Trade and Industry, and Chairman of MAS, on 12 February 2026
Sectors:
Topics:
BankAsset ManagerBroker Dealer
MAS Announces Expansion of Equity Market Development Programme
The expansion of the EQDP will enable more high-quality asset managers with strategies that invest significantly in Singapore equities to be funded, and also catalyse more third-party investments into the equities market.
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Asset ManagerBank
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
Sectors:
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BankFintechAll Firms
The DFSA publishes Crypto Token FAQs to support implementation of updated…
The DFSA publishes Crypto Token FAQs to support implementation of updated…
Sectors:
Topics:
Crypto ExchangeFintech
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
FCA exchanges letters on cooperation with India regulator, IFSCA
We have signed an Exchange of Letters with the International Financial Services Centres Authority (IFSCA). IFSCA is the unified regulator for financial institutions operating in Gujarat International Finance Tec-City (GIFT City), India’s first international financial services centre.This agreement affirms both authorities’ commitment to develop our regulatory relationship.Download our letter (PDF)The letters set out the intention to share regulatory knowledge and best practice to support the ...
AI Analysis
The FCA has signed an Exchange of Letters with India's IFSCA, the regulator for GIFT City, to foster regulatory cooperation, knowledge sharing, and stronger links between UK financial markets and GIFT City. This matters for compliance professionals as it signals expanding cross-border ties, potentially easing market access and harmonizing standards for firms operating between the UK and India, amid the FCA's broader global outreach strategy. No binding rules are imposed, but it sets the stage for future alignment in areas like fintech and financial services.
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BankFintechAll Firms
New protections confirmed for Buy Now Pay Later borrowers
Buy Now Pay Later (BNPL) borrowers will benefit from stronger protections from 15 July 2026, following the Government's decision to bring the sector under the FCA's regulation. BNPL will be subject to the Consumer Duty and consumers will benefit from:Clear information: Consumers will get clear, upfront details about their agreement, including when payments will be due, amounts, and what happens if they miss a payment.Affordability checks: Lenders must carry out proportionate checks to make su...
Sectors:
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FintechPayment Provider
SFC launches trading initiatives to boost digital asset market vibrancy in Hong Kong
No description available.
Sectors:
Topics:
Crypto ExchangeBroker Dealer
ECB appoints Thomas Broeng Jorgensen as Director General Specialised Institutions and Less Significant Institutions
No description available.
Sectors:
Topics:
BankAsset Manager
finanzpluss: BaFin warns against offers on the website finanzpluss(.)online
finanzpluss, allegedly based in Frankfurt am Main, offers loans on its website for high fees, without the necessary authorisation, which are not paid out.
Sectors:
Topics:
BankFintech
ASIC bans former MWL Financial Services adviser Neil McPherson for 4 years
ASIC bans former MWL Financial Services adviser Neil McPherson for 4 years
Sectors:
Topics:
Wealth Manager
SEC Chair and Nobel prize-winning economist to headline ASIC innovation symposium
SEC Chair and Nobel prize-winning economist to headline ASIC innovation symposium
Sectors:
Topics:
FintechCrypto ExchangeAll Firms
Issuers of securities whose home Member State is Luxembourg pursuant to the Law of 11 January 2008
Situation as at 31 January 2026
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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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Topics:
BankAsset ManagerBroker Dealer
Notifications received by the CSSF from the competent authorities of other EEA Member States
Situation from January 2025 to January 2026
Sectors:
Topics:
BankAsset ManagerBroker Dealer
CSSF approvals of prospectuses
Situation from January 2025 to January 2026
Sectors:
Topics:
Asset ManagerBankBroker Dealer
Capital Horizon Loans (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Capital Horizon Loans (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankFintechAll Firms
FCA takes action against HTX to stop illegal financial promotions
The FCA has begun legal proceedings against global crypto exchange HTX (formerly Huobi) for illegally promoting cryptoasset services to UK consumers. Access documents on this claim on the FCA websiteFirms providing crypto products to UK consumers need to comply with rules which protect consumers from unfair and misleading marketing. Advertising cryptoassets on social media or websites without complying with these rules is a criminal offence.Since the rules came into force in October 2023, the...
Sectors:
Topics:
Crypto Exchange
HTX (formerly Huobi): legal proceedings information
FCA v Huobi Global S.A. and Others. On 21 October 2025, the FCA commenced proceedings in the Chancery Division of the High Court against the following parties:HUOBI GLOBAL S.A.(a company incorporated in Panama)PERSONS UNKNOWN (who are the owner of, controller and/or the persons currently in control of all or part of www.htx.com and/or its associated mobile applications (“the HTX Exchange”))PERSONS UNKNOWN (who are the legal and/or natural persons defined as the HTX Operators in the HTX Platfo...
AI Analysis
The FCA has initiated civil proceedings in the High Court against Huobi Global S.A. (HTX, formerly Huobi) and multiple categories of "Persons Unknown" for unlawfully promoting cryptoasset services to UK consumers without authorisation, breaching the financial promotions regime. This action underscores the FCA's aggressive enforcement against unauthorised crypto entities targeting UK retail investors, signaling heightened scrutiny on overseas platforms. Compliance teams must note this as evidence of the regulator's willingness to pursue novel legal strategies like "Persons Unknown" claims to enforce compliance extraterritorially.[https://www.fca.org.uk/news/statements/htx-huobi-legal-proceedings]
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Crypto ExchangeFintech
Former director of NDIS provider charged with dishonesty offences
Former director of NDIS provider charged with dishonesty offences
Sectors:
Topics:
BankWealth ManagerFintech
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
10 Feb 2026 Read more
10 Feb 2026 Read more
Sectors:
Topics:
BankWealth ManagerFintech
Financial Markets Tribunal upholds the DFSA’s decision to impose a fine on Al…
Financial Markets Tribunal upholds the DFSA’s decision to impose a fine on Al…
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Topics:
Broker DealerBankWealth Manager
Publication,FSA Weekly Review No.674 February 9, 2026
No description available.
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Topics:
BankAsset ManagerBroker Dealer
Volfor: BaFin warns consumers about the website volfor(.)co
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Volfor and the services it is offering. BaFin suspects the unknown operators of the website volfor(.)co of offering consumers financial, investment and cryptoasset services without the required authorisation.
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Topics:
BankFintechCrypto Exchange
Warning concerning the website www.jomas-capital.lu
No description available.
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Topics:
BankWealth ManagerFintech
Masterminds jailed up to 24 months in securities fraud case involving social media “stock tips” of alleged ramp-and-dump schemes
No description available.
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Topics:
Broker DealerBank
Privacy Statement
Privacy Statement
Sectors:
Topics:
BankWealth ManagerAsset Manager
Disclaimer
Disclaimer
Sectors:
Topics:
BankWealth ManagerAll Firms
Service Level Commitments
Service Level Commitments
Sectors:
Topics:
Asset ManagerBankWealth Manager
Useful Links
Useful Links
Sectors:
Topics:
BankAsset ManagerInsurance
FSP Search
FSP Search
Sectors:
Topics:
BankAsset ManagerWealth Manager
Regulated People and Entities
Regulated People and Entities
Sectors:
Topics:
BankAsset ManagerInsurance
Language Policy and Services
Language Policy and Services
Sectors:
Topics:
BankAsset ManagerInsurance
Financial Services Tribunal
Financial Services Tribunal
Sectors:
Topics:
BankAsset ManagerInsurance
PAIA and POPIA Requests
PAIA and POPIA Requests
Sectors:
Topics:
BankWealth ManagerAll Firms
Nominee Register
Nominee Register
Sectors:
Topics:
BankWealth ManagerAsset Manager
E-Services
E-Services
Sectors:
Topics:
Asset ManagerInsurance
FSCA MyMoney
FSCA MyMoney
Sectors:
Topics:
BankFintechAll Firms
Related Websites
Related Websites
Sectors:
Topics:
BankWealth ManagerAsset Manager
Contact Us
Contact Us
Sectors:
Topics:
BankWealth ManagerAll Firms
Enforcement Matters
OVERVIEW
AI Analysis
This FSCA "Enforcement Matters" publication details the regulator's ongoing supervisory enforcement activities, primarily through curatorships imposed on non-compliant financial institutions under South African financial sector laws. It matters for compliance professionals as it exemplifies the FSCA's readiness to escalate to court-ordered curatorships and administrative penalties for serious breaches, signaling a robust enforcement posture to deter misconduct and protect market integrity.
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Topics:
Asset ManagerWealth ManagerAll Firms
Friendly Society
Friendly Society
Sectors:
Topics:
BankAsset ManagerInsurance
Collective Investment Schemes
Collective Investment Schemes
Sectors:
Topics:
Asset ManagerInsurance
FSCA Levies
FSCA Levies
Sectors:
Topics:
BankAsset ManagerInsurance
Comments Portal
Comments Portal
Sectors:
Topics:
BankWealth ManagerAll Firms
Capital Markets
Capital Markets
Sectors:
Topics:
All Firms
Credit Rating Agencies
Credit Rating Agencies
Sectors:
Topics:
BankAsset ManagerInsurance
Retirement Funds
Retirement Funds
Sectors:
Topics:
Asset ManagerInsurance
Collective Investment Schemes and Hedge Funds
Collective Investment Schemes and Hedge Funds
Sectors:
Topics:
Asset ManagerHedge FundBank
Financial Advisory and Intermediary Services
Financial Advisory and Intermediary Services
Sectors:
Topics:
BankAsset ManagerInsurance
Insurers and Microinsurers
Insurers and Microinsurers
Sectors:
Topics:
InsuranceFintech
Check if a firm is authorised
Check if a firm is authorised
Sectors:
Topics:
BankWealth ManagerAll Firms
Regulated Entities
OVERVIEW
Sectors:
Topics:
BankAsset ManagerInsurance
Contact Us
Contact Us
Sectors:
Topics:
BankWealth ManagerAll Firms
CFTC Staff Reissues Letter 25-40 Updating Payment Stablecoin Definition
No description available.
Sectors:
Topics:
BankFintechPayment Provider
Independent assessment to support establishment of a Future Entity
We have published a letter to trade associations to provide an update in the development of a Future Entity (FE) for open banking. The letter confirms the appointment of KPMG to provide an independent assessment of proposals to establish a standards-setting body for UK open banking APIs that is capable of becoming the Future Entity. It explains the purpose and scope of the assessment, the respective roles of the FCA, industry, trade associations and the independent assessor, and how firms can...
AI Analysis
The FCA has appointed KPMG to conduct an independent assessment of proposals for establishing a **Future Entity** – a standards-setting body for UK open banking APIs that will replace Open Banking Limited. This initiative is critical because it establishes the governance framework for open banking ahead of new legislative powers the FCA will receive under the Data (Use and Access) Act 2025, with a statutory instrument expected by end-2026.
Sectors:
Topics:
BankPayment ProviderFintech
WhatsApp groups and trading app: BaFin warns consumers about identity fraud in connection with the use of the app “IB-Kundendienst”
According to the information available to the Federal Financial Supervisory Authority (BaFin), unknown persons are using WhatsApp groups and chats to contact German investors. The initiators of such WhatsApp groups claim to be Bank of America or its branch in Frankfurt am Main. This is a case of identity fraud misusing names of former employees of the institution.
Sectors:
Topics:
BankFintechAll Firms
Administrative sanction of 6 February 2026
Administrative sanction imposed on Corestate Capital Holding S.A.
AI Analysis
The CSSF published an administrative sanction on 6 February 2026 against Corestate Capital Holding S.A., likely for breaches in regulatory compliance such as depositary duties, oversight, or governance under Luxembourg financial laws, marking a repeat enforcement action following a prior sanction in June 2025. This matters for compliance professionals as it underscores CSSF's aggressive enforcement on alternative investment fund managers (AIFMs) and depositaries, signaling heightened scrutiny on safekeeping, oversight, and internal controls to prevent systemic risks in Luxembourg's fund sector. It highlights the regulator's willingness to impose public nominative sanctions, amplifying reputational damage alongside fines.
Sectors:
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Asset ManagerAll Firms
Administrative sanction of 6 February 2026
Administrative sanction imposed on Corestate Capital Holding S.A.
AI Analysis
The CSSF published an administrative sanction on 6 February 2026 against Corestate Capital Holding S.A., likely imposing a fine for regulatory breaches, marking a repeat enforcement action following a prior sanction on the same entity dated 20 June 2025. This matters as it underscores CSSF's intensified supervisory scrutiny on Luxembourg-based investment managers, particularly regarding governance, asset safekeeping, and oversight duties under AIFM Law, signaling heightened enforcement risks for similar firms. Compliance teams should review it for patterns in depositary and transparency violations evident in recent CSSF cases.
Sectors:
Topics:
Asset ManagerAll Firms
Identity fraud: BaFin warns consumers about the company Tradeshark24
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Tradeshark24 and the services it is offering. BaFin suspects the unknown operators of the website tradeshark24(.)com of offering consumers financial, investment and crypto-asset services without the required authorisation. These offers are not provided by Frankfurt Financial Solutions GmbH & Co. KG, Frankfurt, which has no connection to the website tradeshark24(.)com. This is a case of identity fraud.
Sectors:
Topics:
BankWealth ManagerFintech
BaFin warns consumers about the website hashxcapital(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website hashxcapital(.)com. BaFin has information that the website’s operators are using it to offer banking business and/or financial services without the required authorisation. The operators are not supervised by BaFin.
Sectors:
Topics:
BankFintechCrypto Exchange
SFC convenes third Digital Asset Consultative Panel meeting
No description available.
Sectors:
Topics:
Crypto ExchangeFintech
FINMA to relocate its Zurich office from the city centre to Oerlikon
More attractive working conditions and lower operating costs per workstation: FINMA will relocate its Zurich office from the city centre to Zurich-Oerlikon in autumn 2026.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Gemini Payments UK Ltd and Gemini Intergalactic UK Ltd exit the UK market
From 6 April 2026, Gemini is closing all customer accounts in the UK. Gemini Payments UK, Ltd (GPUK) is authorised by the FCA to issue electronic money (e-money) and provide payment services.Gemini Intergalactic UK, Ltd (GIUK) offers cryptoasset products. These activities are not regulated by the FCA, although we oversee compliance in accordance with UK anti-money laundering regulations. On 5 February 2026, GPUK and GIUK confirmed they plan to exit the UK market. Effective 6 April 2026, Gemin...
Effective Date: 6 April 2026
Sectors:
Topics:
Payment ProviderCrypto Exchange
Update on changes to country groupings for International Banking Statistics
This article provides an update regarding implementing changes for country grouping conventions used in statistics covering the international business of monetary financial institutions operating in the UK and the consolidated claims of UK headquartered monetary financial institutions.
Sectors:
Topics:
BankWealth ManagerAll Firms
ASIC cancels AFS and AC licences of Centre Capital Securities for failure to pay industry funding levies
ASIC cancels AFS and AC licences of Centre Capital Securities for failure to pay industry funding levies
Sectors:
Topics:
Broker DealerWealth ManagerAll Firms
List of fund units subject to Regulation 2013/345 on European Venture Capital funds (EuVECA)
No description available.
Sectors:
Topics:
Asset ManagerHedge Fund
List of fund units subject to Regulation 2015/760 on European Long-Term Investment Funds (ELTIFs) as amended by Regulation 2023/606
No description available.
Sectors:
Topics:
Asset ManagerWealth Manager
IFM - Tied agent notification and change of tied agent particulars notification form (Updated)
Version 2.1
Sectors:
Topics:
Asset ManagerWealth Manager
The DFSA fines Ark Capital Management (Dubai) Limited USD 504,000 for market…
The DFSA fines Ark Capital Management (Dubai) Limited USD 504,000 for market…
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF reminds Digital Asset Service Providers that the transitional period allowing them to continue providing crypto-asset services in France without MiCA authorisation ends on 1 July 2026
MiCA Investment services The AMF reminds Digital Asset Service Providers that the transitional period allowing them to continue providing crypto-asset services in France without MiCA authorisation ends on 1 July 2026
Sectors:
Topics:
Crypto ExchangeFintech
Reappointment of Claude Marx as Director General of the CSSF
Press release 26/03
Sectors:
Topics:
BankWealth Manager
FCA stops Advantage Wealth Management Ltd from carrying out regulated activities and imposes assets restriction
The FCA has imposed restrictions on independent financial adviser Advantage Wealth Management Ltd (AWM), which means it must not dispose of any assets or conduct any regulated activities without the written consent of the FCA. The action follows concerns that AWM is not being managed in a way that ensures that its affairs are conducted in a sound and prudent manner. We issued a First Supervisory Notice (PDF)on 22 December 2025, outlining further details about our concerns and the basis for im...
Sectors:
Topics:
Wealth Manager
ASIC permanently bans former NSW financial adviser David Valvo
ASIC permanently bans former NSW financial adviser David Valvo
Sectors:
Topics:
Wealth ManagerBank
ASIC takes further steps to support Australians impacted by First Guardian and Shield collapse
ASIC takes further steps to support Australians impacted by First Guardian and Shield collapse
Sectors:
Topics:
Asset ManagerWealth ManagerBank
CFTC Withdraws Event Contracts Rule Proposal and Staff Sports Event Contracts Advisory
No description available.
AI Analysis
The CFTC has withdrawn its 2024 proposed rulemaking on "Event Contracts" (which sought to prohibit political event contracts) and the 2025 Staff Advisory (No. 25-36) on sports event contracts, signaling a policy shift under new Chairman Michael S. Selig toward promoting innovation via new rulemaking. This matters because it removes prior restrictive guidance, reduces immediate compliance burdens on prediction market operators, and opens the door for lawful event contracts while hinting at CFTC asserting exclusive jurisdiction over these derivatives.
Sectors:
Topics:
Broker DealerFintechCrypto Exchange
The CSSF has updated its FAQ Crypto-Assets - Undertakings for collective investment (previously FAQ Virtual Assets - Undertakings for collective investment) and draws the attention to the following points
No description available.
AI Analysis
The Commission de Surveillance du Secteur Financier (CSSF) has updated its FAQ on crypto-asset investments by undertakings for collective investment, effective February 4, 2026, to align with the EU's Markets in Crypto-Assets Regulation (MiCAR). This update establishes clear investment limits and licensing requirements for UCITS and AIFs investing in crypto-assets, fundamentally reshaping how Luxembourg-regulated funds can structure crypto exposure.
Sectors:
Topics:
Asset ManagerHedge FundFintech
Warning concerning the website www.castleforbeswealth.com
No description available.
Sectors:
Topics:
Wealth Manager
Administrative sanction of 23 July 2025
Administrative sanction imposed on Genève Invest (Europe) S.A.
AI Analysis
The CSSF imposed an administrative sanction on 23 July 2025 against Genève Invest (Europe) S.A., a Luxembourg-regulated entity, for breaches of professional obligations, as detailed in a publication released on 4 February 2026. This enforcement action underscores the CSSF's focus on robust internal controls and compliance with investment rules, serving as a warning to investment firms on the consequences of organizational and conduct failures. Compliance professionals should note it as evidence of heightened CSSF scrutiny on fund managers handling client assets and counterparties.
Sectors:
Topics:
Asset ManagerWealth ManagerAll Firms
FCA and SRA issue joint warning to firms representing motor finance commission claims
The FCA and Solicitors Regulation Authority (SRA) have today issued a joint warning to claims management companies (CMCs) and law firms involved in motor finance commission claims to make sure consumers don’t have multiple representatives for the same claim and are not charged excessive termination fees. The regulators are reminding CMCs and law firms that they are expected to have robust checks in place to confirm consumers have not already instructed another representative. The FCA has also...
Sectors:
Topics:
BankFintechAll Firms
ASIC permanently bans Patrick Nong from the financial services industry
ASIC permanently bans Patrick Nong from the financial services industry
Sectors:
Topics:
Wealth Manager
FAQ Crypto-Assets – Undertakings for collective investment (Updated)
Version 7 – 04/02/2026
AI Analysis
The CSSF has released Version 7 of its FAQ on Crypto-Assets for Undertakings for Collective Investment, updated on February 4, 2026, to reflect the entry into force of the Markets in Crypto-Assets Regulation (MiCAR). This guidance establishes binding investment limits, authorization requirements, and risk management standards for UCITS and AIFs investing in crypto-assets, fundamentally reshaping how Luxembourg-regulated collective investment schemes can engage with digital assets.
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Topics:
Asset ManagerHedge FundFintech
Law of 12 July 2013 (consolidated version) (Updated)
on alternative investment fund managers
Sectors:
Topics:
Asset ManagerWealth Manager
The AMF awards its Marie-Josèphe-Vanel thesis prize in law to Vincent Ramonéda
Institutional Regulatory developments Financing the economy Other professionals Journalists Listed companies and issuers The AMF awards its Marie-Josèphe-Vanel thesis prize in law to Vincent Ramonéda
Sectors:
Topics:
Asset ManagerBroker DealerBank
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...
Sectors:
Topics:
BankFintechAll Firms
Regulators announce first firms to join Scale-up Unit
The Prudential Regulation Authority and Financial Conduct Authority have announced the first cohort of banks and building societies to benefit from their joint Scale-up Unit.
Sectors:
Topics:
BankFintech
Reply to Adjournment Motion on “Make (Singapore) Equities Great Again” by Mr Chee Hong Tat, Minister for National Development, and Deputy Chairman of MAS, on behalf of Mr Gan Kim Yong, Deputy Prime Minister and Minister for Trade and Industry, and Chairman of MAS, on 3 February 2026
Reply to Adjournment Motion on “Make (Singapore) Equities Great Again” by Mr Chee Hong Tat, Minister for National Development, and Deputy Chairman of MAS, on behalf of Mr Gan Kim Yong, Deputy Prime Minister and Minister for Trade and Industry, and Chairman of MAS, on 3 February 2026.
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
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
SFC forges stronger industry collaboration to shape a compliant and innovative future
No description available.
Sectors:
Topics:
Broker DealerAsset ManagerBank
BaFin warns consumers about Verto and the services it is offering
The Federal Financial Supervisory Authority (BaFin) suspects the unknown operators of offering consumers financial, investment and cryptoasset services without the required authorisation. Verto is currently offering its services via the website ajadetrpe(.)life.
Sectors:
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
Director of WA tiling business charged with making false statement
Director of WA tiling business charged with making false statement
Sectors:
Topics:
BankFintechAll Firms
PCAM: BaFin warns against offers on the website pc-asset-management[.]com, in the app “PCAU pro,” and in WhatisApp groups
In the WhatsApp groups, investors are recommended by “Harrison T Blake” and “Francesca Müller” to invest in financial instruments that can then be traded via the aforementioned app or the platform pc-asset-management[.]com.
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
Adgm Registration Authority Publishes Discussion Paper On Crypto Mining Activities
Adgm Registration Authority Publishes Discussion Paper On Crypto Mining Activities
Sectors:
Topics:
Crypto ExchangeFintech
SEC Appoints New Chairman and Board Members to PCAOB
The Securities and Exchange Commission today announced the appointment of Demetrios (Jim) Logothetis, as Chairman, and Mark Calabria, Kyle Hauptman, and Steven Laughton, as Board members, of the Public Company Accounting Oversight Board (PCAOB). George…
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Asset ManagerBroker DealerBank
Others,Stewardship Code: List of institutional investors accepted the Principles for Responsible Institutional Investors as of December 31, 2025
No description available.
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Asset ManagerInsuranceBank
Administrative sanction of 1 December 2025
Administrative sanction imposed on a registered alternative investment fund manager (“AIFM”)
AI Analysis
The CSSF imposed an administrative fine of EUR 10,000 on registered alternative investment fund manager (AIFM) C5 S.à r.l. on 11 September 2025 for failing to submit its annual financial crime questionnaire by the 4 April 2025 deadline, despite reminders, breaching the cooperation obligation under Article 5(1) of Luxembourg's AML/CFT Law of 12 November 2004. This enforcement action underscores the CSSF's strict enforcement of AML reporting duties and serves as a warning to supervised entities on the consequences of non-compliance with supervisory requests. It matters because it demonstrates the CSSF's willingness to publish names and impose fines for procedural lapses, potentially signaling increased scrutiny on AIFMs' AML/CFT obligations amid broader regulatory focus on financial crime risks.
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Asset ManagerHedge Fund
The FCA’s long term review into AI and retail financial services: designing for the unknown
Speech by Sheldon Mills, at the FCA's Supercharged Sandbox Showcase event. Before we begin, take a look around this room. This is the Supercharged Sandbox. 23 firms at the frontier of retail financial services, chosen from 132 applications. If anyone still doubts the pace of AI change in our sector, this room is the answer.The Board has asked me to lead the long-term review into AI and retail financial services. I will report to the FCA Board in the summer, setting out recommendations to help...
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BankWealth ManagerFintech
SFC directs IPO sponsors to promptly conduct internal reviews to rectify serious deficiencies in the preparation of new listing documents
No description available.
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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
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Asset ManagerWealth Manager
New speech by Alexandra Yeong: Luncheon remarks at Hong Kong REITS Association
No description available.
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Asset ManagerBroker Dealer
Dedicated data entry form for updating investment firm information (Updated)
No description available.
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Asset ManagerWealth Manager
Media contacts
Media contacts
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BankWealth ManagerAll Firms
Superintendent Routledge participates in a fireside chat at TD Annual Conference
Superintendent Routledge participates in a fireside chat at TD Annual Conference
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BankAsset ManagerWealth Manager
SAMA Licenses “alhulul almuntilaqa” Company to Provide Consumer Microfinance Solutions
SAMA Licenses “alhulul almuntilaqa” Company to Provide Consumer Microfinance Solutions
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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
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Crypto ExchangeFintechPayment Provider
Brendan Gunn pleads guilty to dealing with money reasonably suspected of being proceeds of crime
Brendan Gunn pleads guilty to dealing with money reasonably suspected of being proceeds of crime
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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
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Asset ManagerWealth ManagerBank
ESMA publishes report on cross-border marketing of funds including statistics on notifications
ESMA publishes report on cross-border marketing of funds including statistics on notifications 06 January 2026 The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has today published its third report on marketing requirements and marketing communications under the Regulation on cross-border distribution of funds . For the first time, the report includes statistics on notifications of cross-border marketing of funds. Drawing on input from ...
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Asset ManagerBank
ESMA signs Memorandum of Understanding with the Reserve Bank of India
ESMA signs Memorandum of Understanding with the Reserve Bank of India 27 January 2026 CCP International cooperation The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has signed a Memorandum of Understanding (MoU) with the Reserve Bank of India (RBI) to facilitate cooperation and exchange of information for the recognition of central counterparties (CCPs) established in India and supervised by RBI. This agreement marks a significant step...
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BankBroker Dealer
Remarks of Chairman Michael S. Selig
No description available.
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Crypto ExchangeFintechAll Firms
CFTC Chairman Lauds Senate Committee Action to Advance Digital Asset Market Structure Legislation
No description available.
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Crypto ExchangeFintech
CFTC Chair Selig, SEC Chair Atkins: Team Trump readies crypto plan so Americans can count on their future
No description available.
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Crypto ExchangeFintechAll Firms
Emil the Seal hijacks Waterloo station to warn commuters about investment scams
FCA stunt launches new Firm Checker tool as around 700,000 people lose money to investment scams. Morning commuters at London Waterloo got more than their usual caffeine hit today when a mysterious 'ATM' promising to 'give away a fortune' stopped them in their tracks – and revealed an unexpected surprise.As curious passers-by approached the machine, the screen slid open to unveil Emil the Seal, the FCA's finance-friendly mascot, delivering a blunt message about the dangers of investment scams...
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BankWealth ManagerFintech
Issue 1 2026
No description available.
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Asset ManagerBankHedge Fund
The sky’s the limit: shaping the UK’s digital financial future - speech by Sasha Mills
Given at The Tokenisation Summit
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BankFintechCrypto Exchange
SFC and HKMA jointly consult on standard calculation periods under OTC derivative Clearing Rules
No description available.
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BankBroker DealerAsset Manager
Form relating to the creation of new share class(es) not requiring a prospectus update (Updated)
No description available.
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Asset ManagerWealth Manager
CFTC Announces Tyler S. Badgley as General Counsel
No description available.
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All Firms
OFSI and partners clamp down on the abuse of cryptoassets
We’re working closely with the Office of Financial Sanctions Implementation (OFSI), UK law enforcement, and our regulatory partners to tackle the abuse of cryptoassets and associated money‑laundering activities. Read the full blog on the OFSI’s website.
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Crypto ExchangeFintechPayment Provider
2026 AML/CFT Conference dedicated Specialised PFS
No description available.
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BankWealth ManagerAsset Manager
Next steps for establishing a bond consolidated tape provider
We have signed a contract with Etrading Software (ETS) to deliver the UK bond consolidated tape. A high-quality tape will provide investors with a comprehensive overview of the bond market and support price formation and liquidity. It will help maintain the UK’s position as a highly competitive and compelling place to invest and grow.ETS has now launched a website that sets out key milestones and provides technical information for data contributors and users. We will continue to support ETS a...
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Broker DealerAsset ManagerBank
Warning concerning fraudulent activities performed under the name of the Luxembourg company ERSEL GESTION INTERNATIONALE S.A.
No description available.
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Asset ManagerWealth Manager
28 Jan 2026 Read more
28 Jan 2026 Read more
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BankWealth ManagerFintech
CFTC Staff Issues No-Action Letter, Announces Implementation Updates to 2024 Large Trader Reporting Rule
No description available.
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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.
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BankAsset ManagerBroker Dealer
SFC and UAE’s Capital Market Authority sign milestone MoU to strengthen cross-border digital asset collaboration
No description available.
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Crypto ExchangeFintech
Mills Review to consider how AI will reshape retail financial services
The FCA has launched a review into the implications of advanced AI on consumers, retail financial markets and regulators. The Review will be led by Sheldon Mills and builds on the FCA’s existing work on AI. This includes its AI Discussion Paper, AI Sprint, and AI Lab including AI Live Testing and its groundbreaking Supercharged Sandbox supported by NVIDIA.AI is already embedded across financial services. Rapid advances in generative, agentic and emerging forms of AI mean the next phase of cha...
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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...
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Payment Provider
CFTC Chairman Selig Announces Alex Titus as Chief Advisor
No description available.
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Broker DealerFintechCrypto Exchange
The AMF Enforcement Committee fines an investment services provider and its director a total of €850,000
Sanctions & settlements MAR Compliance Journalists Investment services providers The AMF Enforcement Committee fines an investment services provider and its director a total of €850,000
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Broker DealerAll Firms
CFTC and SEC Reschedule Joint Event on Harmonization, U.S. Financial Leadership in the Crypto Era
No description available.
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Crypto ExchangeFintech
SEC and CFTC Reschedule Joint Event on Harmonization, U.S. Financial Leadership in the Crypto Era
Securities and Exchange Commission Chairman Paul S. Atkins and Commodity Futures Trading Commission Chairman Michael S. Selig will hold a joint event, previously scheduled for Jan. 27, now rescheduled for Thursday, Jan. 29, from 2 p.m. to 3 p.m. at CFTC…
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Crypto ExchangeFintech
SFC suspends Choi Sau Wai for seven months
No description available.
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Broker DealerWealth Manager
SFC suspends Wong Chi Fai for 27 months
No description available.
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Broker DealerAsset ManagerBank
Equity-Indexed Annuities
Equity-Indexed Annuities
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Broker DealerWealth ManagerAsset Manager
Enforcement
Enforcement
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Broker DealerAsset ManagerWealth Manager
Direct Participation Programs (DPPs)
Direct Participation Programs (DPPs)
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Broker DealerAsset ManagerWealth Manager
Derivatives
Derivatives
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Broker DealerAsset ManagerWealth Manager
Department of Labor
Department of Labor
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Broker DealerAsset ManagerWealth Manager
Day Trading
Day Trading
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Broker DealerAsset ManagerWealth Manager
Customer Account Transfers
Customer Account Transfers
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Broker DealerAsset ManagerWealth Manager
Customer Account Statements
Customer Account Statements
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Broker DealerAsset ManagerWealth Manager
Credit for Cooperation
Credit for Cooperation
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Broker DealerAsset ManagerBank
Correspondence
Correspondence
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Broker DealerWealth ManagerAsset Manager
Corporate Financing
Corporate Financing
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Broker DealerAsset ManagerBank
Continuing Education
Continuing Education
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Broker DealerWealth ManagerAsset Manager
Consolidated Reports
Consolidated Reports
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Broker DealerAsset ManagerBank
Compensation
Compensation
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Broker DealerAsset ManagerWealth Manager
Communications with the Public
Communications with the Public
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Broker DealerWealth ManagerAsset Manager
Central Registration Depository (CRD)
Central Registration Depository (CRD)
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Broker DealerWealth ManagerAsset Manager
Cash Equivalents
Cash Equivalents
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Broker DealerWealth ManagerBank
Carrying Agreements
Carrying Agreements
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Broker DealerAsset ManagerBank
Capital Formation
Capital Formation
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Broker DealerAll Firms
Capital Acquisition Brokers
Capital Acquisition Brokers
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Broker DealerWealth ManagerAll Firms
BrokerCheck
BrokerCheck
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Broker DealerWealth ManagerAll Firms
Broker-Dealer Recruitment Disclosures
Broker-Dealer Recruitment Disclosures
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Broker DealerWealth ManagerAll Firms
Breakpoints
Breakpoints
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Broker DealerWealth ManagerAsset Manager
Branch Offices
Branch Offices
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Broker DealerWealth ManagerBank
Block Chain / Distributed Ledger Technology
Block Chain / Distributed Ledger Technology
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Broker DealerFintechCrypto Exchange
Best Practices
Best Practices
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Broker DealerAsset ManagerBank
Auction Rate Securities
Auction Rate Securities
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Broker DealerWealth ManagerAsset Manager
Annual Audit
Annual Audit
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Broker DealerAsset ManagerBank
Alternative Display Facility (ADF)
Alternative Display Facility (ADF)
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Broker DealerAsset ManagerBank
Alternative and Complex Products
Alternative and Complex Products
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Broker DealerWealth ManagerAsset Manager
Algorithmic Trading
Algorithmic Trading
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Broker DealerAsset ManagerFintech
Advertising Regulation
Advertising Regulation
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Broker DealerAsset ManagerWealth Manager
Regulatory Notice 25-01
Regulatory Notice 25-01
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Broker DealerBank
Regulatory Notice 25-03
Regulatory Notice 25-03
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Broker DealerBankAsset Manager
Regulatory Notice 25-05
Regulatory Notice 25-05
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Broker DealerWealth ManagerAsset Manager
Special Notice – 5/15/25
Special Notice – 5/15/25
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Broker DealerAsset ManagerAll Firms
Regulatory Notice 25-08
Regulatory Notice 25-08
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Broker DealerAsset Manager
Information Notice - 8/14/25
Information Notice - 8/14/25
AI Analysis
This FINRA Information Notice dated August 14, 2025, reminds registered persons and firms of annual continuing education (CE) requirements under FINRA Rule 1240, including 2025 Regulatory Element completion by December 31, 2025, and resources for Firm Element plans via the FLEX catalog. It matters because non-compliance triggers automatic CE inactive status, halting registered activities, with today's date (January 25, 2026) indicating the deadline has passed, requiring immediate remediation for affected individuals.[https://www.finra.org/rules-guidance/notices/information-notice-20250814]
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Broker DealerAll Firms
Regulatory Notice 25-09
Regulatory Notice 25-09
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Broker DealerWealth ManagerBank
Election Notice – 9/4/25
Election Notice – 9/4/25
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Broker DealerAsset ManagerBank
Regulatory Notice 25-11
Regulatory Notice 25-11
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Broker DealerBankAsset Manager
Regulatory Notice 25-13
Regulatory Notice 25-13
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Broker DealerWealth ManagerBank
Election Notice – 10/20/25
Election Notice – 10/20/25
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Broker DealerAsset ManagerAll Firms
Regulatory Notice 25-14
Regulatory Notice 25-14
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Broker DealerAsset Manager
Regulatory Notice 26-01
Regulatory Notice 26-01
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Broker DealerAsset Manager
Trade Reporting Notice 1/14/26
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
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Broker DealerFintechAll Firms
CP25/15: A prudential regime for cryptoasset firms
Consultation papers
AI Analysis
CP25/15 proposes prudential rules and guidance for UK firms issuing **qualifying stablecoins** and safeguarding **qualifying cryptoassets**, aiming to foster a safe, competitive crypto sector while prioritizing consumer protection and market integrity. This matters for compliance professionals as it introduces tailored prudential sourcebooks (COREPRU and CRYPTOPRU) to mitigate firm failure risks, aligning with the FCA's crypto roadmap and Treasury's statutory plans.
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FintechCrypto ExchangePayment Provider
PS25/22: Supporting consumers’ pensions and investment decisions: rules for targeted support
Policy statements
AI Analysis
The FCA's PS25/22 establishes a new regulatory framework for **targeted support**—a form of financial guidance that allows authorised firms to provide ready-made suggestions to consumer segments without conducting individualised suitability assessments. This framework addresses the UK's "advice gap" by enabling firms to deliver affordable, scalable financial support to an estimated 18 million consumers within a decade, fundamentally shifting how retail investors and pension savers access guidance on investment and retirement decisions.
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Asset ManagerWealth ManagerAll Firms
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
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BankWealth ManagerAll Firms
SAMA Licenses “Tabby finance” Company to Engage in BNPL Activity
SAMA Licenses “Tabby finance” Company to Engage in BNPL Activity
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FintechPayment Provider
SAMA Licenses “Darb Pay for Information Technology” to Provide Payment Services
SAMA Licenses “Darb Pay for Information Technology” to Provide Payment Services
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Payment Provider
SAMA Seeks Public Consultation on the Draft Update to the “Oversight Framework for Payment Systems and Their Operators”
SAMA Seeks Public Consultation on the Draft Update to the “Oversight Framework for Payment Systems and Their Operators”
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Payment Provider
SAMA Revokes the License of “Fas Finance Company”
SAMA Revokes the License of “Fas Finance Company”
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BankFintech
SAMA Hosts BIS Innovation Summit
SAMA Hosts BIS Innovation Summit
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BankFintechCrypto Exchange
SAMA Licenses “Madd Balas” Company to Provide Debt-Based Crowdfunding Solutions
SAMA Licenses “Madd Balas” Company to Provide Debt-Based Crowdfunding Solutions
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BankFintech
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
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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
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Broker DealerWealth ManagerAll Firms
ASIC approves Cboe’s listing application to bolster competition in public markets
ASIC approves Cboe’s listing application to bolster competition in public markets
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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
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Asset ManagerWealth ManagerBank
Victorian man sentenced in Cann Group insider trading case
Victorian man sentenced in Cann Group insider trading case
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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
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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
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Asset ManagerWealth ManagerBank
Federal Court dismisses ASIC’s claims against former Freedom Insurance director and consultant
Federal Court dismisses ASIC’s claims against former Freedom Insurance director and consultant
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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
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BankWealth ManagerAll Firms
ASIC halts offers of TruePillars Investment Trust
ASIC halts offers of TruePillars Investment Trust
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Asset ManagerWealth Manager
ASIC permanently bans Noel Northcott from the financial services industry
ASIC permanently bans Noel Northcott from the financial services industry
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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
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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
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Wealth ManagerAsset Manager
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:
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Wealth ManagerAsset Manager
ASIC cancels licence of Wealth Trail Pty Ltd (In Liquidation)
ASIC cancels licence of Wealth Trail Pty Ltd (In Liquidation)
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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
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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
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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
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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:
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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 cancels AFS licence of Arrumar Private for licence failures
ASIC cancels AFS licence of Arrumar Private for licence failures
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Asset ManagerBankWealth Manager
ASIC cancels Australian credit licence of GS-APAC Pty Ltd
ASIC cancels Australian credit licence of GS-APAC Pty Ltd
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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:
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BankWealth ManagerAll Firms
Cboe Global Markets decision
Cboe Global Markets decision
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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:
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Asset ManagerWealth ManagerBroker Dealer
A roadmap for capital markets to grow our economy
A roadmap for capital markets to grow our economy
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Asset ManagerBroker DealerWealth Manager
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:
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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
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FintechAll Firms
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
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BankFintechAll Firms
ASIC announces 2026 enforcement priorities
ASIC announces 2026 enforcement priorities
Sectors:
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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
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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
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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
ASIC sues former Electro Optic Systems Holdings director and CEO Ben Greene for breach of director’s duties
ASIC sues former Electro Optic Systems Holdings director and CEO Ben Greene for breach of director’s duties
Sectors:
Topics:
Broker DealerFintech
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 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 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:
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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
ASIC announces transformational package to safeguard Australia’s financial markets in response to ASX Inquiry interim report
ASIC announces transformational package to safeguard Australia’s financial markets in response to ASX Inquiry interim report
Sectors:
Topics:
BankBroker DealerAll Firms
ASIC renews guidance on managing conflicts of interest in financial services
ASIC renews guidance on managing conflicts of interest in financial services
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC bans Sydney mortgage broker for ten years and cancels her Australian credit licence
ASIC bans Sydney mortgage broker for ten years and cancels her Australian credit licence
Sectors:
Topics:
All Firms
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
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
ASIC suspends Australian credit licence of Transitional Funding Pty Ltd
ASIC suspends Australian credit licence of Transitional Funding Pty Ltd
Sectors:
Topics:
All Firms
Richard Ernest Auricht’s liquidator registration cancellation overturned on appeal, substituted with five-year suspension
Richard Ernest Auricht’s liquidator registration cancellation overturned on appeal, substituted with five-year suspension
Sectors:
Topics:
BankWealth ManagerAll Firms
Former financial advisor Anthony Torre sentenced to six years imprisonment for fraud and stealing
Former financial advisor Anthony Torre sentenced to six years imprisonment for fraud and stealing
Sectors:
Topics:
Wealth ManagerBank
Former United Global Capital financial adviser Milutin Petrovic’s ban varied to three years
Former United Global Capital financial adviser Milutin Petrovic’s ban varied to three years
Sectors:
Topics:
Wealth ManagerAsset Manager
Chairman Selig to Sponsor the CFTC’s Agricultural Advisory Committee
No description available.
Sectors:
Topics:
BankBroker DealerFintech
New regime for securities and what consumers should look out for
We urge consumers thinking of investing in high-risk securities, such as mini-bonds and loan notes, to continue to be cautious. On 19 January 2026, the Public Offers and Admissions to Trading regime came into force. The regime sets new rules and standards about when an offer of securities to the public can be made.A security is a financial instrument that represents some type of financial value (for example, shares, bonds and stock) that can be traded on a financial exchange.The types of secu...
Sectors:
Topics:
BankWealth ManagerFintech
FCA seeks feedback on further rules for cryptoasset firms
We are seeking views on further rules for cryptoasset firms as the final step in our consultations on our crypto rules. We have made significant progress in delivering our crypto roadmap and are helping firms to meet our standards and get ready for when the gateway opens in September 2026.We have set out our proposals on how the Consumer Duty, conduct standards, redress and safeguarding will apply to cryptoasset firms. We are also seeking feedback on our proposed approach to international cry...
Sectors:
Topics:
Crypto ExchangeFintech
CFTC and SEC to Hold Joint Event on Harmonization, U.S. Financial Leadership in the Crypto Era
No description available.
Sectors:
Topics:
Crypto ExchangeFintech
SEC and CFTC to Hold Joint Event on Harmonization, U.S. Financial Leadership in the Crypto Era
Securities and Exchange Commission Chairman Paul S. Atkins and Commodity Futures Trading Commission Chairman Michael S. Selig will hold a joint event on Tuesday, Jan. 27, from 10 a.m. to 11 a.m. at CFTC headquarters to discuss harmonization between the…
Sectors:
Topics:
BankBroker DealerCrypto Exchange
SEC Small Business Advisory Committee to Continue Discussion on Regulatory Framework for Finders and Begin Exploring the Private Secondary Market
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a public meeting at the SEC Headquarters in Washington, D.C., on Tuesday, Feb. 24, 2026, at 10 a.m. ET. The meeting will also be…
Sectors:
Topics:
Broker DealerFintechCrypto Exchange
Screening for success: Opening the gateway to growth
Speech by Sheree Howard at the FCA's Gateway to growth, Chicago Booth London Conference Centre. The first time I flew was in my teenage years, and like many of my generation, that was a flight to Europe for a family holiday. I didn’t make it further afield until I was in my mid to late twenties.Today, most, if not all of us, would think of international travel as the norm – especially given the global nature of our business.It is amazing, therefore, to think that right around this time in 197...
Sectors:
Topics:
BankFintechWealth Manager
Leading Asset Management: BaFin warns consumers about WhatsApp groups and the LAM INT app
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered in WhatsApp groups operated by Leading Asset Management, Denver, USA. BaFin suspects the operators of offering consumers financial, investment and cryptoasset services in these groups without the required authorisation.
Sectors:
Topics:
Asset ManagerFintechCrypto Exchange
BaFin warns consumers about the website skyvault(.)ltd
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website skyvault(.)ltd. BaFin has information that the operators are offering banking business and/or financial services on this website without the required authorisation. The operators are not supervised by BaFin.
Sectors:
Topics:
BankCrypto ExchangeFintech
Aureus Trade: BaFin warns consumers about the website: aureus-trade(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered by Aureus Trade. BaFin suspects the unknown operators of the website aureus-trade(.)com of offering consumers financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankFintechCrypto Exchange
bxforex(.)com: BaFin warns consumers about website and identity theft
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website bxforex(.)com. According to information available to BaFin, this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankBroker DealerWealth Manager
Rostock24 Limited: BaFin warns consumers about the website Rostock24(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Rostock24 Limited and the services it is offering. BaFin suspects the unknown operators of the website rostock24(.)com of offering consumers financial, investment and cryptoasset services without the required authorisation. Rostock24 Limited, which purportedly has its head office in Nuremberg, claims to be registered with the British Companies House. This is not the case.
Sectors:
Topics:
BankFintechCrypto Exchange
Identity theft: BaFin warns against offers from the email address info[at]vcgmanagement.de
The Federal Financial Supervisory Authority BaFin warns against fixed-term deposit offers sent from the email address info[at]vcgmanagement.de. According to information available to BaFin, the unknown providers are conducting banking transactions without the required authorisation. The offers do not originate from VC Germany Management GmbH. This is a case of identity theft.
Sectors:
Topics:
BankWealth ManagerFintech
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
SEC Seeks Candidates for Small Business Capital Formation Advisory Committee
The Securities and Exchange Commission is seeking candidates to fill a limited number of vacancies on the agency’s Small Business Capital Formation Advisory Committee, which provides advice and recommendations to the Commission on rules, regulations, and…
Sectors:
Topics:
Broker DealerAsset ManagerAll Firms
bb-consults(.)com: BaFin warns consumers about website and identity fraud
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website bb-consults(.)com. BaFin has information that this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
FintechCrypto ExchangeAll Firms
DEV Limited (CLONE) - Central Bank of Ireland Issues Warning on Unauthorised Firm
DEV Limited (CLONE) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankFintech
Division of Corporation Finance Names Senior Staff
The Securities and Exchange Commission today announced the senior team from the Division of Corporation Finance responsible for advising division Director James Moloney on all matters the division has before the Commission. These include rulemaking…
Sectors:
Topics:
BankBroker DealerWealth Manager
Christina M. Thomas to Rejoin the Division of Corporation Finance as Deputy Director
The Securities and Exchange Commission today announced that Christina M. Thomas will rejoin the Division of Corporation Finance in February as deputy director and chief advisor on disclosure, policy, and rulemaking.“Christina brings her deep technical…
Sectors:
Topics:
All Firms
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (January 9, 2026)
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Chairman Selig: America’s Financial Markets are ready for a Golden Age
No description available.
Sectors:
Topics:
FintechCrypto ExchangeAll Firms
Others,Remarks by Minister KATAYAMA at the event “Japan’s Turn” of the 56th Annual Meeting of the World Economic Forum
No description available.
Sectors:
Topics:
BankWealth ManagerFintech
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
BaFin product intervention regarding turbo certificates
No description available.
Sectors:
Topics:
BankBroker DealerAsset Manager
Keith E. Cassidy Named Director of the Division of Examinations
The Securities and Exchange Commission today announced that Keith E. Cassidy has been appointed Director of the Division of Examinations. Mr. Cassidy has served as Acting Director since May 2024 and previously was the division’s Deputy Director, Acting…
Sectors:
Topics:
BankBroker DealerAsset Manager
Regulators give clarity in relation to open banking pricing models
We have issued a joint statement with the Payment Systems Regulator (PSR) giving clarity on open banking pricing models. We and the PSR have issued the following statement (PDF).This confirms we will not, at this stage, prioritise a Competition Act 1998 (CA98) investigation into the centralised ‘access fee’ pricing model being developed by the UK Payments Initiative (UKPI) for commercial Variable Recurring Payments (cVRPs). cVRPs are an emerging open banking technology that allow consumers to...
AI Analysis
The FCA and PSR have jointly confirmed they will not prioritize a Competition Act 1998 investigation into the UK Payments Initiative's (UKPI) centralized access fee pricing model for commercial Variable Recurring Payments (cVRPs), with the CMA's concurrent agreement. This regulatory clarity provides temporary certainty for cVRP development ahead of anticipated legislation by end-2026, creating a critical window for firms to develop compliant commercial models in this emerging open banking technology.
Action Required
The FCA and PSR have issued a joint statement providing clarity on open banking pricing models, specifically regarding the centralised 'access fee' pricing model for commercial Variable Recurring Payments (cVRPs). This statement confirms that they will not prioritize a Competition Act 1998 investigation into this model at this stage. The goal is to support the development of cVRPs, giving consumers more control over their payments and lowering processing fees for businesses.
Sectors:
Topics:
BankFintechPayment Provider
Publication,FSA Weekly Review No.671 January 20, 2026
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
PS3/26 – Restatement of CRR requirements – 2027 implementation – final
Policy statement 3/26
AI Analysis
PS3/26 is the PRA's final policy statement restating the remaining provisions of the UK Capital Requirements Regulation (CRR) into the PRA Rulebook and related policy materials, effective 1 January 2027. This represents a critical step in the UK's transition away from assimilated EU law, consolidating fragmented regulatory requirements into a unified domestic framework while introducing targeted amendments to securitisation rules and External Credit Assessment Institution (ECAI) mapping.
Action Required
The Prudential Regulation Authority (PRA) has published a policy statement (PS3/26) that restates the remaining relevant provisions in the Capital Requirements Regulation (CRR) within the PRA Rulebook and other policy materials. This change aims to ensure that the PRA's rules and policies are consistent with the UK's withdrawal from the EU. The policy statement is relevant to PRA-authorised banks, building societies, and other financial institutions.
Sectors:
Topics:
BankBroker DealerAsset Manager
PS4/26 – The Strong and Simple Framework: The simplified capital regime for Small Domestic Deposit Takers (SDDTs) – final
Policy statement 4/26
AI Analysis
PS4/26 finalizes the **simplified capital regime for Small Domestic Deposit Takers (SDDTs)**, a tailored prudential framework designed to reduce regulatory burden while maintaining capital resilience for smaller, domestically-focused UK banks and building societies. This represents the completion of Phase 1 of the PRA's "Strong and Simple" initiative and introduces materially lighter capital, liquidity, and reporting requirements for qualifying firms, with implementation effective January 1, 2027.
Action Required
The Prudential Regulation Authority (PRA) has introduced a simplified capital regime for Small Domestic Deposit Takers (SDDTs) to reduce regulatory complexity while maintaining adequate capital. The new regime will take effect on 2027-01-01. This change aims to simplify capital requirements for smaller banks and building societies.
Sectors:
Topics:
Bank
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
Applications now open for next round of FCA’s AI Live Testing
We have opened applications for the second cohort of our AI Live Testing service. AI Live Testing is the first of its kind in the financial sector to help firms who are ready to use AI in UK financial markets. Participating firms receive tailored support from our regulatory team and our technical partner Advai to develop, assess and deploy safe and responsible AI.The service helps firms to consider key questions around evaluating AI including governance, risk management and monitoring to help...
Sectors:
Topics:
BankFintechAsset Manager
CFTC Enforcement Updates
No description available.
AI Analysis
The CFTC announced three major enforcement actions on January 16, 2026, resolving cases involving **market manipulation (spoofing), misappropriation of confidential information, and unregistered commodity pool operations**. These cases demonstrate the CFTC's continued enforcement focus on fraudulent trading practices and registration violations, with combined penalties exceeding $685,000 and criminal sentences totaling over six years in prison.
Action Required
The CFTC has announced enforcement updates, including civil monetary penalties and trading bans for spoofing in precious metals futures markets and misappropriating confidential information. These updates highlight the importance of compliance with CFTC regulations. Firms must ensure they are registered and comply with anti-spoofing and anti-fraud regulations.
Sectors:
Topics:
Broker DealerAsset ManagerCrypto Exchange
SAMA Updates Implementing Regulation of Finance Companies Control Law
SAMA Updates Implementing Regulation of Finance Companies Control Law
Sectors:
Topics:
BankFintechPayment Provider
SAMA Issues Fees Guide for Financial Institutions’ Services
SAMA Issues Fees Guide for Financial Institutions’ Services
Sectors:
Topics:
BankPayment Provider
ADGM Academy Hosts groundbreaking activities under the theme “Bridging Knowledge & Building the Nation” at ADFW 2025
ADGM Academy Hosts groundbreaking activities under the theme “Bridging Knowledge & Building the Nation” at ADFW 2025
Sectors:
Topics:
BankWealth ManagerFintech
iCapital Expands Global Footprint with New Office in the United Arab Emirates
iCapital Expands Global Footprint with New Office in the United Arab Emirates
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
J.P. Morgan accelerates growth with full-scale Treasury services in ADGM
J.P. Morgan accelerates growth with full-scale Treasury services in ADGM
Sectors:
Topics:
BankWealth Manager
USD 9 Trillion in Assets Commit to ADGM as Abu Dhabi Finance Week Redefines Global Capital Flows
USD 9 Trillion in Assets Commit to ADGM as Abu Dhabi Finance Week Redefines Global Capital Flows
Sectors:
Topics:
Asset ManagerBankWealth Manager
UAE Sustainable Finance Working Group Publishes Fourth Statement During Abu Dhabi Finance Week 2025
UAE Sustainable Finance Working Group Publishes Fourth Statement During Abu Dhabi Finance Week 2025
Sectors:
Topics:
Asset ManagerBankWealth Manager
ADGM Registration Authority Publishes New Commercial Permits Rules for Events, Sales and Promotions and Temporary Commercial Activity
ADGM Registration Authority Publishes New Commercial Permits Rules for Events, Sales and Promotions and Temporary Commercial Activity
Sectors:
Topics:
BankWealth ManagerFintech
ADFW 2025 Delivers its Most Successful Edition, Showcasing Abu Dhabi’s Next Decade of Growth with Over 35,000 Attendees
ADFW 2025 Delivers its Most Successful Edition, Showcasing Abu Dhabi’s Next Decade of Growth with Over 35,000 Attendees
Sectors:
Topics:
BankWealth ManagerFintech
APIAC and Opus 2 Announce Office Openings in the ADGM Dispute Resolution Hearing Centre as Abu Dhabi’s Dispute Resolution Community Expands
APIAC and Opus 2 Announce Office Openings in the ADGM Dispute Resolution Hearing Centre as Abu Dhabi’s Dispute Resolution Community Expands
Sectors:
Topics:
BankWealth ManagerAll Firms
Bank of Palestine Expands Globally after Receiving an In-Principle Approval for a Full Banking License from ADGM Abu Dhabi, UAE
Bank of Palestine Expands Globally after Receiving an In-Principle Approval for a Full Banking License from ADGM Abu Dhabi, UAE
Sectors:
Topics:
Bank
ADGM’s FSRA issues alert concerning fraudulent scheme and false and misleading claims - SGV Advisory FZ LLC or Strategic Global Ventures
ADGM’s FSRA issues alert concerning fraudulent scheme and false and misleading claims - SGV Advisory FZ LLC or Strategic Global Ventures
Sectors:
Topics:
BankWealth ManagerFintech
ADGM’s Registration Authority Reshapes Services in the Real Estate Sector
ADGM’s Registration Authority Reshapes Services in the Real Estate Sector
Sectors:
Topics:
BankWealth ManagerFintech
Media releases
Media releases
Sectors:
Topics:
BankWealth ManagerAsset Manager
Two-five-management.com: BaFin warns about website and identity fraud
The German Financial Supervisory Authority (BaFin) warns about offers from the website two-five-management(.)com. According to information available to BaFin, the unknown operators of the website are offering banking services, in particular fixed-term deposits, and financial services without the required authorisation. They give the impression that their offers originate from TwoFive Management GmbH, which is registered with BaFin as an AIF asset management company, Section 2 (4) of the Germa...
Sectors:
Topics:
BankAsset ManagerWealth Manager
White Rock Financial Consultancy Limited: BaFin warns against offers on the website whiterock-financial(.)eu
The Federal Financial Supervisory Authority BaFin warns against offers on the website whiterock-financial(.)eu and against the alleged operator White Rock Financial Consultancy Limited from London, United Kingdom. According to information available to BaFin, the operator is providing financial and investment services without the required authorisation.
Sectors:
Topics:
BankWealth ManagerFintech
Identity theft: BaFin warns against offers from the email address bancosantander.es-kundenservice[at]outlook(.)com
The Federal Financial Supervisory Authority BaFin warns against fixed-term deposit offers sent from the email address bancosantander.es-kundenservice[at]outlook.com. According to information available to BaFin, the unknown providers are conducting banking transactions without the required authorisation. The offers do not originate from Banco Santander S.A. This is a case of identity theft.
Sectors:
Topics:
BankFintechPayment Provider
Alan Finance Group (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Alan Finance Group (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankFintech
Paragonix Edge: BaFin warns consumers about further Paragonix Edge websites
The Federal Financial Supervisory Authority (BaFin) warns consumers about “Paragonix Edge” and the services it is offering. BaFin suspects the unknown operators of the websites paragonixedge(.)org, hhessel(.)com, funkmp(.)com und altenweerth(.)com of offering consumers cryptoasset services without the required authorisation.
Sectors:
Topics:
Crypto ExchangeBankFintech
COIN Bull Vision: BaFin warns against offers on website coinbullvisionltd(.)com
The Federal Financial Supervisory Authority BaFin warns against offers on the website coinbullvisionltd(.)com. According to information available to BaFin, the trading platform COIN Bull Vision Ltd. (also: COIN Bull Vision GmbH) is providing financial, investment and crypto asset services without the required authorisation.
Sectors:
Topics:
Crypto Exchange
New speech by Kelvin Wong: Speech at the Hong Kong Chartered Governance Institute’s Annual Reception 2026
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
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
Doherty Bergin Financial Services Ltd (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Doherty Bergin Financial Services Ltd (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankWealth Manager
Brookfield Asset Management GmbH: BaFin warns of unauthorized offers allegedly originating and points to identity theft
Alleged employees of Brookfield Asset Management GmbH are contacting investors unsolicited by telephone and email without the necessary permission to offer them alleged fixed-term deposits and alleged pre-IPO shares. In the past, they have also used the website deu-brookfield(.)com, which is no longer accessible. They give the impression that they are cooperating with licensed banks and issuers of pre-IPO shares. This is not the case.
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Identity fraud: BaFin warns against offers on websites ubpmanagement(.)co, commerzglobal(.)com, longsharks(.)com and paribasgroup(.)net
The Federal Financial Supervisory Authority BaFin warns against offers on the websites ubpmanagement(.)co, commerzglobal(.)com, longsharks(.)com and paribasgroup(.)net. According to information available to BaFin, the companies UBP Management and Commerz Global, allegedly based in Frankfurt, and Longsharks Capital and Paribas Group, allegedly based in London, are offering financial or investment services and crypto asset services without the required authorisation. The offers do not originate...
Sectors:
Topics:
BankFintechCrypto Exchange
Central Bank of Ireland and Banca d’Italia launch first joint Innovation Data Challenge
Central Bank of Ireland and Banca d’Italia are launching the Innovation Data Challenge 2026, a joint initiative designed to foster cutting-edge research and innovation in the retail payments sector. The Challenge reflects the shared commitment of the two Institutions to promoting applied research, international collaboration, and the responsible use of data and technology to shape the future of payments. The initiative brings together leading Irish and Italian universities, including Universi...
Sectors:
Topics:
FintechPayment Provider
Results of the enforcement of the 2024 financial and non-financial information published by issuers subject to the Transparency Law
Communiqué
AI Analysis
The CSSF's January 2026 enforcement report documents the results of its 2025 examination campaign on 2024 financial and non-financial disclosures by issuers under Luxembourg's Transparency Law. This publication is critical for compliance professionals because it reveals systematic compliance gaps across financial reporting (IFRS), sustainability reporting (ESRS), and Alternative Performance Measures (APMs), with 27% of enforcement decisions resulting in injunctions for non-compliance.
Sectors:
Topics:
All Firms
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: 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 “Rusty” McGranahan has been named SEC General Counsel. As the SEC’s chief legal officer, Mr. McGranahan will oversee the provision of legal expertise and advice to the Office of the…
Sectors:
Topics:
BankAsset ManagerBroker Dealer
BaFin warns consumers about the website ownmoodspace(.)com.
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Own Mood Space and the services it is offering. BaFin suspects the unknown operators of the website ownmoodspace(.)com of offering consumers financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
FintechCrypto Exchange
Identity theft: BaFin warns against offers on website fidelity-ag(.)com
The Federal Financial Supervisory Authority BaFin warns against offers on the website fidelity-ag(.)com. According to information available to BaFin, banking transactions, especially fixed-term deposits, financial or investment services are being provided on this website without the required authorisation. The fixed-term deposit offers are sent, among others, from the email address festgeld[at]fidelity-ag(.)com. The offers do not originate from the Swiss company Fidelity Treuhand und Verwaltu...
Sectors:
Topics:
BankWealth ManagerFintech
Publication of financial reports: Federal Office of Justice imposes disciplinary fine on pferdewetten.de AG
On 07 November 2025, the Federal Office of Justice (Bundesamt für Justiz - BfJ) imposed a disciplinary fine amounting to 50.000 euros on pferdewetten.de AG.
AI Analysis
The Federal Office of Justice (BfJ) imposed a €50,000 disciplinary fine on pferdewetten.de AG on November 7, 2025, for violations related to the publication of financial reports under German securities law (WpHG - Wertpapierhandelsgesetz). This enforcement action underscores regulatory expectations for timely and accurate financial disclosure compliance, particularly for publicly traded or regulated entities in the gaming/betting sector.
Sectors:
Topics:
All Firms
Five Pillars DeFi: BaFin warns consumers about the website fivepillarstoken(.)com
The Federal Financial Supervisory Authority (BaFin) suspects the unknown operators of the website fivepillarstoken(.)com of offering consumers cryptoasset services in Germany without the required authorisation. The offers include “crypto debit cards” and staking using Five Pillars Tokens.
Sectors:
Topics:
Crypto ExchangeFintech
Circular CSSF 19/708 - Annex (Updated)
Electronic transmission of documents to the CSSF
AI Analysis
Circular CSSF 19/708 mandates the electronic transmission of specified documents to the CSSF via secure platforms like e-file or SOFiE, effective from February 1, 2019, replacing prior paper or other methods. This updated annex (as amended by Circular CSSF 21/790 and further revisions up to April 1, 2025) standardizes submissions for investment funds and related entities, reducing administrative burdens while ensuring document integrity and CSSF accessibility. Compliance professionals must monitor the dynamic annex list on the CSSF website to avoid nullified submissions.
Sectors:
Topics:
Asset ManagerWealth ManagerInsurance
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
Telegram groups and trading app: BaFin warns consumers about identity theft in connection with the apps “NYLI” and “NYLIPLUS”
According to information available to the Federal Financial Supervisory Authority (BaFin), unknown persons are using Telegram groups and chats to contact German investors. The initiators of these messenger groups purport to be the US company “MacKay Shields”. This is a case of identity fraud.
Sectors:
Topics:
BankWealth ManagerFintech
WhatsApp groups and trading app: BaFin warns consumers about identity theft in connection with the app “PayDenPro”
According to information available to the Federal Financial Supervisory Authority (BaFin), unknown persons are using WhatsApp groups and chats to contact German investors. The initiators of these WhatsApp groups purport to be the US company “Payden & Rygel”. This is a case of identity theft misusing the names of real employees.
Sectors:
Topics:
BankFintechPayment Provider
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.
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BankCrypto Exchange
BaFin warns consumers about the website blitz365finance(.)org and identity fraud
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website blitz365finance(.)org. According to information available to BaFin, the operators are offering financial and cryptoasset services on the website without the required authorisation. The unknown operators of the website are not supervised by BaFin. This is a case of identity fraud against a Swiss company.
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BankFintechCrypto Exchange
UK and EU regulators sign Memorandum of Understanding to strengthen oversight of critical third parties
The Financial Conduct Authority, Bank of England and Prudential Regulation Authority (UK regulators) have together signed a Memorandum of Understanding (MoU) with the European Supervisory Authorities to enhance cooperation and oversight of critical third parties (CTPs) that fall under the UK’s CTP regime.
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BankAsset ManagerWealth Manager
SFC obtains disqualification order against former executive director of National United Resources Holdings Limited
No description available.
Sectors:
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BankWealth ManagerAsset Manager
Aktualisierte Sanktionsmeldung: Venezuela
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat Änderungen des Anhangs 1 der Verordnung vom 28. März 2018 über Massnahmen gegenüber Venezuela (SR 946.231.178.5) publiziert.
AI Analysis
On January 13, 2026, Switzerland's State Secretariat for Economic Affairs (SECO) updated Annex 1 of the Ordinance on Measures against Venezuela (SR 946.231.178.5), reflecting changes to the list of designated persons and entities subject to Swiss asset freezing measures. This update is critical for Swiss financial institutions and regulated entities as it directly impacts sanctions compliance obligations and requires immediate verification of client and counterparty lists against the revised designations.
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BankWealth ManagerAsset Manager
CP1/26 – Financial Services Compensation Scheme – Management Expenses Levy Limit (MELL) 2026/27
Consultation paper 1/26
AI Analysis
The PRA and FCA have jointly issued consultation paper CP1/26 proposing to set the **Management Expenses Levy Limit (MELL) for the Financial Services Compensation Scheme (FSCS) at £113 million for 2026/27**, comprising a £108 million management expenses budget and a £5 million unlevied reserve. This consultation determines the maximum amount the FSCS can levy on authorised financial services firms to fund its statutory compensation scheme operations, directly affecting compliance costs for all regulated entities.
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BankInsuranceAsset Manager
Register of EU/EEA Mortgage Credit Intermediaries operating in Luxembourg under the freedom to provide services in accordance with the Mortgage Credit Directive 2014/17/EU (Updated)
No description available.
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Bank
DFSA to host webinar on updated Crypto Token framework and DIFC’s digital assets…
DFSA to host webinar on updated Crypto Token framework and DIFC’s digital assets…
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Topics:
Crypto ExchangeFintech
Chairman Selig Launches the CFTC Innovation Advisory Committee
No description available.
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FintechCrypto Exchange
Population concerned by the enforcement
No description available.
AI Analysis
This CSSF publication, dated January 12, 2026, identifies the specific population (likely a firm or individual) subject to an enforcement action, such as an administrative sanction, as part of the CSSF's transparency in supervisory measures. It matters because it signals CSSF's active enforcement priorities, potentially in areas like AML or reporting failures, enabling firms to assess similar risks in their operations and strengthen compliance to avoid parallel actions. Published amid rising focus on financial crime typologies like sexual extortion, it underscores the regulator's commitment to public accountability.
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BankPayment ProviderAll Firms
FCA highlights good practice and risks in complex ETPs for retail investors
We reviewed how firms sell complex exchange traded products (ETPs) to retail consumers. Complex ETPs are a subset of the wider ETP market and include high-risk investment strategies that can be difficult for retail consumers to understand.We assessed how firms of different sizes and business models evaluate these products, communicate key risks and monitor outcomes under the Consumer Duty.Given the complexity and risk profile of ETPs, it is essential firms make sure investors have the knowled...
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Asset ManagerBroker DealerWealth Manager
Commission Delegated Regulation (EU) 2026/46 of 3 December 2025
amending Delegated Regulation (EU) 2016/1675 to add Russia to the list of high-risk third countries with strategic deficiencies
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BankAsset ManagerWealth Manager
The DFSA implements major updates to Crypto Token Regulatory Framework,…
12 JAN 2026, 07:30 AM The DFSA implements major updates to Crypto Token Regulatory Framework,…
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Crypto ExchangeFintechAll Firms
SEC to Host Hybrid Event on Regulation S-P for Small Firms
The Securities and Exchange Commission today announced it will hold its third and final outreach event to help firms comply with amendments to Regulation S-P. The event, which is focused on small firms, is open to in-person or virtual attendance, and is…
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Asset ManagerBroker DealerWealth Manager
Administrative sanction of 11 September 2025
Administrative sanction imposed on the alternative investment fund manager Premium Capital Management (“AIFM”)
AI Analysis
The CSSF imposed a €10,000 administrative fine on 11 September 2025 against alternative investment fund manager (AIFM) Premium Capital Management for failing to submit its annual financial crime questionnaire by the 4 April 2025 deadline, breaching the cooperation obligation under Article 5(1) of Luxembourg's AML/CFT Law of 12 November 2004. This enforcement action underscores the CSSF's strict enforcement of AML reporting duties, signaling heightened scrutiny on timely supervisory cooperation amid ongoing AML risks in Luxembourg. Compliance teams should view this as a reminder of the low tolerance for even administrative lapses, with potential for escalated fines in repeat cases.
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Asset ManagerHedge Fund
Administrative sanction of 11 September 2025
Administrative sanction imposed on the alternative investment fund manager Sunbricks GP S.à r.l. (“AIFM”)
AI Analysis
The CSSF imposed a **€10,000 administrative fine on Sunbricks GP S.à r.l.**, an alternative investment fund manager, for failing to submit a mandatory annual financial crime questionnaire by the April 4, 2025 deadline, despite two formal reminders. This enforcement action demonstrates the CSSF's strict approach to cooperation obligations under Luxembourg's anti-money laundering and counter-terrorist financing (AML/CFT) framework and signals that non-submission of required compliance documentation—even without evidence of underlying financial crime—triggers regulatory penalties.
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Asset ManagerAll Firms
Administrative sanction of 11 September 2025
Administrative sanction imposed on the alternative investment fund manager Capitalis Premiere Group (“AIFM”)
AI Analysis
The CSSF imposed a €10,000 administrative fine on alternative investment fund manager (AIFM) Capitalis Premiere Group on 11 September 2025 for failing to submit its annual financial crime questionnaire by the 4 April 2025 deadline, despite two reminders, breaching the cooperation obligation under Article 5(1) of Luxembourg's AML/CFT Law of 12 November 2004. This enforcement action underscores the CSSF's strict enforcement of AML reporting duties, signaling heightened scrutiny on timely supervisory cooperation for Luxembourg-regulated entities. Compliance teams should note this as a low-value but public reminder of potential fines for administrative lapses in AML processes.
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Asset ManagerHedge Fund
Administrative sanction of 11 September 2025
Administrative sanction imposed on the alternative investment fund manager Lion Management (“AIFM”)
AI Analysis
The CSSF imposed a €10,000 administrative fine on Lion Management, an alternative investment fund manager, on 11 September 2025 for failing to submit a mandatory annual financial crime questionnaire by the 4 April 2025 deadline. This enforcement action demonstrates the CSSF's commitment to enforcing cooperation obligations under Luxembourg's anti-money laundering and terrorist financing framework, with direct implications for all AIFMs regarding timely compliance with supervisory reporting requirements.
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Asset ManagerHedge Fund
Administrative sanction of 11 September 2025
Administrative sanction imposed on the alternative investment fund manager Max Gain Capital S.à r.l. (“AIFM”)
AI Analysis
The CSSF imposed a €10,000 administrative fine on Max Gain Capital S.à r.l., an alternative investment fund manager, on 11 September 2025 for failing to submit a mandatory annual financial crime questionnaire by the April 2025 deadline. This enforcement action demonstrates the CSSF's active monitoring of AML/CFT compliance obligations and its willingness to sanction non-cooperation, even for procedural failures unrelated to substantive money laundering violations.
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Asset ManagerAll Firms
Administrative sanction of 11 September 2025
Administrative sanction imposed on the alternative investment fund manager Agriland Management S.A. (“AIFM”)
AI Analysis
The Commission de Surveillance du Secteur Financier (CSSF), Luxembourg's financial regulator, imposed a **EUR 10,000 administrative fine on Agriland Management S.A.**, an alternative investment fund manager, on 11 September 2025 for failing to submit a mandatory annual financial crime questionnaire by the April 2025 deadline. This enforcement action demonstrates the CSSF's commitment to enforcing cooperation obligations under Luxembourg's anti-money laundering and terrorist financing (AML/CFT) framework and signals heightened scrutiny of compliance with supervisory reporting requirements.
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Asset Manager
Administrative sanction of 11 September 2025
Administrative sanction imposed on the alternative investment fund manager Bedrock I GP S.à r.l. (“AIFM”)
AI Analysis
The CSSF imposed a €10,000 administrative fine on alternative investment fund manager (AIFM) Bedrock I GP S.à r.l. on 11 September 2025 for failing to submit its annual financial crime questionnaire by the 4 April 2025 deadline, despite two reminders, breaching the cooperation obligation under Article 5(1) of Luxembourg's AML/CFT Law of 12 November 2004. This enforcement action underscores CSSF's strict enforcement of AML reporting duties and serves as a public warning to supervised entities on timely supervisory compliance. It matters because it demonstrates that even modest fines are pursued for basic reporting lapses, potentially signaling heightened scrutiny on AIFMs' AML processes amid ongoing regulatory focus on financial crime risks.
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Asset ManagerHedge Fund
Administrative sanction of 23 July 2025
Administrative sanction imposed on JTC (Luxembourg) S.A.
AI Analysis
The CSSF imposed a €102,000 administrative fine on JTC (Luxembourg) S.A. on 23 July 2025 for breaches in its professional obligations as a depositary of non-financial assets under the AIFM Law, identified during an on-site inspection from February 2023 to January 2024 covering activities up to December 2022. This enforcement action highlights CSSF's scrutiny of depositary functions, particularly risk assessment and oversight controls, serving as a warning for similar entities to strengthen compliance amid rising supervisory focus on AIFM depositaries.
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Asset 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
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Asset ManagerWealth ManagerBank
Identity theft: BaFin warns against offers from the email address wise[at]wisefestgeldkonto(.)com
The Federal Financial Supervisory Authority BaFin warns against fixed-term deposit offers sent from the email address wise[at]wisefestgeldkonto(.)com. According to information available to BaFin, the unknown providers are conducting banking transactions without the required authorisation. The offers do not originate from Wise Europe SA. This is a case of identity theft.
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BankFintechPayment Provider
Identity fraud: BaFin warns against offers on website ellis-ag(.)net
The Federal Financial Supervisory Authority BaFin warns against offers on the website ellis-ag(.)net. According to information available to BaFin, financial or investment services and crypto asset services are being offered on this platform without the required authorisation. According to the current state of knowledge, there is no connection to the Swiss company Ellis AG, Zurich. This is likely to be a case of identity fraud.
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BankFintechCrypto Exchange
SEC Publishes Staff Report on Capital-Raising Dynamics
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation today published and delivered to Congress its 2025 staff report that serves as a comprehensive and data-rich resource on capital-raising dynamics…
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Asset ManagerBroker DealerWealth Manager
CFTC Staff Issues No-Action Letter Regarding Event Contracts
No description available.
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Broker DealerCrypto Exchange
SEC Proposes Amendments to the Small Entity Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act
The Securities and Exchange Commission today proposed amendments to the rules that define which registered investment companies, investment advisers, and business development companies qualify as small entities for purposes of the Regulatory Flexibility…
AI Analysis
The SEC proposed amendments on January 7, 2026, to expand the definitions of "small entities" under the Regulatory Flexibility Act (RFA) for registered investment advisers (RIAs), investment companies, and business development companies by significantly raising asset thresholds last updated in 1998. This would increase the number of qualifying small entities, enabling the SEC to better assess regulatory impacts and potentially provide tailored relief like extended compliance timelines during rulemaking. It matters because it could indirectly reduce compliance burdens for mid-sized firms by influencing future SEC rules to minimize disproportionate effects on smaller players.
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Asset Manager
Alpha Blue Capital und Blue Capital: BaFin warns against offers on the websites bluealphafx(.)com and h5.bluealphasystem(.)net, in the app “BCAAT,” and in WhatsApp groups
In the WhatsApp groups, investors are recommended to invest in financial instruments that can then be traded via the platform h5.bluealphasystem(.)net or the aforementioned app.
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BankWealth ManagerFintech
Cantor: BaFin warns against identity fraud in WhatsApp groups and against app CDAfin
The Federal Financial Supervisory Authority BaFin warns against offers in WhatsApp groups, which are allegedly operated by Cantor Fitzgerald and led by Leopold Schneider. BaFin is not aware of the existence of this person. According to information available to BaFin, recommendations for the purchase of financial instruments and cryptocurrencies, which can allegedly be traded via CDAfin app, are offered in various WhatsApp groups. According to the current state of knowledge, there is no connec...
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BankFintechCrypto Exchange
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: 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
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
The AMF and the ACPR warn the public against several entities offering in France investments in the unregulated foreign exchange market (Forex) and in crypto-assets derivatives without being authorized to do so
Warning Forex and binary options Warning Savings protection The AMF and the ACPR warn the public against several entities offering in France investments in the unregulated foreign exchange market (Forex) and in crypto-assets derivatives without being authorized to do so
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BankFintechCrypto Exchange
ESMA publishes report on cross-border marking of funds including statistics on notifications
ESMA publishes report on cross-border marking of funds including statistics on notifications 06 January 2026 The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has today published its third report on marketing requirements and marketing communications under the Regulation on cross-border distribution of funds . For the first time, the report includes statistics on notifications of cross-border marketing of funds. Drawing on input from Na...
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Asset ManagerWealth Manager
SFC reprimands and fines Saxo Capital Markets HK Limited $4 million for regulatory breaches over distribution of virtual asset-related products
No description available.
AI Analysis
The Securities and Futures Commission (SFC) reprimanded and fined Saxo Capital Markets HK Limited (SCMHK) HK$4 million on 6 January 2026 for breaching regulations by distributing unauthorised virtual asset (VA) funds and VA-related products to retail clients via its online platform from 1 November 2018 to 25 November 2022. This enforcement action underscores the SFC's strict enforcement of suitability, due diligence, and professional investor-only restrictions for complex VA products, serving as a warning to intermediaries about online distribution risks. It matters because it highlights gaps in group-wide protocols and the need for robust VA-specific controls, especially post-SFC circulars mandating PI-only access.
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Broker DealerAll Firms
Bit500: BaFin warns consumers about the website bit500(.)eu
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website bit500(.)eu. BaFin has information that the operators are offering banking business and/or financial services on this website without the required authorisation. The operators are not supervised by BaFin.
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BankFintechCrypto Exchange
ESAs’ Joint Board of Appeal rules on reimbursement of costs in an appeal brought by NOVIS Insurance Company against the European Insurance and Occupational Pensions Authority (EIOPA)
ESAs’ Joint Board of Appeal rules on reimbursement of costs in an appeal brought by NOVIS Insurance Company against the European Insurance and Occupational Pensions Authority (EIOPA) 05 January 2026 Board of Appeal Joint Committee The Joint Board of Appeal (“The Board”) of the European Supervisory Authorities (ESAs) – the EBA, ESMA, EIOPA – has issued its decision on costs arising in the appeal brought by NOVIS Insurance Company, NOVIS Versicherungsgesellschaft, NOVIS Compagnia di Assicurazio...
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Insurance
New ordinance on the freezing of assets in the context of Venezuela of 5 January 2026
No description available.
AI Analysis
The Swiss Federal Council adopted a new ordinance (RS 196.127.85) on 5 January 2026, mandating the immediate freezing of all assets in Switzerland belonging to Nicolás Maduro and 36 associated persons, under the Federal Act on the Freezing and Restitution of Illicit Assets held by Foreign Politically Exposed Persons (FIAA). This precautionary measure prevents asset outflows amid Venezuela's political upheaval, complementing existing sanctions since 2018, and enables future mutual legal assistance for potential restitution to the Venezuelan people. It matters for Swiss financial institutions as it imposes immediate reporting and freezing obligations with severe penalties for non-compliance.
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BankAsset ManagerWealth Manager
ESMA launches selection of Consolidated Tape Provider for OTC derivatives
ESMA launches selection of Consolidated Tape Provider for OTC derivatives 05 January 2026 MiFID - Secondary Markets Trading The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, is launching the first selection procedure for the Consolidated Tape Provider (CTP) for over the counter (OTC) derivatives. Entities interested to apply are encouraged to register and submit their requests to participate in the selection procedure by 11 February 20...
AI Analysis
ESMA has launched the first selection procedure for a **Consolidated Tape Provider (CTP) for OTC derivatives**, with applications due by 11 February 2026 and a decision expected by early July 2026. This initiative establishes a critical market infrastructure component to enhance transparency and efficiency in the EU's OTC derivatives market by consolidating post-trade data into a single, continuous electronic stream.
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Broker DealerAsset ManagerAll Firms
FCA opens investigation into claims management company
The FCA has opened an enforcement investigation into The Claims Protection Agency Limited (TCPA) following concerns about its advertising and sales tactics in relation to potential motor finance claims. The FCA is investigating what customers were told about the amount of redress they might obtain, whether they were told they could make a claim for free, and whether they were pressurised to sign up.Announcing the investigation allows TCPA customers to consider their options.The FCA has not re...
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All Firms
Berne Financial Services Agreement (BFSA) Operational Direction and Guidelines for UK Insurers’ Section IV Notifications
The Berne Financial Services Agreement (BFSA) is a mutual recognition agreement between the UK and Switzerland, effective from 1 January 2026. This agreement enhances cross-border market access for financial services between the two countries.
Effective Date: 1 January 2026
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Insurance
CFTC Chairman Selig Announces Amir Zaidi as Chief of Staff
No description available.
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BankBroker DealerCrypto Exchange
Main updated figures regarding the financial centre
Extract from the CSSF Newsletter No 300 – January 2026
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BankAsset ManagerWealth Manager
SFC welcomes Process Review Panel Report 2024-25
No description available.
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BankWealth ManagerAsset Manager
TPK Vermögensverwaltungs KG: suspected offer to the public of shares in AuA 24 AG without the required prospectus
The Federal Financial Supervisory Authority (BaFin) has sufficient grounds to suspect that TPK Vermögensverwaltungs KG is offering securities to the public in Germany in the form of shares in AuA 24 AG without the required prospectus. There are no indications that the conditions for exemption from the prospectus requirement are met.
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Asset ManagerWealth Manager
Deputy Director of Enforcement Nekia Hackworth Jones Concludes Her Tenure at the SEC
The Securities and Exchange Commission today announced that Nekia Hackworth Jones, Deputy Director of the Division of Enforcement (Southeast), concluded her tenure with the agency on December 26, 2025.“I am thankful to Nekia for answering the call to…
AI Analysis
This SEC press release announces the departure of Nekia Hackworth Jones, Deputy Director of the Division of Enforcement (Southeast), who concluded her tenure on December 26, 2025, after overseeing enforcement investigations and litigations across Washington D.C., Atlanta, and Miami offices. It matters to compliance professionals as personnel changes in SEC Enforcement leadership can signal potential shifts in enforcement priorities, investigation focus, or regional scrutiny intensity in the Southeast U.S.
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Broker DealerAll Firms
SEC Announces Retirement of Division of Corporation Finance Deputy Director Cicely LaMothe
The Securities and Exchange Commission today announced that Cicely LaMothe, Deputy Director of the Division of Corporation Finance, has retired from the agency.“Cicely has gone above and beyond the call of duty over the past twenty-four years to serve…
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Asset ManagerBroker DealerWealth Manager
SFC withdraws restriction notices to brokers to facilitate return of misappropriated funds to affected parties
No description available.
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Broker DealerWealth ManagerBank
FSTB and SFC conclude consultations on virtual asset dealer and custodian regimes, further consult on two new regimes
No description available.
AI Analysis
The Financial Services and the Treasury Bureau (FSTB) and Securities and Futures Commission (SFC) have concluded consultations launched on 27 June 2025 on licensing regimes for virtual asset (VA) dealers and VA custodians, confirming legislative proposals to regulate these activities while further consulting on new regimes for VA advisers and asset managers. This advances Hong Kong's comprehensive VA regulatory roadmap, mandating SFC licensing for core VA dealing (e.g., VA-to-VA conversions, broker-dealer services) and custody (focusing on private key safekeeping), with strict requirements for asset segregation and use of licensed custodians to mitigate risks like insolvency, fraud, and cyberattacks. It matters for compliance professionals as it closes gaps in VA oversight, enforces Type 1/Type 13-equivalent standards, and signals accelerated implementation in 2026, potentially reshaping market structures for trading, custody, and related services.
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Crypto ExchangeBroker DealerBank
Crypto-assets: the Autorité des Marchés Financiers warns the public about the activities of several unauthorized entities
Warning Warning Savings protection Crypto-assets Crypto-assets: the Autorité des Marchés Financiers warns the public about the activities of several unauthorized entities
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Crypto ExchangeFintech
Michael Pettifer Insurance Brokers Limited enters liquidation
On 21 November 2025, Michael Pettifer Insurance Brokers Limited, trading as MPI Brokers, entered creditors’ voluntary liquidation. Robert Cooksey of Bridgestones Limited has been appointed as liquidator. MPI Brokers was authorised and regulated by the FCA to sell and arrange insurance policies. The firm specialised in travel insurance.If you need to contact the liquidator, please contact Bridgestones using the details below:Email: mail@bridgestones.co.ukIn writing: MPI Brokers (In Liquidation...
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Insurance
The AMF is warning the public against several entities proposing to invest in miscellaneous assets without being authorized to do so
Warning Warning Savings protection Miscellaneous assets The AMF is warning the public against several entities proposing to invest in miscellaneous assets without being authorized to do so
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Asset ManagerWealth ManagerBroker Dealer
App “RBC NL”: BaFin warns against offers in WhatsApp groups and indicates identity fraud at the expense of Robeco
The German Financial Supervisory Authority (BaFin) warns against WhatsApp groups such as „S373 Robeco Kernmitgliedergruppe“, “M2 Robeco Value Investing Kreis“ and „999 Robeco Investment Strategiezentrum - Blockhandel“, which are allegedly operated by the Frankfurt a.M.-based company Robeco Deutschland, Zweigniederlassung der Robeco Institutional Asset Management B.V. („Robeco“). In the WhatsApp groups consumers are enticed to trade financial products via the app „RBC NL“. It is suspected that...
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BankWealth ManagerFintech
Michael Selig Sworn In as 16th CFTC Chairman
No description available.
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BankBroker DealerCrypto Exchange
Acting Chairman Caroline D. Pham Announces Departure from CFTC
No description available.
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BankBroker DealerCrypto Exchange
Acting Chairman Pham Announces New Member of Global Markets Advisory Committee’s Digital Asset Markets Subcommittee
No description available.
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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 Investment…
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Crypto ExchangeBroker DealerAsset Manager
AMF Enforcement Committee fines the depositary CACEIS Bank for breaches of its professional obligations
Sanctions & settlements professional obligations Journalists Investment management companies Listed companies and issuers AMF Enforcement Committee fines the depositary CACEIS Bank for breaches of its professional obligations
AI Analysis
The AMF Enforcement Committee fined CACEIS Bank €3.5 million and issued a warning on 17 December 2025 for breaches of its professional obligations as depositary for seven French-law UCITS funds managed by H2O AM LLP (later transferred to H2O AM Europe). This decision underscores the AMF's strict enforcement of depositary oversight duties, particularly in verifying fund managers' investment monitoring systems, asset valuations, and compliance with prospectus constraints like issuer limits and security ratings. It matters for compliance teams as it highlights personal accountability risks and potential fines for inadequate due diligence in fund depositary roles, signaling heightened scrutiny amid past H2O fund issues.
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BankAsset ManagerAll Firms
Beware of unregulated holiday park investment schemes
A growing number of investment schemes are being promoted unlawfully, are high risk and may even be scams. We've identified a growing number of investment schemes in holiday lodges and holiday homes being promoted to UK consumers by companies that are not FCA authorised.They may be unregulated collective investment schemes, where several investors invest their money. The schemes are being promoted unlawfully, are high risk and may even be scams. We remind consumers that if you invest in an un...
AI Analysis
The FCA has issued a consumer warning about unregulated investment schemes in holiday lodges and holiday homes, which are often promoted unlawfully by unauthorised firms, posing high risks or outright scams. These schemes typically involve collective investments without FCA authorisation, breaching UK financial promotion and collective investment scheme (CIS) rules. This matters for compliance professionals as it signals heightened FCA scrutiny on unauthorised promotions, potential enforcement actions, and the need for firms to review marketing materials and client referrals to avoid facilitation risks.
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Wealth ManagerAsset ManagerAll Firms
BaFin warns consumers about products and services offered by Marketplace24-7 GmbH
The Federal Financial Supervisory Authority (BaFin) warns consumers about “bearer bonds” being offered for subscription by Marketplace24-7 GmbH on the website non-dom(.)group. BaFin suspects the company of conducting banking business without the required authorisation. The company is furthermore suspected of making an unauthorised public offer of securities without a prospectus. Under the German Securities Prospectus Act (Wertpapierprospektgesetz - WpPG), a prospectus is required for an offer...
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BankFintechAll Firms
ESMA publishes 2024 data on cross-border investment activity of firms
ESMA publishes 2024 data on cross-border investment activity of firms 22 December 2025 Investor protection The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, in cooperation with National Competent Authorities (NCAs), completed an analysis of the cross-border provision of investment services in 2024 . Data was gathered from investment firms across 30 jurisdictions in the EU/EEA. The main findings include: Around 370 financial firms provid...
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Asset ManagerBroker DealerWealth Manager
Dissolution and judicial liquidation: ALFA ASSET MANAGEMENT (EUROPE) S.A.
Press release 25/21(published on 22 December 2025, updated on 31 December 2025)
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Asset ManagerWealth Manager
Acting Chairman Pham Announces Pilot Program to Unleash American Energy Dominance
No description available.
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Broker DealerCrypto Exchange
CFTC Staff Issues No-Action Letter Regarding CPO Registration for Certain SEC-Registered Investment Advisers
No description available.
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Asset ManagerBroker Dealer
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
Invesco Investment Management Limited (CLONE) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Invesco Investment Management Limited (CLONE) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Asset ManagerBank
Harbor Valtrix– Central Bank of Ireland Issues Warning on Unauthorised Firm
Harbor Valtrix– Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankWealth Manager
Central Bank of Ireland Issues Warning on Unauthorised Firm – Fraudulent entity clones details of Irish registered company, Solunar Finance Holdings Limited
Solunar Finance Holdings Limited (Clone) – Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankWealth ManagerFintech
Paragonix Edge: BaFin warns consumers about the website paragonixedge(.)app
The Federal Financial Supervisory Authority (BaFin) warns consumers about the website paragonixedge(.)app. BaFin suspects the unknown operators of offering consumers cryptoasset services without the required authorisation.
Sectors:
Topics:
Crypto ExchangeFintech
Circular CSSF 25/901
relating to specialised investment funds, investment companies in risk capital and undertakings for collective investment subject to Part II of the Law of 17 December 2010
AI Analysis
Circular CSSF 25/901 consolidates and modernizes the supervisory framework for Luxembourg specialised investment funds (SIFs), investment companies in risk capital (SICARs), and undertakings for collective investment subject to Part II of the Law of 17 December 2010 (Part II UCIs), including their sub-funds. It streamlines investment rules, diversification limits, borrowing, disclosures, and risk management while enhancing flexibility for sophisticated investors and formalizing prior informal guidance, reducing regulatory complexity without compromising investor protection.
Sectors:
Topics:
Asset ManagerHedge Fund
BaFin warns consumers about series of platforms
The Federal Financial Supervisory Authority (BaFin) warns customers about online trading platforms that use the slogan “[...] invest your money in the world of cryptocurrencies with [...]”. BaFin suspects the unknown operators of offering consumers cryptoasset services without the required authorisation. The websites have the same text design and layout.
Sectors:
Topics:
Crypto ExchangeFintech
ECB launches fast-track assessments for capital and securitisation
No description available.
Sectors:
Topics:
Bank
Circular IML 91/75 (as amended by Circulars CSSF 05/177, 18/697, 21/790, 22/811 and 25/901) (Updated)
Revision and remodelling of the rules to which Luxembourg undertakings governed by the Law of 30 March 1988 on undertakings for collective investment (“UCI”) are subject
AI Analysis
Circular IML 91/75, as amended up to CSSF Circular 25/901, consolidates and modernizes the supervisory framework for Luxembourg Part II UCIs, SIFs, and SICARs, refining rules on diversification, borrowing, risk-spreading, and disclosures while tailoring requirements to investor profiles. It matters because it streamlines fragmented regulations, enhances fund competitiveness, and formalizes CSSF expectations without mandating immediate changes for pre-existing funds, reducing compliance burdens while promoting transparency and flexibility. This update aligns administrative practices with market realities, repealing outdated circulars to eliminate ambiguity.
Sectors:
Topics:
Asset ManagerHedge FundAll Firms
CFTC Staff Seek Public Comment on Direct Clearing by Retail Participants
No description available.
Sectors:
Topics:
Broker DealerCrypto Exchange
CFTC Obtains Judgment Against Wisconsin Man for Fraud, Misappropriation Scheme
No description available.
Sectors:
Topics:
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...
Sectors:
Topics:
BankWealth ManagerFintech
TradeNova: BaFin warns about offers from the fraudulent trading platform in WhatsApp and Telegram groups
The financial supervisory authority BaFin is warning against WhatsApp and Telegram groups where consumers are lured into trading cryptocurrencies via the fraudulent trading platform TradeNova, which can currently be accessed through the website m.tradenovaeo(.)com. According to their findings, the trading platform TradeNova provides financial services, securities transactions, as well as cryptocurrency-related services without authorization.
Sectors:
Topics:
Crypto ExchangeFintech
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.
Sectors:
Topics:
BankAsset ManagerWealth Manager
MaxFuledge: BaFin warns against offers from fraudulent trading platform on websites maxfuledge(.)com and trading-area.maxfuledge-v2(.)com/auth/register
The Financial Supervisory Authority BaFin has issued warnings regarding offerings found on websites maxfuledge(.)com and trading-area.maxfuledge-v2(.)com/auth/register. Based on its investigations, the purportedly London or Singapore-based trading platform MaxFulEdge offers unauthorised financial services, securities transactions, and cryptocurrency-related services. The platform promotes its offerings through supposed customer service representatives (maja.weis(at)maxfuledge.team and sophia....
Sectors:
Topics:
BankFintechCrypto Exchange
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.
Sectors:
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.
Sectors:
Topics:
Crypto ExchangeFintech
Joshua T. White Named SEC Chief Economist
The Securities and Exchange Commission today announced that financial economist and academic scholar Dr. Joshua T. White will return to the agency beginning the week of Jan. 5, 2026, to serve as its Chief Economist and Director of the Division of…
Sectors:
Topics:
Asset ManagerBroker DealerBank
FCA welcomes reform to the UK Benchmarks Regulation
The FCA welcomes the Government’s consultation on a new benchmarks regime for the UK. Since the introduction of the current regulatory framework, the financial landscape has evolved significantly. We now have an opportunity to build a regime that is more targeted to current market conditions and to reduce unnecessary burdens on industry, without compromising high standards. We are working with the Government to reform the current benchmarks regime to ensure that the regulatory framework remai...
AI Analysis
The FCA welcomes HM Treasury's consultation on reforming the UK Benchmarks Regulation (BMR) to create a narrower, risk-based **Specified Authorised Benchmarks Regime (SABR)**, reducing regulatory scope by 80-90% to target only systemically important benchmarks and administrators while easing burdens on industry. This matters for compliance professionals as it shifts from broad regulation of all benchmarks to targeted oversight, requiring firms to reassess benchmark usage, prepare for transition, and adapt to FCA rules on risk management, enhancing UK competitiveness post-FSMA 2023 repeal of assimilated laws.
Sectors:
Topics:
Asset ManagerBankBroker Dealer
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.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Tava Loans - Central Bank of Ireland Issues Warning on Unauthorised Firm
Tava Loans - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankFintechAll Firms
Ava Credit Finance - Central Bank of Ireland Issues Warning on Unauthorised Firm
Ava Credit Finance - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankFintech
China All Access former executive jailed for false trading
No description available.
Sectors:
Topics:
Broker DealerBankWealth Manager
ECB publishes supervisory banking statistics on significant institutions for the third quarter of 2025
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Circular CSSF 25/900
amending Circular CSSF 22/811.Authorisation and organisation of entities acting as UCI administrators.
AI Analysis
Circular CSSF 25/900, issued on 16 December 2025, amends Circular CSSF 22/811 to clarify governance principles, authorisation requirements, and operational standards for UCI (Undertakings for Collective Investment) administrators in Luxembourg, while reforming annual reporting obligations. It matters because it strengthens supervisory oversight, aligns with DORA for ICT outsourcing, and simplifies reporting to enhance efficiency and compliance in the fund administration sector.
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Bespoke market risk rules could unlock growth
We’re seeking feedback on whether tailored market risk rules for non-bank trading firms could remove unnecessary barriers, free up capital and attract new market participants, ultimately supporting economic growth. The rules in place today were originally designed for banks to ensure they held enough capital to absorb major trading losses and protect depositors.While that approach is sensible, it means non-bank trading firms face the same standards even though the potential harm from their fa...
Sectors:
Topics:
Broker DealerHedge Fund
FCA seeks feedback on proposals for UK crypto rules
We are asking for views on new proposals as the next step in shaping the UK’s crypto rules. These proposals continue our progress towards an open, sustainable and competitive crypto market that people can trust. We want a market where innovation can thrive, but where people understand the risks. Regulation cannot – and should not – remove all risk. Instead, it should make sure anyone investing in crypto does so with their eyes open.Our proposals apply a similar approach to crypto as we do in ...
Sectors:
Topics:
Crypto ExchangeFintech
FINMA launches consultation on partially revised Circular 2016/7 “Video and online identification”
On 16 December 2025, the Swiss Financial Market Supervisory Authority FINMA launched the consultation on the partially revised Circular 2016/7 “Video and online identification”. The consultation will go on until 27 February 2026.
Deadline: 27 February 2026
Sectors:
Topics:
BankWealth ManagerFintech
Circular CSSF 22/811 (as amended by Circular CSSF 25/900) (Updated)
Authorisation and organisation of entities acting as UCI administrators
AI Analysis
Circular CSSF 22/811, as amended by Circular CSSF 25/900, establishes CSSF requirements for the authorisation, governance, internal organisation, and oversight of entities acting as UCI (Undertakings for Collective Investment) administrators in Luxembourg. It matters because it standardises practices amid regulatory, technological, and market evolutions, ensuring robust controls, risk management, and supervision for fund administration activities critical to Luxembourg's fund industry.
Sectors:
Topics:
Asset ManagerBankAll Firms
Election Notice - 12/16/2025
Election Notice - 12/16/2025
Sectors:
Topics:
Broker DealerAsset Manager
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...
Sectors:
Topics:
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
Sectors:
Topics:
Crypto ExchangeFintech
Closure of investigation into Mirabella Advisors LLP
An update on our investigation into Mirabella Advisors LLP. On 4 May 2021, we announced that we had opened an investigation into the oversight of Greensill Capital Securities Limited, an appointed representative, by its principal, Mirabella Advisors LLP. Our investigation reviewed the nature, conduct and scope of Mirabella’s business. We did not identify breaches by Mirabella that require further action. The investigation has therefore now closed. Mirabella applied to have its authorisation c...
AI Analysis
The FCA has closed its investigation into Mirabella Advisors LLP's oversight of its appointed representative (AR), Greensill Capital Securities Limited, finding no breaches warranting further action. This closure, announced after reviewing Mirabella's business nature, conduct, and scope, signals effective AR oversight in this high-profile case tied to the Greensill collapse, while Mirabella voluntarily cancelled its authorisation effective 12 September 2025. It matters for compliance professionals as it reinforces FCA expectations on principal-AR relationships without imposing new penalties or rules, but underscores ongoing scrutiny in trade finance and supply chain finance sectors.
Sectors:
Topics:
Asset ManagerBroker DealerAll Firms
Remarks by Acting Chairman Caroline D. Pham before the Financial Stability Oversight Council
No description available.
Sectors:
Topics:
BankBroker DealerCrypto Exchange
Sanktionen: Die Schweiz weitet ihre Sanktionslisten betreffend Russland und Belarus aus
Der Bundesrat hat die Sanktionslisten betreffend Russland und Belarus am 12. Dezember 2025 ausgeweitet. Die Schweiz übernimmt damit diverse Änderungen, welche die EU im Rahmen ihres 19. Sanktionspakets beschlossen hat.
AI Analysis
The Swiss Federal Council expanded sanctions lists against Russia and Belarus on December 12, 2025, adopting changes from the EU's 19th sanctions package to align Swiss measures with EU restrictions. This matters for Swiss financial institutions as it imposes immediate asset freezes, transaction bans, and reporting obligations on newly listed entities, strengthening efforts to counter Russia's military-industrial complex and shadow oil fleet while preventing sanctions evasion.
Sectors:
Topics:
BankWealth ManagerPayment Provider
FCA confirms final guidance to tackle serious non-financial misconduct in financial services
We're providing guidance to support firms to tackle bullying, harassment and violence in financial services, after they asked for additional support. In July, we changed our rules – setting clearer standards for how financial services firms should address non-financial misconduct.This more closely aligned the rules for banks and non-banks. We wanted to give firms the confidence to act against serious misconduct, drive consistency and make it clearer when non-financial misconduct is a breach o...
Sectors:
Topics:
BankWealth ManagerAll Firms
Notice of Consultation Paper Release: CP 169
11 DEC 2025, 06:08 PM Notice of Consultation Paper Release: CP 169
Sectors:
Topics:
BankWealth ManagerAsset Manager
David Roberts reappointed as Chair of the Bank of England’s Court of Directors and Dame Anne Glover and Diana Noble reappointed as Non‑Executive Directors
David Roberts has been reappointed as Chair of the Court of the Bank of England by His Majesty the King
Sectors:
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
Sectors:
Topics:
Crypto ExchangeAsset ManagerFintech
Promoting innovation while guarding against financial stability risks − speech by Randy Kroszner
Given at the 20th High-level meeting on financial stability and regulatory and supervisory priorities (jointly organised by the Arab Monetary Fund, the Basel Committee on Banking Supervision and the Financial Stability Institute of the Bank of International Settlements).
Sectors:
Topics:
BankAsset ManagerWealth Manager
SEC Charges Canadian Citizen With Fraud Schemes That Targeted Retail Investors on Discord
The Securities and Exchange Commission today charged Canadian citizen Nathan Gauvin and three entities he controls—Blackridge, LLC, Gray Digital Capital Management USA, LLC, and Gray Digital Technologies, LLC—with orchestrating two fraudulent securities…
Sectors:
Topics:
Broker DealerCrypto Exchange
Central Bank of Ireland publishes roadmap to deliver a more effective and efficient regulatory framework
New report outlines the Central Bank’s approach to more effective and efficient regulatory and supervisory framework, reducing complexity and improving clarity while maintaining resilience and important protections in the system. This work builds on the Central Bank’s strategy to transform regulation and supervision, including the introduction of our new integrated supervisory approach and the improvements made in our gatekeeping processes in recent years. The roadmap sets out a comprehensive...
AI Analysis
The Central Bank of Ireland published a comprehensive multi-year roadmap on December 10, 2025, aimed at streamlining its regulatory and supervisory framework across four pillars: supervision, regulation, gatekeeping, and reporting. This initiative represents a strategic shift toward more effective and efficient oversight while explicitly maintaining resilience standards and consumer protections, responding to EU calls for regulatory reform to enhance competitiveness.
Sectors:
Topics:
BankAsset ManagerInsurance
Obelisk Wealth - Central Bank of Ireland Issues Warning on Unauthorised Firm
Obelisk Wealth - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankWealth Manager
Hedwig Ulmer Busenhart joins FINMA’s Executive Board
The Board of Directors of the Swiss Financial Market Supervisory Authority FINMA has appointed Hedwig Ulmer Busenhart as the new Head of the Insurance division. The qualified mathematician and actuary has over 25 years of management experience in the insurance sector and will take up her position on 1 April 2026. She succeeds Birgit Rutishauser, who left FINMA in April 2025.
Sectors:
Topics:
Insurance
Notice of Amendments to Legislation December 2025
05 DEC 2025, 02:37 PM Notice of Amendments to Legislation December 2025
Sectors:
Topics:
BankAsset ManagerBroker Dealer
SEC to Host Webinar for Transfer Agents on Regulation S-P
The Securities and Exchange Commission today announced it will hold the second in its series of compliance outreach events regarding the 2024 adoption of amendments to Regulation S-P. The event, for transfer agents, is a webinar scheduled for December 17…
Sectors:
Topics:
Broker DealerAsset Manager
EPC Finance Limited - Central Bank of Ireland Issues Warning on Unauthorised Firm
EPC Finance Limited - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankWealth ManagerFintech
LiteLoans4U - Central Bank of Ireland Issues Warning on Unauthorised Firm
LiteLoans4U - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankFintech
Wealthbayy - Central Bank of Ireland Issues Warning on Unauthorised Firm
Wealthbayy - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankWealth 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
The evolving landscape of UK financial mutuals: every challenge is an opportunity − speech by Laura Wallis
Given at Bayes Business School for the 6th Research Workshop on The Future of Financial Mutuals
Sectors:
Topics:
BankWealth ManagerAll Firms
Mutuals landscape report
This report has been informed by the PRA and FCA’s ongoing regulation and supervision of mutuals and by direct engagement with mutuals and their trade associations in sessions around the country throughout 2025.
Sectors:
Topics:
BankAsset ManagerWealth Manager
The Autorité des Marchés Financiers takes note of the Cour de Cassation ruling in the Vivendi SE case
Financial disclosures & corporate financing Journalists Listed companies and issuers The Autorité des Marchés Financiers takes note of the Cour de Cassation ruling in the Vivendi SE case
Sectors:
Topics:
BankBroker DealerAsset Manager
Rémi Bouchez, the new Ombudsman of the Autorité des Marchés Financiers
Mediation Appointment Institutional Other professionals Executive & other private individuals Retail investors Journalists Investment services providers Investment management companies Listed companies and issuers ...
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
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
Swiss Takeover Board: Beat Fellmann’s term of office extended by one year
The Board of Directors of the Swiss Financial Market Supervisory Authority FINMA has extended Beat Fellmann’s term of office by one year until the end of 2026.
Sectors:
Topics:
BankWealth Manager
The Autorité des Marchés Financiers has amended its doctrine to clarify its expectations of ELTIFs
Asset management Collective investments The Autorité des Marchés Financiers has amended its doctrine to clarify its expectations of ELTIFs
Sectors:
Topics:
Asset Manager
SEC Investor Advisory Committee to Host Dec. 4 Meeting on Regulatory Changes in Corporate Governance, the Tokenization of Equity Securities
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on Dec. 4, 2025, at 10 a.m. ET. The meeting will be webcast on the SEC website.The committee will host two panels:Regulatory Changes in Corporate…
Sectors:
Topics:
Broker DealerCrypto ExchangeAll Firms
CFTC Charges Two Men, their Unregistered Commodity Pool with Futures Fraud, Registration Violations
No description available.
AI Analysis
The CFTC filed a civil enforcement action on November 21, 2025, against Brian Mitchell, Kevin Mack Jr., and their unregistered entity Young Pros Investment Group LLC (YPIG) for fraudulently soliciting ~$1 million from 33 pool participants to trade commodity futures, using misrepresentations, Ponzi payments, false statements, and registration violations, including Mitchell's breach of a prior 2021 CFTC order. This case underscores the CFTC's aggressive enforcement against unregistered commodity pools and fraud, seeking restitution, disgorgement, penalties, trading bans, and injunctions under the Commodity Exchange Act (CEA). Compliance teams must prioritize registration checks and fraud prevention to avoid similar actions, as it highlights personal liability for controlling persons.
Sectors:
Topics:
Hedge FundAsset ManagerAll Firms
CP23/25 – Regulatory fees and levies: policy proposals for 2026/27 – Joint PRA and FCA consultation
Consultation paper 23/25
AI Analysis
This joint PRA-FCA consultation (CP23/25 from PRA and Chapter 4 of FCA's CP25/33) proposes policy updates to regulatory fees, levies, and invoice processes for 2026/27, including new fee blocks for emerging activities like PISCES operators and targeted support, alongside adjustments to FOS/FSCS levies and payment timelines. It matters for compliance teams as it directly impacts budgeting, fee calculations, and cash flow management for fee-payers, with potential cost increases and procedural changes effective from April 2026.
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Topics:
BankFintechPayment Provider
Statement on the Bank’s Black Heritage Sponsored Internship
Statement from the Bank of England
Sectors:
Topics:
BankWealth ManagerAsset Manager
TIBER-EU guide - How to implement the TIBER-EU framework for the DORA TLPT of significant institutions
No description available.
Sectors:
Topics:
BankFintechCrypto Exchange
CFTC, 30 State Regulators Obtain Over $51 Million in Sanctions, Restitution for Victims in California Precious Metals Fraud
The CFTC today announced the U.S. District Court for the Central District of California entered a final judgement against Safeguard Metals LLC and Jeffrey Ikahn (aka Jeffrey Santulan and Jeffrey Hill) ordering them to pay $25.6 million in restitution to victims and a $25.6 million civil monetary penalty for operating a nationwide, precious metals fraud. Released: 11/20/2025
AI Analysis
The CFTC, alongside 30 state regulators, secured a final judgment on November 20, 2025, against Safeguard Metals LLC and Jeffrey Ikahn, imposing $25.6 million in restitution to victims and a $25.6 million civil monetary penalty for a nationwide precious metals fraud scheme from October 2017 to July 2021 that defrauded over 450 elderly investors of more than $52 million. This enforcement action, resolving a February 2022 complaint, highlights coordinated federal-state-SEC efforts to combat commodity fraud and underscores personal liability for controlling persons under CEA Section 6(c)(1) and Regulation 180.1(a). It matters for compliance as it reinforces aggressive penalties for misrepresentations, overcharges, and targeting vulnerable populations, with offsets across parallel SEC proceedings.
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Topics:
Broker DealerAsset ManagerAll Firms
ECB appoints three Directors General for banking supervision
No description available.
Sectors:
Topics:
Bank
Federal Council appoints new member to FINMA’s Board of Directors
The Federal Council has appointed Katia Villard to the Board of Directors of the Swiss Financial Market Supervisory Authority FINMA. A professor of criminal law, Ms Villard will succeed Ursula Cassani Bossy who is stepping down from FINMA's Board of Directors at the end of the year.
Sectors:
Topics:
BankWealth Manager
Keynote Address by Acting Chairman Caroline D. Pham, FIA EXPO
No description available.
Sectors:
Topics:
Broker DealerCrypto Exchange
New DFSA-HKMA report reveals that labelled sustainable debt issuance in MENA and…
18 NOV 2025, 12:00 PM New DFSA-HKMA report reveals that labelled sustainable debt issuance in MENA and…
Sectors:
Topics:
BankAsset ManagerAll Firms
SEC Division of Examinations Announces 2026 Priorities
The Securities and Exchange Commission’s Division of Examinations today released its 2026 examination priorities. The Division publishes its annual examination priorities to provide transparency to registrants and investors about the topics that the…
Sectors:
Topics:
Asset ManagerBroker DealerCrypto Exchange
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
DP2/25 – Alternative Life Capital: Supporting innovation in the life insurance sector
Discussion paper 2/25
AI Analysis
The PRA's Discussion Paper 2/25 (published November 14, 2025) invites UK life insurers to provide feedback on potential regulatory reforms that would enable them to access **alternative forms of capital through risk transfer to capital markets**, outside traditional equity and debt issuance. This initiative aims to address capital constraints in the UK life insurance sector while maintaining policyholder protection and supporting long-term economic growth.
Sectors:
Topics:
Insurance
Deputy Director of Enforcement Antonia M. Apps to Conclude Her Tenure at the SEC
The Securities and Exchange Commission today announced that Antonia M. Apps, Deputy Director of the Division of Enforcement (Northeast), will conclude her tenure with the agency effective Dec. 1, 2025. “I thank Antonia for her steadfast leadership in…
AI Analysis
This SEC press release announces the departure of Antonia M. Apps, Deputy Director of the Division of Enforcement (Northeast), effective December 1, 2025. It signals ongoing leadership transitions within the restructured Enforcement Division under new SEC Chair Paul Atkins, which may influence enforcement priorities, transparency, and regional consistency, requiring firms to adapt compliance strategies amid a "return to basics" approach focused on core investor protection.
Sectors:
Topics:
Broker DealerAsset ManagerAll Firms
Minutes of the CBDC Engagement Forum - February 2025
Meeting of the CBDC Engagement Forum
Sectors:
Topics:
BankFintechCrypto Exchange
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
Bank of England launches consultation on regulating systemic stablecoins
The Bank of England (the Bank) has today published a consultation paper (CP) setting out its proposed regulatory regime for sterling-denominated systemic stablecoins.
AI Analysis
The Bank of England has published a consultation paper (issued November 10, 2025) proposing a comprehensive regulatory regime for **sterling-denominated systemic stablecoins**, establishing requirements for backing assets, capital, redemption procedures, and operational safeguards. This represents a pivotal step toward implementing the UK's stablecoin framework, with the regime designed to maintain financial stability while enabling viable business models for systemic stablecoin issuers.
Sectors:
Topics:
BankFintechPayment Provider
Minutes of the CBDC Engagement Forum - May 2025
Meeting of the CBDC Engagement Forum
Sectors:
Topics:
BankFintechCrypto Exchange
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
Circular CSSF 07/325 (as amended by Circulars CSSF 21/765, CSSF 22/827 and CSSF 25/898) (Updated)
Provisions relating to credit institutions and investment firms of EU origin established in Luxembourg by way of branches or exercising activities in Luxembourg by way of free provision of services
AI Analysis
Circular CSSF 07/325, as amended by Circulars CSSF 21/765, CSSF 22/827, and most recently CSSF 25/898, establishes supervisory requirements for EU credit institutions and investment firms operating in Luxembourg via branches or free provision of services (FOPS). It matters for compliance professionals as it defines CSSF's host authority role, notification obligations, reporting, and enforcement powers, ensuring alignment with CRD and MiFID II while adapting to evolving EU rules.
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Topics:
BankBroker Dealer
Circular CSSF 25/898
Update of Circular CSSF 07/325 on Provisions relating to credit institutions and investment firms of EU origin established in Luxembourg by way of branches or exercising activities in Luxembourg by way of free provision of services, as amended by Circulars CSSF 21/765 and CSSF 22/827
AI Analysis
Circular CSSF 25/898 updates Luxembourg's supervisory framework for EU-origin credit institutions and investment firms operating in Luxembourg through branches or free provision of services. This amendment enhances the self-assessment questionnaire (SAQ) used by the CSSF to align supervisory oversight with current regulatory priorities, particularly adding UCI administration as a new thematic module. The update reflects the CSSF's evolving supervisory focus and requires affected institutions to demonstrate compliance with expanded assessment criteria.
Sectors:
Topics:
BankBroker DealerAsset Manager
The AMF warns the public against fraudulent communications offering investment services impersonating Financière du Nogentais
Warning Warning Savings protection The AMF warns the public against fraudulent communications offering investment services impersonating Financière du Nogentais
Sectors:
Topics:
Asset ManagerWealth Manager
Aktualisierte Sanktionsmeldung: Belarus
Die Schweiz schliesst sich den weiteren Massnahmen des 18. Sanktionspakets der Europäischen Union (EU) gegenüber Russland sowie den zusätzlich zum 18. Sanktionspaket erlassenen Massnahmen gegenüber Belarus an. Dies hat der Bundesrat am 29. Oktober 2025 beschlossen. Im Fokus stehen Massnahmen im Güter-, Finanz und Energiebereich. Der Bundesrat hat dafür die Verordnung über Massnahmen gegenüber Belarus (SR 946.231.116.9) geändert.
AI Analysis
Switzerland has aligned with additional EU measures from the 18th sanctions package against Russia and specific Belarus measures, amending the Ordinance on Measures against Belarus (SR 946.231.116.9) to focus on goods, financial, and energy sectors. This strengthens the sanctions regime against Belarus to mirror Russia's more closely, aiming to enhance effectiveness and prevent circumvention. Compliance teams must prioritize asset freezes, transaction prohibitions, and reporting to avoid enforcement risks from FINMA and SECO.
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BankPayment ProviderAll Firms
Publication of the annual ESMA Report on Sanctions and Measures for 2024: AMF imposes the highest amounts in Europe
Europe & international Sanctions & settlements Publication of the annual ESMA Report on Sanctions and Measures for 2024: AMF imposes the highest amounts in Europe
AI Analysis
The ESMA Annual Report on Sanctions and Measures for 2024, published on 16 October 2025, aggregates enforcement data from EEA national competent authorities (NCAs), highlighting that the French AMF imposed the highest total sanctions at €29.4 million—nearly a third of the EEA's €100 million aggregate—primarily under MAR and MiFID II. This matters for compliance professionals as it signals intensified enforcement focus on market abuse and investor protection across Europe, with France leading in both fine amounts and settlement usage, underscoring a trend toward higher penalties and agile resolution mechanisms.
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Asset ManagerBroker DealerAll Firms
ID 14/25 and FAS 16/2025 Amendments to MAS Notice 211 and MAS Notice 502
Notification of Amendments to Annex 1 of MAS Notice 211 on Minimum and Best Practice Training and Competency Standards for Direct General Insurers and Appendix 1 of MAS Notice 502 on Minimum and Best Practice Training and Competency Standards for Direct General Insurers.
AI Analysis
This MAS circular (ID 14/25 and FAS 16/2025, published 30 October 2025) notifies amendments to Annex 1 of MAS Notice 211 and Appendix 1 of MAS Notice 502, focusing on minimum and best practice **training and competency standards** for direct general insurers and insurance brokers. It matters because these updates strengthen regulatory expectations for staff qualifications in the general insurance sector, ensuring higher professional standards amid evolving risks like AML/CFT, with direct implications for licensing compliance and operational resilience.
Sectors:
Topics:
InsuranceBroker Dealer
PS20/25 – The Strong and Simple Framework: The simplified capital regime for Small Domestic Deposit Takers (SDDTs) – near-final
Policy Statement 20/25
AI Analysis
**PS20/25** represents the second and final phase of the PRA's "Strong and Simple Framework," establishing a significantly simplified capital regime for Small Domestic Deposit Takers (SDDTs) while maintaining their resilience. This near-final policy statement, published on 28 October 2025, fundamentally restructures capital requirements, liquidity rules, and operational frameworks for SDDTs—a critical development for smaller deposit-taking institutions seeking regulatory relief from disproportionate compliance burdens.
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Bank
SoP6/25 – The PRA’s approach to Internal Model Method (IMM) permission under the Counterparty Credit Risk (CRR) Part
Statement of policy 6/25
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Bank
SoP7/25 – The PRA’s approach to waivers and permissions under the Securitisation (CRR) Part of the PRA Rulebook
Statement of policy 7/25
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Topics:
BankAll Firms
The Financial Stability Board and the International Organisation of Securities Commissions publish two reports assessing the implementation of recommendations on crypto-asset and stablecoin activities
Crypto-assets Investment services Financial services providers The Financial Stability Board and the International Organisation of Securities Commissions publish two reports assessing the implementation of recommendations on crypto-asset and stablecoin activities
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Topics:
Crypto ExchangeBankFintech
The SCA and DFSA strengthen regulatory cooperation with Memorandum of…
27 OCT 2025, 10:00 AM The SCA and DFSA strengthen regulatory cooperation with Memorandum of…
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Topics:
BankBroker DealerWealth Manager
List of supervised entities - Cut-off date 1 September 2025
No description available.
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Topics:
BankAsset ManagerWealth Manager
Advancing settlement: central bank money for the next era of payments − speech by Victoria Cleland
Given at the Bank of England and Bank for International Settlements Innovation Hub’s DLT Innovation Challenge Showcase
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Topics:
BankFintechCrypto Exchange
The DFSA publishes summary of Consultation Paper 168 – Enhancements to the…
21 OCT 2025, 09:33 AM The DFSA publishes summary of Consultation Paper 168 – Enhancements to the…
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Topics:
Crypto ExchangeFintech
UK Islamic Finance and the Alternative Liquidity Facility - slides by Victoria Saporta
Slides by Victoria Saporta
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BankAsset ManagerWealth Manager
The AMF announces new measures to facilitate access to listing
Financial disclosures & corporate financing Public offer Prospectus Executive & other private individuals Professional investors Journalists Listed companies and issuers The AMF announces new measures to facilitate access to listing
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BankBroker Dealer
Deutsche Bank Wealth Management (CLONE) / Deutsche Bank AG (CLONE) / DB UK Bank Limited (CLONE) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Deutsche Bank Wealth Management (CLONE) / Deutsche Bank AG (CLONE) / DB UK Bank Limited (CLONE) - Central Bank of Ireland Issues Warning on Unauthorised Firm
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Topics:
BankWealth Manager
Dubai advances position as Middle East, Africa and South Asia’s leading global…
20 OCT 2025, 10:00 AM Dubai advances position as Middle East, Africa and South Asia’s leading global…
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Topics:
BankAsset ManagerBroker Dealer
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in the unregulated foreign exchange market (Forex) and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Warning Forex and binary options The AMF and the ACPR warn the public against the activities of several entities offering in France investments in the unregulated foreign exchange market (Forex) and in crypto-assets derivatives without being authorized to do so
Sectors:
Topics:
BankFintechCrypto Exchange
Live from GITEX: DFSA and VARA strengthen regulatory cooperation to support…
15 OCT 2025, 03:05 PM Live from GITEX: DFSA and VARA strengthen regulatory cooperation to support…
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Topics:
Crypto ExchangeFintech
Not just token gestures − speech by Sarah Breeden
Based on remarks given on the ‘Real World Assets Tokenisation: What Asset Classes Will Work – and Which Won’t’ panel at DC Fintech Week 2025
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BankFintechCrypto Exchange
The Autorité des Marchés Financiers publishes the findings of its thematic inspections on governance and role of senior managers at asset management companies
Supervision Asset management Governance Journalists Investment management companies The Autorité des Marchés Financiers publishes the findings of its thematic inspections on governance and role of senior managers at asset management companies
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Asset Manager
FINMA to appeal partial decision of the Federal Administrative Court concerning AT1
The Swiss Financial Market Supervisory Authority FINMA takes note of the Federal Administrative Court’s partial decision concerning the write-down of AT1 capital instruments. FINMA will contest the judgment of 1 October 2025 and appeal to the Federal Supreme Court.
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Topics:
Bank
DFSA Connect: new digital services streamline regulatory approvals processes,…
13 OCT 2025, 09:43 AM DFSA Connect: new digital services streamline regulatory approvals processes,…
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Topics:
BankWealth ManagerFintech
Crypto-assets: the Autorité des Marchés Financiers warns the public about the activities of several unauthorized entities
Warning Warning Crypto-assets Savings protection Crypto-assets: the Autorité des Marchés Financiers warns the public about the activities of several unauthorized entities
Sectors:
Topics:
Crypto ExchangeFintech
Minutes: CBDC Academic Advisory Group - June 2025
Meeting of the CBDC Academic Advisory Group
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Topics:
BankFintechCrypto Exchange
Investment in Scotland - speech by Andrew Bailey
Given at the Scotland Global Investment Summit 2025
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Topics:
Asset ManagerBankWealth Manager
Global situation of undertakings for collective investment at the end of August 2025
Press release 25/16
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Asset ManagerWealth Manager
SEC Announces Departure of Director of Office of the Advocate for Small Business Capital Formation Stacey Bowers
The Securities and Exchange Commission today announced that Stacey Bowers, who has served as the Director of the Office of the Advocate for Small Business Capital Formation, will depart the agency effective October 17, 2025. She has served as Director…
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All Firms
Election Notice - 1/10/2025
Election Notice - 1/10/2025
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Topics:
Broker DealerAsset ManagerAll Firms
Working Together is Working Better, Remarks of Acting Chairman Caroline D. Pham, SEC-CFTC Joint Roundtable on Regulatory Harmonization Efforts
No description available.
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BankBroker DealerCrypto Exchange
ID 11/25 Amendments To MAS Notice 321 On Direct Purchase Insurance Products
Requirements for life insurers to manufacture and offer direct purchase insurance (DPI).
AI Analysis
ID 11/25 announces amendments to MAS Notice 321, which mandates requirements for direct life insurers to manufacture and offer standardized Direct Purchase Insurance (DPI) products, such as term life and whole life policies with optional critical illness riders. These updates, effective 1 October 2025, refine product approval and notification processes to streamline launches while maintaining consumer protection and regulatory oversight for no-advice direct sales channels. This matters for compliance as it ensures insurers provide affordable, comparable direct options, reducing reliance on intermediaries amid Singapore's push for direct distribution under initiatives like FAIR.
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Insurance
SEC Seeks Public Comment to Improve Rules on Residential Mortgage-Backed Securities and Asset-Backed Securities
The Securities and Exchange Commission today published a concept release soliciting public comment on how to improve current SEC rules governing residential mortgage-backed securities (RMBS) and certain aspects of asset-backed securities (ABS) generally…
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BankBroker DealerAll Firms
CFTC Obtains Order for Over $5.5M Restitution for Victims in Commodity Pool Fraud by Tennessee Couple
No description available.
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Topics:
Asset ManagerBroker DealerBank
Masaar: DFSA welcomes 2025 cohort of its graduate programme, helping to foster…
22 SEP 2025, 11:05 AM Masaar: DFSA welcomes 2025 cohort of its graduate programme, helping to foster…
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Asset ManagerWealth ManagerBank
FINMA and the UK supervisory authorities strengthen cooperation in financial services
The Swiss Financial Market Supervisory Authority FINMA and the UK Financial Conduct Authority FCA and Prudential Regulation Authority PRA today signed a memorandum of understanding. The memorandum sets out details of the co-operation under the Berne Financial Services Agreement and opens up new cross-border opportunities in insurance and investment services.
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BankAsset ManagerInsurance
The AMF warns the public about group chats providing tips on shares
Warning Savings protection Warning The AMF warns the public about group chats providing tips on shares
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Topics:
Asset ManagerWealth ManagerBroker Dealer
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
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
CP20/25 – Insurance third-country branches: policy implementation and other updates
Consultation paper 20/25
AI Analysis
CP20/25 is a PRA consultation paper published on 16 September 2025 that proposes targeted updates to the regulatory framework governing third-country insurance branches operating in the UK. The consultation addresses inconsistencies introduced during the Solvency II review, clarifies supervisory expectations, and increases the subsidiarisation threshold—matters that directly affect the operational and compliance costs of non-UK insurers seeking to maintain branch operations rather than establish subsidiaries in the UK market.
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Insurance
CFTC Obtains $6.9M Restitution Order Against Three Individuals, Three Florida Firms in Metals Fraud Case
No description available.
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Broker DealerCrypto ExchangeAll Firms
CFTC Obtains Court Order to Return $750,000 to Voyager Victims in Fraud Action
No description available.
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Topics:
Crypto ExchangeFintech
The French, Austrian and Italian markets authorities call for a stronger European framework for crypto-asset markets
MiCA Other professionals Fintech Journalists Listed companies and issuers The French, Austrian and Italian markets authorities call for a stronger European framework for crypto-asset markets
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Topics:
Crypto ExchangeFintechBank
Future Banking Data roundtable with members of UK Finance and the Building Societies Association
On 1 July, the PRA and the Bank of England held a roundtable meeting with representatives of non-systemic UK banks and building societies.
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Bank
DFSA and Securities and Futures Commission bolster ties in supervising…
10 SEP 2025, 11:01 AM DFSA and Securities and Futures Commission bolster ties in supervising…
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Asset ManagerBroker DealerWealth Manager
Remarks by Acting Chairman Caroline D. Pham before the UK All-Party Parliamentary Group on Blockchain Technologies, Parliamentary International Roundtable Digital Assets Policy & Regulation
No description available.
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Crypto ExchangeFintech
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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Topics:
Asset ManagerWealth ManagerFintech
Joint Statement from the Chairman of the SEC and Acting Chairman of the CFTC
No description available.
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Broker DealerCrypto Exchange
Acting Chairman Pham Statement on Spring 2025 Unified Agenda
No description available.
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BankBroker DealerCrypto Exchange
FINMA publishes consolidated ordinance covering the insolvency proceedings at financial market institutions
The Swiss Financial Market Supervisory Authority FINMA is transferring the FINMA Banking Insolvency Ordinance, FINMA Insurance Bankruptcy Ordinance and FINMA Collective Investment Schemes Bankruptcy Ordinance to a new consolidated FINMA Insolvency Ordinance. The existing regulations have been revised and adapted where necessary – based on findings from practical experience and academia. In addition, the FINMA Insolvency Ordinance implements the amendments made necessary by the revisions to th...
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BankAsset ManagerWealth Manager
Farewell Address of Commissioner Kristin N. Johnson
No description available.
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Topics:
Broker DealerCrypto Exchange
Building trust and supporting innovation in the multi-moneyverse − speech by Sarah Breeden
Given at the Bank of England and Warwick Business School Innovation in Money and Payments Conference
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Topics:
BankFintechCrypto Exchange
CFTC-SEC Joint Staff Statement (Project Crypto-Crypto Sprint)
No description available.
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Topics:
Crypto ExchangeFintech
Global situation of undertakings for collective investment at the end of July 2025
Press release 25/14
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Asset ManagerWealth Manager
Rates Finder– Central Bank of Ireland Issues Warning on Unauthorised Firm
Rates Finder– Central Bank of Ireland Issues Warning on Unauthorised Firm
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BankWealth Manager
Quilter Cheviot Europe Limited (CLONE) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Quilter Cheviot Europe Limited (CLONE) - Central Bank of Ireland Issues Warning on Unauthorised Fir
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Topics:
Wealth Manager
Barclays Wealth (Clone) – Central Bank of Ireland Issues Warning on Unauthorised Firm
Barclays Wealth (Clone) – Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankWealth Manager
Magnum Options - Central Bank of Ireland Issues Warning on Unauthorised Firm
Magnum Options - Central Bank of Ireland Issues Warning on Unauthorised Firm
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Topics:
BankBroker DealerWealth Manager
LSFX Limited/ LightStocksFX- Central Bank of Ireland Issues Warning on Unauthorised Firm
LSFX Limited/ LightStocksFX- Central Bank of Ireland Issues Warning on Unauthorised Firm
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Topics:
Broker DealerWealth ManagerFintech
Uniq Loan Financial - Central Bank of Ireland Issues Warning on Unauthorised Firm
Uniq Loan Financial - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
FintechAll Firms
CFD Trades 24 – Central Bank of Ireland Issues Warning on Unauthorised Firm
CFD Trades 24 – Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Broker DealerWealth ManagerFintech
BW Financial Services (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
BW Financial Services (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankWealth ManagerFintech
Coinhive - Central Bank of Ireland Issues Warning on Unauthorised Firm
Coinhive - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Crypto Exchange
Commissioner Kristin Johnson Announces Departure from CFTC
No description available.
Sectors:
Topics:
Broker DealerCrypto Exchange
Pionew Ireland (Clone) - Central Bank of Ireland Issues Warning on Unauthorised / Unregistered Firm
Pionew Ireland (Clone) - Central Bank of Ireland Issues Warning on Unauthorised / Unregistered Firm
Sectors:
Topics:
Crypto Exchange
Caventer Finance - Central Bank of Ireland Issues Warning on Unauthorised Firm
Caventer Finance - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
FintechAll Firms
Clearbnk (Clone) – Central Bank of Ireland Issues Warning on Unauthorised Firm
Clearbnk (Clone) – Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankFintech
Cryptocom (Clone) – Central Bank of Ireland Issues Warning on Unauthorised Firm
Cryptocom (Clone) – Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Crypto ExchangeFintech
Bemo Investment Firm Ltd (Clone)– Central Bank of Ireland Issues Warning on Unauthorised Firm
Bemo Investment Firm Ltd (Clone)– Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Asset ManagerWealth Manager
Monument Financial Group - Central Bank of Ireland Issues Warning on Unauthorised Firm
Warning Unauthorised Investment Firm / Unauthorised Investment Business Firm Unauthorised Firm Name Monument Financial Group Website https://monumentfg.com/ Email addresses used admin@monumentfg.com [name].[surname]@monumentfg.com Phone number used +353 81 800 5284 Authorisation in Ireland This firm is not authorised to provide investment services in Ireland. Notes: Any person wishing to contact the Central Bank with information regarding such firms / persons may telephone (01) 224 5800 or re...
AI Analysis
The Central Bank of Ireland (CBI) has issued a warning notice under section 53 of the Central Bank (Supervision and Enforcement) Act 2013, identifying **Monument Financial Group** as an unauthorised firm providing investment services in Ireland without authorisation. This matters for compliance professionals because it underscores the CBI's proactive enforcement against unauthorised activity, heightens scam awareness, and signals risks of consumer harm, regulatory referrals to An Garda Síochána, and potential enforcement against facilitating parties.[https://www.centralbank.ie/news/article/monument-financial-group---central-bank-of-ireland-issues-warning-on-unauthorised-firm]
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Wealth ManagerAll Firms
Clermont Meridian Trading - Central Bank of Ireland Issues Warning on Unauthorised Firm
Clermont Meridian Trading - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Broker DealerWealth ManagerFintech
Northern Trust Fund Managers (Ireland) Ltd (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Northern Trust Fund Managers (Ireland) Ltd (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankWealth ManagerAsset Manager
TD Global Company (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
TD Global Company (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Wealth ManagerFintech
Ackerman & Foster LLP - Central Bank of Ireland Issues Warning on Unauthorised Firm
Ackerman & Foster LLP - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Wealth ManagerBroker Dealer
Investment Peak - Central Bank of Ireland Issues Warning on Unauthorised Firm
Investment Peak - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Asset ManagerWealth Manager
GasTrade - Central Bank of Ireland Issues Warning on Unauthorised Firm
GasTrade - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
FintechPayment ProviderCrypto Exchange
Beta-Tech - Central Bank of Ireland Issues Warning on Unauthorised Firm
Beta-Tech - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
FintechCrypto Exchange
KPMG Ireland (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
KPMG Ireland (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankWealth Manager
VintageFXsignals - Central Bank of Ireland Issues Warning on Unauthorised Firm
VintageFXsignals - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Wealth ManagerFintech
List of supervised entities – cut-off date 1 July 2025
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
The Autorité des Marchés Financiers (AMF) revoked the authorisation of alternative investment fund manager (AIFM) APICAP
Asset management The Autorité des Marchés Financiers (AMF) revoked the authorisation of alternative investment fund manager (AIFM) APICAP
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Topics:
Asset Manager
Pass Investment Managers (Clone) - Central Bank of Ireland Issues Warning on Unregistered Firm
Pass Investment Managers (Clone) - Central Bank of Ireland Issues Warning on Unregistered Firm
Sectors:
Topics:
Crypto ExchangeFintech
Pecan Capital MG - Central Bank of Ireland Issues Warning on Unauthorised Firm
Pecan Capital MG - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Asset ManagerWealth Manager
Lending Loans - Central Bank of Ireland Issues Warning on Unauthorised Firm
Lending Loans - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankFintech
The AMF is warning the public against several entities proposing to invest in miscellaneous assets without being authorized to do so
Warning Warning Miscellaneous assets Savings protection The AMF is warning the public against several entities proposing to invest in miscellaneous assets without being authorized to do so
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Topics:
Asset ManagerWealth ManagerBroker Dealer
Press release regarding BGL BNP Paribas
Press release 25/13
Sectors:
Topics:
Bank
Global situation of undertakings for collective investment at the end of June 2025
Press release 25/12
Sectors:
Topics:
Asset ManagerWealth Manager
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in the unregulated foreign exchange market (Forex) and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Warning Forex and binary options The AMF and the ACPR warn the public against the activities of several entities offering in France investments in the unregulated foreign exchange market (Forex) and in crypto-assets derivatives without being authorized to do so
Sectors:
Topics:
BankFintechCrypto Exchange
Isabelle Guezet and Julien Laroche appointed Deputy Directors of the Corporate Finance Division
Appointment Institutional Isabelle Guezet and Julien Laroche appointed Deputy Directors of the Corporate Finance Division
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Topics:
BankAsset ManagerBroker Dealer
Crypto-assets: the Autorité des Marchés Financiers warns the public about the activities of several unauthorized entities
Warning Savings protection Warning Crypto-assets Crypto-assets: the Autorité des Marchés Financiers warns the public about the activities of several unauthorized entities
Sectors:
Topics:
Crypto Exchange
Election Notice - 7/18/2025
Election Notice - 7/18/2025
Sectors:
Topics:
Broker DealerAsset ManagerAll Firms
The AMF reminds distributors of their requirements regarding marketing of investment fund
Asset management Marketing PRIIPs The AMF reminds distributors of their requirements regarding marketing of investment fund
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Topics:
Asset ManagerWealth Manager
The ACPR and AMF publish the summary of responses to the consultation conducted by the Working Group on Smart Contract Certification
Crypto-assets Innovation The ACPR and AMF publish the summary of responses to the consultation conducted by the Working Group on Smart Contract Certification
AI Analysis
The ACPR and AMF have published a summary of responses to a public consultation on a 2024 Working Group report exploring smart contract certification in DeFi, addressing technical standards, audit practices, and potential regulatory frameworks. This matters for compliance as it signals preparatory steps toward possible EU-level DeFi regulation, emphasizing risk reduction and trust-building without immediate mandates, influencing future operational and audit strategies for crypto firms.
Sectors:
Topics:
Crypto ExchangeFintechAll Firms
FINMA Executive Board: Thomas Hirschi to leave FINMA
Thomas Hirschi has decided to leave the Swiss Financial Market Supervisory Authority FINMA effective 31 August 2025. The Head of the Banks division will pursue a new career outside FINMA. FINMA’s Board of Directors and Executive Board thank Thomas Hirschi for his valuable contribution during his time at FINMA.
Effective Date: 31 August 2025
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Topics:
Bank
The AMF publishes a summary of its SPOT inspections on asset management companies' voting and engagement policies
Supervision Governance Sustainable Finance Journalists Investment management companies The AMF publishes a summary of its SPOT inspections on asset management companies' voting and engagement policies
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Topics:
Asset Manager
Notice of Consultation Paper Release: CP 167
04 JUL 2025, 11:40 AM Notice of Consultation Paper Release: CP 167
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Implementation of MiCA: The AMF applies ESMA and EBA Guidelines on the assessment of the suitability of members of the management body
MiCA Crypto-assets Innovation Implementation of MiCA: The AMF applies ESMA and EBA Guidelines on the assessment of the suitability of members of the management body
Sectors:
Topics:
Crypto ExchangeFintech
Global situation of undertakings for collective investment at the end of May 2025
Press release 25/11
Sectors:
Topics:
Asset ManagerWealth Manager
Aktualisierte Sanktionsmeldung: Guatemala
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung des Anhangs der Verordnung über Massnahmen betreffend Guatemala (SR 946.231.137.6) publiziert.
AI Analysis
The Swiss Federal Department of Economic Affairs, Education and Research (WBF) has published an update to Annex 2 of the Ordinance on Measures concerning Guatemala (SR 946.231.137.6), aligning Swiss sanctions with international developments targeting threats to democracy and rule of law in Guatemala. This matters for Swiss financial institutions as it mandates immediate screening and blocking of newly designated persons/entities to prevent sanctions violations, reinforcing Switzerland's commitment to international sanctions regimes amid ongoing geopolitical tensions in Central America. https://www.finma.ch/en/news/2025/06/20250626-sr-946-231-137-6/
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Topics:
BankWealth ManagerPayment Provider
Rene W. Keller resigns from FINMA’s Board of Directors
At its meeting on 25 June 2025, the Federal Council was informed of the resignation of Rene W. Keller from the Board of Directors of the Swiss Financial Market Supervisory Authority FINMA.
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Topics:
BankWealth Manager
The DFSA publishes FAQ on revised Client Assets regime
24 JUN 2025, 01:45 PM The DFSA publishes FAQ on revised Client Assets regime
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
Crowdfunding: the AMF urges investors to exercise extreme caution due to the risks of project owner default or crowdfunding platform failure
Asset management Collective investments Savings protection Crowdfunding: the AMF urges investors to exercise extreme caution due to the risks of project owner default or crowdfunding platform failure
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
The AMF publishes the findings of its inspections on the verification and assessment of employee knowledge within asset management companies
Supervision Professional certification Asset management Journalists Investment management companies The AMF publishes the findings of its inspections on the verification and assessment of employee knowledge within asset management companies
Sectors:
Topics:
Asset ManagerWealth Manager
The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment has published its 2024 Annual Report
Annual report Savings protection Marketing Retail investors Journalists The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment has published its 2024 Annual Report
Sectors:
Topics:
BankAsset ManagerInsurance
Innovation and regulation - striking the balance - speech by David Bailey
Given at Risk Live Europe
Sectors:
Topics:
BankFintechAsset Manager
Crypto-assets: the AMF clarifies its policy on DASPs authorised under the PACTE Law to take account of the transitional period and facilitate the transition to MiCA
MiCA Crypto-assets Crypto-assets: the AMF clarifies its policy on DASPs authorised under the PACTE Law to take account of the transitional period and facilitate the transition to MiCA
Sectors:
Topics:
Crypto ExchangeFintech
Global situation of undertakings for collective investment at the end of April 2025
Press release 25/09
Sectors:
Topics:
Asset ManagerWealth Manager
The AMF publishes its 2024 Annual Report
Annual report Institutional Other professionals Executive & other private individuals Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers ...
Sectors:
Topics:
Asset ManagerBroker DealerFintech
The AMF orders DANAE GROUP to file a draft takeover bid for ENTREPRENDRE shares
Financial disclosures & corporate financing Journalists Listed companies and issuers The AMF orders DANAE GROUP to file a draft takeover bid for ENTREPRENDRE shares
AI Analysis
The AMF has ordered Danae Group to file a draft takeover bid for shares in Entreprendre, enforcing mandatory public offer rules triggered by a shareholding threshold crossing. This matters for compliance professionals as it exemplifies AMF's strict oversight of takeover regulations, ensuring market integrity, equal treatment of shareholders, and timely disclosures in listed company transactions. It underscores the risks of non-compliance, potentially leading to enforcement actions.
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All Firms
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
Election Notice - 5/15/2025
Election Notice - 5/15/2025
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Broker DealerAsset ManagerAll Firms
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
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
Crypto-assets: the Autorité des Marchés Financiers warns the public about the activities of several unauthorized entities
Warning Savings protection Warning Crypto-assets Crypto-assets: the Autorité des Marchés Financiers warns the public about the activities of several unauthorized entities
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Topics:
Crypto ExchangeFintech
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
The AMF reminds financial investment advisors of their professional obligations when using financial product listing platforms
Marketing Investment advice The AMF reminds financial investment advisors of their professional obligations when using financial product listing platforms
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Topics:
Asset ManagerWealth Manager
Anti-money laundering and countering the financing of terrorism: the AMF applies the guidelines of the European Banking Authority on restrictive measures for crypto-asset service providers
Anti-money Laundering Asset management Crypto-assets Anti-money laundering and countering the financing of terrorism: the AMF applies the guidelines of the European Banking Authority on restrictive measures for crypto-asset service providers
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Topics:
Crypto ExchangeBankAsset Manager
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Warning Forex and binary options Crypto-assets The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
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Topics:
BankFintechCrypto Exchange
The French and Italian authorities make proposals for a more competitive “Pilot Regime” in Europe
Market infrastructures Innovation Europe & international Cooperation Other professionals Market Infrastructures Journalists Investment management companies The French and Italian authorities make proposals for a more competitive...
AI Analysis
The French (AMF) and Italian (Consob) financial authorities have jointly proposed amendments to the EU's DLT Pilot Regime to increase its competitiveness and attract market participants. The Pilot Regime, which became operational in March 2023, has underperformed with only three authorized infrastructures and minimal live trading activity, prompting regulators to recommend structural changes including greater proportionality, expanded eligible instruments, and raised activity thresholds.
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Asset ManagerBroker DealerFintech
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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BankAsset ManagerWealth Manager
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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Asset ManagerWealth ManagerBank
The AMF introduces a fast-track approval procedure for “defence” investment funds
Asset management Journalists Investment management companies The AMF introduces a fast-track approval procedure for “defence” investment funds
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Asset ManagerWealth Manager
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
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Asset ManagerWealth ManagerBank
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 companies’ monitoring of fund investment ratios, compensation and claims
Supervision Asset management Collective investments UCIT Other professionals Journalists Investment services providers Investment management companies The AMF publishes the findings of its thematic inspections of asset management...
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Asset ManagerWealth Manager
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 Autorité des Marchés Financiers (AMF) has published an analysis of the performance of the French real estate crowdfunding market, based on data collected from the 10 largest platforms in terms of inflows.
Asset management The Autorité des Marchés Financiers (AMF) has published an analysis of the performance of the French real estate crowdfunding market, based on data collected from the 10 largest platforms in terms of inflows.
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Asset ManagerWealth ManagerFintech
The ACPR and the AMF publish the findings from the Working Group on Smart Contract Certification, and launch a Public Consultation
Crypto-assets Innovation The ACPR and the AMF publish the findings from the Working Group on Smart Contract Certification, and launch a Public Consultation
AI Analysis
The ACPR and AMF have published findings from their 2024 Working Group on Smart Contract Certification in DeFi, launching a public consultation on February 3, 2025, to explore certification frameworks for smart contracts, focusing on standards, audits, and regulatory options. This matters as it signals proactive French regulatory preparation for potential EU-level DeFi rules under MiCA, aiming to enhance security, governance, and compliance without immediate mandates, while industry feedback favors voluntary schemes.
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Crypto ExchangeFintechBank
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
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
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Warning Forex and binary options Crypto-assets The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
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Topics:
BankFintechCrypto Exchange
The AMF warns the public about the fraudulent Forex investment offering on the LIVAXXEN trading platform
Warning Savings protection Warning Forex and binary options The AMF warns the public about the fraudulent Forex investment offering on the LIVAXXEN trading platform
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Broker DealerWealth ManagerFintech
Cryptoassets: the Autorité des Marchés Financiers warns the public about the activities of several unauthorized entities
Warning Savings protection Crypto-assets Warning Cryptoassets: the Autorité des Marchés Financiers warns the public about the activities of several unauthorized entities
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Crypto ExchangeFintech
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 authorities are taking action to combat the massive phenomenon of financial scams catching out an increasing number of individuals
Savings protection Financial Scams Crypto-assets Retail investors Journalists The authorities are taking action to combat the massive phenomenon of financial scams catching out an increasing number of individuals
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BankFintechCrypto Exchange
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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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
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Asset ManagerBankCrypto Exchange
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 Autorité des Marchés Finances has decided to apply ESMA's Guidelines on funds' names
Sustainable Finance Asset management The Autorité des Marchés Finances has decided to apply ESMA's Guidelines on funds' names
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Asset ManagerWealth Manager
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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BankBroker DealerAsset Manager
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 Autorité des Marchés Financiers (AMF) has published a recommendation governing the distribution of actively managed certificates (AMCs) to retail clients
Asset management Marketing The Autorité des Marchés Financiers (AMF) has published a recommendation governing the distribution of actively managed certificates (AMCs) to retail clients
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Asset ManagerBroker DealerWealth Manager
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Warning Forex and binary options Crypto-assets The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Sectors:
Topics:
BankFintechCrypto Exchange
The AMF is warning the public against several entities proposing atypical investments without being authorised to do so
Warning Savings protection Miscellaneous assets Warning The AMF is warning the public against several entities proposing atypical investments without being authorised to do so
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Asset ManagerWealth ManagerBank
Cryptoassets: the Autorité des Marchés Financiers warns the public about the activities of several unauthorized entities
Warning Savings protection Warning Crypto-assets Cryptoassets: the Autorité des Marchés Financiers warns the public about the activities of several unauthorized entities
Sectors:
Topics:
Crypto ExchangeFintech
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
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Asset Manager
The Autorité des Marchés Financiers (AMF) signs #JamaisSansElles Charter
Institutional Organisational rules Journalists The Autorité des Marchés Financiers (AMF) signs #JamaisSansElles Charter
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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
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Topics:
Crypto Exchange
The AMF publishes its 2023 CSR Report
AMF activity Institutional The AMF publishes its 2023 CSR Report
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Topics:
Asset ManagerBankWealth Manager
The Autorité des Marchés Financiers (AMF) announces withdrawal of the authorisation of the portfolio asset management company Wide Asset Management as of 8 July 2024
Asset management The Autorité des Marchés Financiers (AMF) announces withdrawal of the authorisation of the portfolio asset management company Wide Asset Management as of 8 July 2024
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Asset Manager
The AMF reminds retail investors to be extremely vigilant regarding Immediate Connect's fraudulent investment offer
Warning Savings protection Warning Forex and binary options Crypto-assets The AMF reminds retail investors to be extremely vigilant regarding Immediate Connect's fraudulent investment offer
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Crypto ExchangeFintechAll Firms
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
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Asset ManagerWealth Manager
The Autorité des Marchés Financiers (AMF) publishes the findings of three supervisory initiatives on sustainable finance
Sustainable Finance Asset management Other professionals Journalists Investment management companies The Autorité des Marchés Financiers (AMF) publishes the findings of three supervisory initiatives on sustainable finance
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Asset ManagerWealth ManagerAll Firms
The AMF publishes the summary of responses received to its Discussion Paper on Decentralised Finance
Crypto-assets Innovation The AMF publishes the summary of responses received to its Discussion Paper on Decentralised Finance
AI Analysis
The Autorité des Marchés Financiers (AMF) has published a summary of stakeholder responses to its June 2023 Discussion Paper on Decentralised Finance (DeFi), analyzing regulatory challenges posed by automated, decentralized crypto-asset activities. This matters for compliance professionals as it signals the AMF's ongoing commitment to developing a balanced DeFi framework amid MiCA's implementation, potentially shaping future supervision of decentralized protocols while emphasizing investor protection and innovation.
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Crypto ExchangeFintechAsset Manager
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Forex and binary options Warning The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
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BankBroker DealerCrypto Exchange
The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Warning Savings protection Miscellaneous assets Warning The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
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Topics:
Asset ManagerWealth ManagerFintech
AMF launches its "innovation workshops"
Innovation Artificial intelligence AMF launches its "innovation workshops"
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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
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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
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Asset Manager
AMF Enforcement Committee fines a financial investment advisor and its director for breaches of their professional obligations
Sanctions & settlements professional obligations Other professionals Journalists AMF Enforcement Committee fines a financial investment advisor and its director for breaches of their professional obligations
AI Analysis
The AMF Enforcement Committee has issued multiple enforcement decisions against financial investment advisors and their management for breaches of professional obligations, with the most recent and significant case involving Carat GP and its directors receiving combined fines of €2.5 million and permanent/extended bans from operating as financial investment advisors. These cases establish critical precedent regarding advisor duties around client disclosure, product authorization, conflict of interest management, and honest/fair conduct—requirements that apply across the entire financial investment advisory sector.
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Asset ManagerWealth ManagerBroker Dealer
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...
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Asset ManagerBankBroker Dealer
AMF Chair Marie-Anne Barbat-Layani meets with CSRC Vice Chairman, Fang Xinghai
Institutional Europe & international Cooperation AMF Chair Marie-Anne Barbat-Layani meets with CSRC Vice Chairman, Fang Xinghai
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BankAsset ManagerBroker Dealer
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
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BankAsset ManagerInsurance
The Autorité des Marchés Financiers (AMF) withdraws the authorisation of the portfolio asset management company Wide Asset Management
Asset management The Autorité des Marchés Financiers (AMF) withdraws the authorisation of the portfolio asset management company Wide Asset Management
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Asset Manager
Cryptoassets: the Autorité des Marchés Financiers warns the public about the activities of several fraudulent market participants and publishes a new ‘blacklist’
Warning Savings protection Crypto-assets Warning Cryptoassets: the Autorité des Marchés Financiers warns the public about the activities of several fraudulent market participants and publishes a new ‘blacklist’
Sectors:
Topics:
Crypto ExchangeFintech
AMF Ombudsman publishes her 2023 Annual Report
Mediation Annual report Retail investors Professional investors Journalists AMF Ombudsman publishes her 2023 Annual Report
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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
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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
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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
Marie Seiller appointed Resources, Operations and Transformation Director at the Autorité des Marchés Financiers
Appointment AMF activity Journalists Marie Seiller appointed Resources, Operations and Transformation Director at the Autorité des Marchés Financiers
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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...
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Asset ManagerBroker DealerFintech
ESMA's 20 recommendations for more efficient and attractive European markets
Markets Investment services Financing the economy Supervision ESMA's 20 recommendations for more efficient and attractive European markets
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
France Mayer appointed Retail Investor Relations and Protection Director at the Autorité des Marchés Financiers
Appointment AMF activity Retail investors Journalists France Mayer appointed Retail Investor Relations and Protection Director at the Autorité des Marchés Financiers
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Topics:
Asset ManagerWealth ManagerBank
The AMF reminds the public that the cryptoasset trading platform BYBIT is blacklisted
Warning Savings protection Warning Crypto-assets The AMF reminds the public that the cryptoasset trading platform BYBIT is blacklisted
Sectors:
Topics:
Crypto Exchange
Central Bank of Ireland introduces macroprudential measures for Irish-authorised GBP-denominated LDI funds
The Central Bank of Ireland has today (29 April 2024) announced the introduction of macroprudential measures for Irish-authorised GBP-denominated Liability Driven Investment (LDI) funds. Building on the recent Consultation Paper “Macroprudential measures for GBP Liability Driven Investment funds”, the measures require that GBP-denominated LDI funds authorised in Ireland maintain sufficient resilience to be able to withstand a sudden and adverse shocks to UK interest rates.
AI Analysis
The Central Bank of Ireland (CBI) introduced binding macroprudential measures on 29 April 2024 requiring Irish-authorised GBP-denominated Liability Driven Investment (LDI) funds to maintain a minimum **300 basis point yield buffer** to withstand adverse UK interest rate shocks. This regulatory intervention directly addresses systemic risks exposed during the September-October 2022 UK gilt market crisis, where excessive leverage in LDI funds amplified financial stress across markets.
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Asset ManagerHedge FundWealth 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
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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
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Broker 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
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Asset ManagerWealth ManagerBank
Envviron token offering: decision to withdraw approval
Innovation Financial disclosures & corporate financing Envviron token offering: decision to withdraw approval
Sectors:
Topics:
Crypto Exchange
The Autorité des Marchés Financiers announces the new composition of the Financial Skills Certification Board
Professional certification AMF activity Journalists The Autorité des Marchés Financiers announces the new composition of the Financial Skills Certification Board
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Asset ManagerBroker DealerBank
Pauline Briand joins the Autorité des Marchés Financiers (AMF) as Head of Communications
Appointment AMF activity Journalists Pauline Briand joins the Autorité des Marchés Financiers (AMF) as Head of Communications
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Asset ManagerBankBroker Dealer
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Forex and binary options Warning The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Sectors:
Topics:
BankBroker DealerCrypto Exchange
The AMF reminds the public that the cryptoasset trading platform BITGET is blacklisted
Warning Savings protection Warning Crypto-assets The AMF reminds the public that the cryptoasset trading platform BITGET is blacklisted
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Topics:
Crypto Exchange
ROSA Extranet: changes to authorisation and declaration processes for collective investments
Asset management ROSA Extranet: changes to authorisation and declaration processes for collective investments
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Asset ManagerWealth Manager
The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Warning Savings protection Warning Miscellaneous assets The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
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Topics:
Asset ManagerWealth ManagerBroker Dealer
Valérie Michel-Amsellem becomes Chair of the AMF Enforcement Committee
Appointment Sanctions & settlements Journalists Valérie Michel-Amsellem becomes Chair of the AMF Enforcement Committee
AI Analysis
This AMF publication announces the appointment of Valérie Michel-Amsellem as the new Chair of the AMF Enforcement Committee, the independent body responsible for imposing sanctions in financial market violations. It matters for compliance professionals because leadership changes in enforcement can signal shifts in sanctioning priorities, rigor, or focus areas, potentially influencing how firms approach risk management and remediation. While no immediate policy changes are introduced, monitoring the new Chair's tenure is essential given the Committee's role in upholding market integrity.
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Asset ManagerBroker DealerBank
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
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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
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
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Topics:
Asset ManagerWealth Manager
Appointements to the AMF Enforcement Committee
Appointment Sanctions & settlements Journalists Appointements to the AMF Enforcement Committee
AI Analysis
This AMF publication announces the partial renewal of the Enforcement Committee, including four new appointments, two reappointments, and the subsequent election of Valérie Michel-Amsellem as Chair on 28 February 2024. It matters for compliance professionals as changes in committee composition can influence enforcement priorities, sanction severity, and interpretations of financial regulations under AMF jurisdiction.
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Asset ManagerBroker DealerBank
Ten new key figures admitted to the Board of the Autorité des Marchés Financiers
AMF activity Appointment Journalists Ten new key figures admitted to the Board of the Autorité des Marchés Financiers
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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
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
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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
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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
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Topics:
BankAsset ManagerWealth Manager
The AMF warns the public about fraudulent press advertisements proposing investments in car parks with electric charging points
Warning Savings protection Financial Scams Warning The AMF warns the public about fraudulent press advertisements proposing investments in car parks with electric charging points
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Topics:
BankWealth ManagerFintech
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
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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...
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Topics:
Asset ManagerBroker DealerFintech
AMF Enforcement Committee fines a financial investment advisor and its director for breach of professional obligations
Sanctions & settlements professional obligations Other professionals Journalists AMF Enforcement Committee fines a financial investment advisor and its director for breach of professional obligations
AI Analysis
The AMF Enforcement Committee imposed sanctions on SPI (a financial investment advisor) and its director Vincent Rhodes on 9 January 2024 for breaching professional obligations. This case demonstrates the AMF's enforcement priorities regarding advisor conduct standards and establishes precedent for disciplinary action against both firms and individual managers who fail to meet regulatory requirements.
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Wealth ManagerBroker DealerAsset Manager
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Forex and binary options Warning The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Sectors:
Topics:
BankBroker DealerCrypto Exchange
The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Warning Savings protection Miscellaneous assets Warning The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
AMF Enforcement Committee fines a financial investment advisor and its director for breach of professional obligations
Sanctions & settlements professional obligations Investment advice Other professionals Journalists AMF Enforcement Committee fines a financial investment advisor and its director for breach of professional obligations
AI Analysis
The AMF Enforcement Committee imposed a five-year ban on financial investment advisor DCT (formerly Didier Maurin Finance) and its director Didier Maurin from practicing, plus fines of €150,000 on the firm and €200,000 on the director, for recommending unauthorized Samoan AIF investments to 64 clients, failing to manage conflicts of interest (e.g., no conflicts register), and breaching duties of competence, care, and diligence in clients' best interests. This matters as it reinforces AMF's strict enforcement on CIFs (Conseillers en Investissements Financiers) for product authorization checks, conflicts management, and client-centric obligations under MiFID II transposition in France, signaling heightened scrutiny on advisory integrity amid rising sanctions. The Conseil d'Etat upheld the decision on 9 September 2024, dismissing appeals and confirming sanctions.
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Topics:
Wealth ManagerAll Firms
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
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Topics:
Asset ManagerWealth ManagerAll Firms
Changes to CIU authorisation and declaration processes
Asset management Changes to CIU authorisation and declaration processes
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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
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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
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Asset ManagerWealth ManagerBank
The AMF presents its 2023 Young Researcher Award to Sylvain Carré
Markets Institutional Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers Investment management companies Listed companies and issuers The AMF presents...
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Asset Manager
The AMF Enforcement Committee fines a French tied agent of a Cypriot investment services provider and its manager for breaches of their professional obligations
Sanctions & settlements Journalists The AMF Enforcement Committee fines a French tied agent of a Cypriot investment services provider and its manager for breaches of their professional obligations
AI Analysis
The AMF Enforcement Committee fined France Safe Media (FSM), a French tied agent of Cypriot provider VPR Safe Financial Group Limited (Alvexo platform), €300,000 and imposed a 10-year ban from tied agent activities and reception/transmission of orders (RTO) services, while its manager Lior Mattouk received a €100,000 fine and similar 10-year ban, for breaches occurring January 2019–September 2021. This decision, dated 10 November 2023 and upheld by Conseil d'Etat on 16 June 2025, underscores AMF's strict enforcement of professional obligations for tied agents marketing high-risk CFDs, emphasizing staff qualifications, client assessments, risk warnings, disclosures, and diligence. It matters for cross-border intermediaries as it highlights personal liability for managers and the finality of sanctions post-appeal, signaling heightened scrutiny on CFD promotion and tied agent compliance in France.
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Broker DealerWealth ManagerAll Firms
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
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Asset ManagerWealth ManagerBroker Dealer
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...
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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
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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
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Asset ManagerBank
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
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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
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Asset ManagerWealth ManagerBank
The AMF announces the appointment of its new Secretary General, Sébastien Raspiller
Appointment Institutional AMF activity Other professionals Executive & other private individuals Retail investors Fintech Professional investors Journalists Investment services providers Investment management...
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Asset ManagerBankBroker Dealer
The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Warning Warning Savings protection Miscellaneous assets The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Warning Savings protection Forex and binary options The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Sectors:
Topics:
Broker DealerFintechCrypto Exchange
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
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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
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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
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Topics:
Crypto ExchangeFintechBank
Decentralised Finance (DeFi): IOSCO publishes its consultation report
Innovation Markets Decentralised Finance (DeFi): IOSCO publishes its consultation report
AI Analysis
The AMF publication announces IOSCO's consultation report on Decentralised Finance (DeFi), highlighting ongoing global efforts to regulate DeFi activities under IOSCO's 2023 policy recommendations. This matters for compliance professionals as it signals intensifying scrutiny on DeFi platforms for investor protection, market integrity, and financial stability risks, potentially leading to harmonized rules that bridge traditional finance and crypto assets. Firms involved in DeFi must monitor this to align with emerging "same risk, same rule" standards across jurisdictions.
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Asset ManagerCrypto ExchangeFintech
The AMF Enforcement Committee fines an asset management company and its directors for breaches of their professional obligations
Sanctions & settlements Journalists The AMF Enforcement Committee fines an asset management company and its directors for breaches of their professional obligations
AI Analysis
The AMF Enforcement Committee fined asset management company M Capital Partners €200,000 and its directors Rudy Secco (€70,000) and Stéphanie Minissier (€35,000) on 31 December 2025 for breaches of professional obligations spanning August 2019 to December 2023, including unauthorized investment services, deficient investment processes, conflicts of interest failures, and inadequate AML/CFT systems. This decision underscores AMF's focus on operational robustness in asset managers, particularly those acting as tied agents, and holds senior managers personally accountable. It matters for compliance as it exemplifies enforcement trends targeting systemic deficiencies, with potential appeals signaling ongoing scrutiny.
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Asset Manager
The AMF Enforcement Committee fines the Association Nationale des Conseillers Financiers-CIF for breaches of its professional obligations
Sanctions & settlements professional obligations Journalists The AMF Enforcement Committee fines the Association Nationale des Conseillers Financiers-CIF for breaches of its professional obligations
AI Analysis
The AMF Enforcement Committee fined the Association Nationale des Conseillers Financiers-CIF (ANACOFI-CIF), a professional association approved for investment advisors (CIFs), €250,000 with a warning, and its former president €20,000 with a warning, for breaching professional obligations in membership vetting, controls, archiving, and conflicts of interest management. This decision, dated September 5, 2023, underscores AMF's scrutiny of professional associations' gatekeeping and oversight roles in ensuring CIF compliance. It matters as it signals heightened enforcement against associations failing to uphold regulatory standards, potentially impacting CIF ecosystem integrity and prompting reviews of similar bodies.
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Wealth ManagerAll Firms
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
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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
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Asset ManagerBroker DealerWealth Manager
The AMF pays tribute to Jacques Delmas-Marsalet
Institutional AMF activity Journalists The AMF pays tribute to Jacques Delmas-Marsalet
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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
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Topics:
Crypto ExchangeFintech
The Autorité des Marchés Financiers (AMF) announces withdrawal of the authorisation of the portfolio asset management company Quantology Capital Management as of 30 June 2023
Asset management The Autorité des Marchés Financiers (AMF) announces withdrawal of the authorisation of the portfolio asset management company Quantology Capital Management as of 30 June 2023
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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
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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
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Topics:
BankFintechCrypto Exchange
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
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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
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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
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Topics:
Asset ManagerWealth ManagerBank
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Warning Savings protection Forex and binary options The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Sectors:
Topics:
Broker DealerFintechCrypto Exchange
The AMF warns the public against companies proposing atypical investments without being authorised to do so
Warning Warning Savings protection Miscellaneous assets The AMF warns the public against companies proposing atypical investments without being authorised to do so
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Topics:
Asset ManagerWealth ManagerFintech
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
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Topics:
BankAsset ManagerInsurance
The AMF warns the public about the fraudulent investment offers in Forex and crypto-assets by Immediate Connect
Warning Warning Savings protection Forex and binary options Crypto-assets The AMF warns the public about the fraudulent investment offers in Forex and crypto-assets by Immediate Connect
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Topics:
Crypto ExchangeFintech
The AMF publishes a discussion paper on Decentralised Finance (DeFi)
Crypto-assets Innovation Fintech Journalists The AMF publishes a discussion paper on Decentralised Finance (DeFi)
AI Analysis
The Autorité des Marchés Financiers (AMF), France's financial markets regulator, published a discussion paper on June 19, 2023, outlining preliminary thoughts on regulatory challenges posed by Decentralised Finance (DeFi) activities on crypto-assets, inviting stakeholder feedback by September 30, 2023. A summary of responses was released on July 10, 2024, highlighting key themes like defining DeFi, distinguishing protocol types, and applying a "same activity, same risk, same regulation" principle. This matters for compliance professionals as it signals AMF's intent to develop proportionate DeFi oversight, balancing innovation with investor protection, AML/CTF risks, and market integrity amid evolving EU frameworks like MiCA.
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FintechCrypto ExchangeAll 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
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Topics:
Asset ManagerBroker DealerFintech
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
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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
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Asset ManagerWealth ManagerBroker Dealer
The AMF Enforcement Committee fines a portfolio asset management company for breaches of its professional obligations
Sanctions & settlements Journalists Investment management companies The AMF Enforcement Committee fines a portfolio asset management company for breaches of its professional obligations
AI Analysis
The AMF Enforcement Committee fined portfolio asset management company M Capital Partners €200,000, and its directors Rudy Secco (€70,000) and Stéphanie Minissier (€35,000) on 31 December 2025, for multiple breaches spanning August 2019 to December 2023, including unauthorized placement of financial instruments as a tied agent, non-operational investment allocation processes, inadequate compliance with investment procedures, deficient conflicts of interest management, and non-operational AML/CFT systems. This decision underscores AMF's strict enforcement of operational compliance and scope limitations for asset managers, serving as a critical reminder for firms to ensure robust, traceable systems and director accountability. It matters because it highlights personal liability for managers and recurring AMF focus on AML/CFT and procedural deficiencies, potentially signaling increased scrutiny in 2026.
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Asset Manager
The AMF Enforcement Committee fines a portfolio asset management company and its manager for breaches of their professional obligations
Sanctions & settlements Asset management Compliance Anti-money Laundering Executive & other private individuals Investment management companies The AMF Enforcement Committee fines a portfolio asset management company and its manager for breaches of their...
AI Analysis
The AMF Enforcement Committee fined portfolio asset management company M Capital Partners €200,000 and its managers Rudy Secco (€70,000) and Stéphanie Minissier (€35,000) on 31 December 2025 for multiple breaches of professional obligations from August 2019 to December 2023, including unauthorized investment services as a tied agent, non-operational investment allocation processes, deficient conflict-of-interest management, and inadequate AML/CFT systems. This decision underscores AMF's strict enforcement against operational failures in asset management, particularly for firms balancing portfolio management with tied agent roles, emphasizing personal accountability for managers. Compliance teams must review this for gaps in procedures, as it highlights how imprecise processes and poor traceability lead to substantial sanctions.
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Asset Manager
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...
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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
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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
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Topics:
Crypto ExchangeFintech
The Autorité des Marchés Financiers (AMF) has withdrawn the authorisation of the portfolio asset management company Quantology Capital Management
Asset management The Autorité des Marchés Financiers (AMF) has withdrawn the authorisation of the portfolio asset management company Quantology Capital Management
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Topics:
Asset 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
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Topics:
BankBroker DealerAsset Manager
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Warning Savings protection Forex and binary options The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
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Topics:
Broker DealerFintechCrypto Exchange
Laure Tertrais is appointed Head of the AMF Chair’s Executive Office with effect from 1 April 2023
Appointment AMF activity Institutional Journalists Laure Tertrais is appointed Head of the AMF Chair’s Executive Office with effect from 1 April 2023
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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
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Topics:
Asset ManagerBankBroker Dealer
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
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Topics:
Asset ManagerWealth ManagerBroker 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
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Topics:
BankWealth Manager
The AMF warns the public about fraudulent investment offers through trading robots
Warning Warning Savings protection Forex and binary options The AMF warns the public about fraudulent investment offers through trading robots
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Topics:
Broker DealerWealth ManagerFintech
AI enthusiasts, the AMF challenges you
Innovation Markets AI enthusiasts, the AMF challenges you
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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
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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
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Topics:
Asset ManagerBankWealth Manager
The AMF Enforcement Committee fines a financial investment advisor for breaches of its professional obligations
Sanctions & settlements professional obligations Investment advice Other professionals Journalists The AMF Enforcement Committee fines a financial investment advisor for breaches of its professional obligations
AI Analysis
The AMF Enforcement Committee fined financial investment advisor Capexis €120,000 on 15 February 2023 for breaches including receiving prohibited payments from client loan repayments and failing to disclose commissions from SCPI usufruct subscriptions, with the Conseil d'Etat later increasing the fine to €150,000 on 3 March 2025. This enforcement action underscores AMF's strict oversight of **financial investment advisors (Conseillers en Investissements Financiers - CIFs)** on professional obligations like payment restrictions and transparency. It matters for compliance as it highlights personal liability risks and the educational role of such decisions in clarifying regulations.
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Wealth ManagerAll Firms
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
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Topics:
Bank
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
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Asset ManagerWealth ManagerBank
Artificial intelligence, towards new contributions for regulators
Artificial intelligence Financial disclosures & corporate financing Innovation Prospectus Artificial intelligence, towards new contributions for regulators
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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...
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Asset ManagerBroker DealerFintech
The AMF warns the public against certain platforms proposing investments in real estate as "royalties"
Warning Warning Savings protection The AMF warns the public against certain platforms proposing investments in real estate as "royalties"
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Topics:
Asset ManagerWealth ManagerFintech
The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Warning Savings protection Miscellaneous assets Warning The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
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
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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 ...
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Asset ManagerWealth ManagerAll Firms
Digital assets: the AMF strengthens its policy on DASPs in relation to good repute and skills and promotional communications
Crypto-assets Innovation Digital assets: the AMF strengthens its policy on DASPs in relation to good repute and skills and promotional communications
Sectors:
Topics:
Crypto ExchangeFintech
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Forex and binary options Crypto-assets Warning The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
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Topics:
BankFintechCrypto Exchange
The AMF publishes its proposals for an open finance framework
Innovation The AMF publishes its proposals for an open finance framework
AI Analysis
The Autorité des Marchés Financiers (AMF), France's financial markets authority, has published proposals for an **open finance framework** via a public consultation, extending open banking principles to broader financial data sharing for enhanced innovation and competition. This matters for compliance professionals as it signals upcoming regulatory requirements for secure data access, APIs, and customer consent mechanisms, aligning with EU trends toward open finance while prioritizing consumer protection and market resilience. Firms must engage early to shape the final rules and prepare systems for compliance.
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BankAsset ManagerFintech
The AMF’s latest savings barometer finds that the French are a little less inclined to invest in the stock market
Long term investment Shares Collective investments Retail investors Journalists The AMF’s latest savings barometer finds that the French are a little less inclined to invest in the stock market
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Asset ManagerWealth ManagerBroker Dealer
The AMF warns the public about fraudulent offers to invest in the energy transition
Warning Savings protection Warning The AMF warns the public about fraudulent offers to invest in the energy transition
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Topics:
Asset ManagerWealth ManagerBank
Marie-Anne Barbat-Layani appointed Chair of the Autorité des Marchés Financiers
Appointment Institutional AMF activity Other professionals Executive & other private individuals Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services...
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Topics:
BankAsset ManagerWealth Manager
The Autorité des marchés financiers (AMF) has requested the resumption of listing of ORPEA’s securities today
Markets Financial disclosures & corporate financing The Autorité des marchés financiers (AMF) has requested the resumption of listing of ORPEA’s securities today
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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 ...
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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 ...
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Topics:
Asset ManagerWealth ManagerAll Firms
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
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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 ...
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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
The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Warning Miscellaneous assets Savings protection Warning The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
AMF Chair: Proposal to appoint Marie-Anne Barbat-Layani
AMF activity AMF Chair: Proposal to appoint Marie-Anne Barbat-Layani
AI Analysis
This AMF publication announces a proposal to appoint Marie-Anne Barbat-Layani as Chair of the AMF, France's financial markets authority responsible for investor protection, market supervision, and regulatory enforcement. It matters for compliance professionals because leadership changes at key regulators like the AMF can signal shifts in enforcement priorities, supervisory focus, or policy directions affecting investment firms, asset managers, and market participants across the EU. While not imposing immediate rules, it warrants monitoring for potential impacts on ongoing consultations and governance expectations.
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Topics:
Asset ManagerBroker DealerBank
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Forex and binary options Crypto-assets Warning The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Sectors:
Topics:
BankCrypto ExchangeFintech
AMF and ACPR announce the withdrawal of BYKEPS SAS’s registration as a DASP
Crypto-assets Anti-money Laundering Supervision Journalists Investment services providers AMF and ACPR announce the withdrawal of BYKEPS SAS’s registration as a DASP
Sectors:
Topics:
Crypto Exchange
Central Bank of Ireland Issues Warning on Unauthorised Firm – Fraudulent entity clones authorised firm SEI Investments
It has come to the attention of the Central Bank that a scam entity by the name SEI Investment (United States, Ireland), formerly operating the fraudulent clone website www.seiinvestment.com, has been claiming to be an investment firm / investment business firm in the absence of appropriate authorisations. In this instance, the scam entity cloned details and website content of the legitimate firm, SEI Investments (www.seic.com), in order to deceive consumers. The legitimate firm was proactive...
AI Analysis
The Central Bank of Ireland (CBI) issued a warning on 26 September 2022 about a fraudulent entity named "SEI Investment (United States, Ireland)" that cloned the legitimate authorised firm SEI Investments (www.seic.com) via the fake website www.seiinvestment.com to deceive consumers into unauthorised investment services. This matters because it highlights the rising threat of clone firm scams, which impersonate authorised entities using stolen details like names, addresses, and authorisation numbers, exposing firms to reputational risk and consumers to financial loss without Investor Compensation Scheme protection. Authorised firms must remain vigilant in monitoring for clones and reporting them promptly, as demonstrated by SEI Investments' proactive response that led to the site's deactivation in February 2022.
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Asset ManagerWealth ManagerBank
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)
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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
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Topics:
Asset ManagerBankWealth Manager
The AMF calls for vigilance against fraudulent sites usurping its name
Warning Savings protection Warning The AMF calls for vigilance against fraudulent sites usurping its name
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Topics:
BankWealth ManagerFintech
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
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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
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Topics:
Asset ManagerWealth ManagerBank
The AMF informs the public of the partial suspension by the CySEC of VPR Safe Financial Group Limited’s authorisation to operate in France
Investment services Savings protection Europe & international Retail investors Investment services providers The AMF informs the public of the partial suspension by the CySEC of VPR Safe Financial Group Limited’s authorisation to operate in France
AI Analysis
The AMF publication notifies the public of CySEC's August 3, 2022, decision to partially suspend VPR Safe Financial Group Limited's (operating as Alvexo) authorization to provide investment services in France, prompted by AMF findings of regulatory violations including misleading marketing, inadequate client suitability assessments, and poor tied agent oversight. This cross-border enforcement highlights escalating EU supervisory cooperation under MiFID II, serving as a warning for firms using tied agents in France. It matters for compliance as it underscores risks of AMF referrals leading to home-state suspensions, with subsequent developments including suspension revocation and full license withdrawal by September 2025.
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Broker DealerFintech
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
The AMF is conducting a consultation on the end of life of private equity funds intended for retail investors
Asset management Savings protection Journalists The AMF is conducting a consultation on the end of life of private equity funds intended for retail investors
AI Analysis
The AMF is conducting a consultation on regulatory reforms governing the end-of-life management of retail private equity funds (FCPRs, FCPIs, and FIPs), with the objective of improving compliance with liquidation deadlines and enhancing investor protection through better information disclosure and operational safeguards. This initiative addresses systemic issues where fund managers have historically failed to respect contractual lifespan commitments, creating liquidity risks and investor communication failures.
Sectors:
Topics:
Asset ManagerWealth Manager
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 Enforcement Committee fines a depositary for breaches of its professional obligations
Sanctions & settlements Compliance Journalists Investment services providers The AMF Enforcement Committee fines a depositary for breaches of its professional obligations
AI Analysis
The AMF Enforcement Committee fined RBC Investor Services Bank France SA (RBC ISBF) €500,000 plus a warning on 20 July 2022 (published 08 January 2026) for breaches as a UCITS and AIF depositary, including 25 confirmed failures in tiered intervention procedures for investment ratio overruns and deficient monitoring of 14 questionable cash flows over 45 months. This decision underscores AMF's strict enforcement of depositary duties under French regulations implementing UCITS/AIFMD, emphasizing robust controls for ratio compliance, cash flow verification, and documentation. It matters for compliance teams as it provides precedent on what constitutes "irregular and deficient" oversight, potentially increasing scrutiny and fines for similar lapses in depositary functions.
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Topics:
Asset ManagerBankWealth Manager
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
Grégoire Vuarlot is appointed coordinator of the ACPR and AMF Joint Unit starting 1st July 2022
AMF activity Appointment Journalists Grégoire Vuarlot is appointed coordinator of the ACPR and AMF Joint Unit starting 1st July 2022
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Topics:
BankWealth ManagerAsset Manager
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 and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Forex and binary options Crypto-assets Warning The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Sectors:
Topics:
BankFintechCrypto Exchange
The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Warning Warning Savings protection Miscellaneous assets The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
Appointments to the Legal Affairs Directorate and Enforcement Assistance Directorate of the Autorité des Marchés Financiers
Institutional AMF activity Appointment Journalists Appointments to the Legal Affairs Directorate and Enforcement Assistance Directorate of the Autorité des Marchés Financiers
AI Analysis
This AMF publication announces internal appointments to its **Legal Affairs Directorate** and **Enforcement Assistance Directorate**, signaling potential enhancements in legal oversight and enforcement capabilities within France's financial markets regulator. Compliance professionals should note this as it may indicate a renewed focus on rigorous enforcement of market rules, though it imposes no direct regulatory changes on firms.
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Topics:
Asset ManagerBroker DealerBank
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 Enforcement Committee fines a financial investment advisor and its manager for breaches of their professional obligations
Sanctions & settlements Other professionals Journalists The AMF Enforcement Committee fines a financial investment advisor and its manager for breaches of their professional obligations
AI Analysis
The AMF Enforcement Committee fined financial investment advisor Séquence 13 and its director Jean-Louis Lehmann €15,000 each and imposed a five-year ban from acting as financial investment advisors in its decision of 19 December 2023, due to failures in client disclosures, justifying remuneration, operating within regulatory limits, and managing conflicts of interest. This enforcement action underscores the AMF's strict enforcement of professional obligations for investment advisors, with personal liability for managers, serving as a deterrent against conduct breaches that harm client interests. Compliance teams should note this as part of a pattern of similar sanctions, emphasizing robust governance and documentation.
Sectors:
Topics:
Wealth ManagerAll Firms
The AMF and the ACPR warn the public against unauthorised Forex trading offers from Omega Pro Ltd
Warning Savings protection Forex and binary options Warning The AMF and the ACPR warn the public against unauthorised Forex trading offers from Omega Pro Ltd
Sectors:
Topics:
Broker DealerWealth ManagerFintech
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
The AMF Enforcement Committee fines a financial investment advisor and its manager for breaches of their professional obligations
Sanctions & settlements Investment advice Other professionals Executive & other private individuals Investment services providers The AMF Enforcement Committee fines a financial investment advisor and its manager for breaches of their professional obligations
AI Analysis
The AMF Enforcement Committee fined a financial investment advisor (FIA) firm and its manager for multiple breaches of professional obligations, including failure to provide mandatory documents, inadequate risk disclosure, poor KYC practices, misleading information, unauthorized placing activities, and improper third-party marketing mandates. This enforcement action underscores the AMF's strict scrutiny of FIAs, emphasizing due care, conflict management, and adherence to status limits, with fines and bans serving as deterrents. Compliance teams should review it for lessons on documentation, client suitability, and outsourcing controls to avoid similar sanctions.
Sectors:
Topics:
Wealth ManagerAsset ManagerAll Firms
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
The AMF Enforcement Committee fines a financial investment advisor and its manager for breaches of their professional obligations
Sanctions & settlements Journalists The AMF Enforcement Committee fines a financial investment advisor and its manager for breaches of their professional obligations
AI Analysis
The AMF Enforcement Committee imposed significant sanctions on DCT (formerly Didier Maurin Finance) and its manager Didier Maurin for recommending unauthorized alternative investment funds to clients and obstructing regulatory investigations. This case exemplifies critical compliance failures in product authorization verification and client suitability assessment, with enforcement upheld by France's highest administrative court in September 2024.
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Topics:
Asset ManagerWealth Manager
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
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Forex and binary options Crypto-assets Warning The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Sectors:
Topics:
BankCrypto ExchangeFintech
The AMF warns the public against fraudulent offers to buy listed shares at preferential prices
Warning Savings protection Warning The AMF warns the public against fraudulent offers to buy listed shares at preferential prices
Sectors:
Topics:
Broker DealerWealth ManagerBank
The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Warning Savings protection Atypical products Warning The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Sectors:
Topics:
Asset ManagerWealth ManagerBank
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
The AMF publishes a stock-take analysis of the market for short-term debt instruments in Europe
MMF The AMF publishes a stock-take analysis of the market for short-term debt instruments in Europe
Sectors:
Topics:
Asset ManagerBankBroker Dealer
The AMF announces the appointment of Viet-Linh Nguyen as Head of the Strategy and Sustainable Finance Unit as well as Secretary of the Executive Committee
Appointment AMF activity Other professionals Executive & other private individuals Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers ...
Sectors:
Topics:
Asset ManagerBankFintech
A liquidator of the funds previously managed by "Nestadio Capital" has been appointed at the request of the AMF
Asset management A liquidator of the funds previously managed by "Nestadio Capital" has been appointed at the request of the AMF
Sectors:
Topics:
Asset Manager
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
The AMF to call for an amendment of the law on obstructing investigations and inspections
Sanctions & settlements Journalists The AMF to call for an amendment of the law on obstructing investigations and inspections
AI Analysis
The AMF announced its intention to propose legislative amendments to the French Monetary and Financial Code following a January 28, 2022 Constitutional Council decision that found dual prosecution for obstructing AMF investigations and inspections unconstitutional. The amendment aims to eliminate the possibility of simultaneous administrative and criminal penalties for the same obstruction conduct, while preserving the AMF's enforcement authority.
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Topics:
Asset ManagerBroker DealerAll Firms
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
The AMF invites providers, users and rated entities to respond to ESMA's Call for evidence on the ESG rating market in Europe
Europe & international Sustainable Finance Asset management The AMF invites providers, users and rated entities to respond to ESMA's Call for evidence on the ESG rating market in Europe
AI Analysis
The AMF is urging French stakeholders—ESG rating providers, users, and rated entities—to respond to ESMA's 2022 Call for Evidence on the EU ESG rating market to inform European Commission efforts on improving transparency and reliability. This matters as it contributes to the foundational data driving the ESG Ratings Regulation (EU 2024/3005), which imposes authorization, disclosure, and conflict-of-interest rules on providers, affecting sustainable finance compliance across the EU. With the regulation applying from 2 July 2026, early engagement helps shape final rules amid ongoing ESMA consultations on technical standards.
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Topics:
Asset ManagerBankInsurance
Benchmarks: the AMF will apply ESMA Guidelines
Market infrastructures Benchmark Benchmarks: the AMF will apply ESMA Guidelines
Sectors:
Topics:
Asset ManagerBankBroker Dealer
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
More than one million new retail investors have entered equity markets in France over the last 3 years, according to the AMF's dashboard
Long term investment Retail investors Journalists More than one million new retail investors have entered equity markets in France over the last 3 years, according to the AMF's dashboard
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
The AMF informs about the liquidation of the portfolio asset management company « Nestadio Capital »
Asset management The AMF informs about the liquidation of the portfolio asset management company « Nestadio Capital »
Sectors:
Topics:
Asset Manager
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 AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Warning Savings protection Miscellaneous assets Warning The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Forex and binary options Crypto-assets Warning The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Sectors:
Topics:
BankFintechCrypto Exchange
The AMF warns the public against the offerings of UGE Group
Warning Savings protection Atypical products Warning The AMF warns the public against the offerings of UGE Group
Sectors:
Topics:
BankWealth Manager
Market Data: the AMF applies ESMA Guidelines
MIFID Market Data: the AMF applies ESMA Guidelines
Sectors:
Topics:
Asset ManagerBroker DealerBank
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 ESMA’s Guidelines
Asset management Marketing communications under the Regulation on cross-border distribution of funds : the AMF complies with ESMA’s 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
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Forex and binary options Crypto-assets Warning The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Sectors:
Topics:
BankFintechCrypto Exchange
The AMF warns against the Initial Coin Offering of the company Air Next
Warning Savings protection Crypto-assets Warning The AMF warns against the Initial Coin Offering of the company Air Next
Sectors:
Topics:
Crypto ExchangeFintech
The AMF is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Savings protection Miscellaneous assets Warning The AMF is warning the public against several companies proposing atypical investments without being authorized to do so
Sectors:
Topics:
Asset ManagerWealth ManagerBank
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
Sectors:
Topics:
Broker DealerBank
AMF is warning retail investors on the importance of consulting the white list of digital asset service providers (DASPs)
Crypto-assets Savings protection AMF is warning retail investors on the importance of consulting the white list of digital asset service providers (DASPs)
Sectors:
Topics:
Crypto ExchangeFintech
The AMF has postponed the effective date of the authorisation withdrawal of the asset management company Nestadio Capital
Asset management The AMF has postponed the effective date of the authorisation withdrawal of the asset management company Nestadio Capital
AI Analysis
The Autorité des Marchés Financiers (AMF) postponed the effective date of the authorization withdrawal for Nestadio Capital, a portfolio asset management company, to allow time for fund transfers or liquidation following repeated non-compliance with authorization terms. This matters for compliance professionals as it illustrates AMF's enforcement approach to regulatory breaches in asset management, emphasizing orderly wind-downs to protect investors while signaling risks of judicial intervention if issues persist. The case culminated in judicial liquidation by 2022, highlighting long-term consequences for non-compliant firms.
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Topics:
Asset Manager
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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Topics:
Asset ManagerBroker DealerBank
The AMF urges retail investors to exercise extreme caution towards proposals to invest in rooms in care homes
Warning Savings protection Financial Scams Warning The AMF urges retail investors to exercise extreme caution towards proposals to invest in rooms in care homes
Sectors:
Topics:
Asset ManagerWealth ManagerAll Firms
The AMF publishes a study on the development of the SPAC market and its challenges
Financial products Bids Shares Financial disclosures & corporate financing Markets The AMF publishes a study on the development of the SPAC market and its challenges
Sectors:
Topics:
Asset ManagerBroker DealerBank
The AMF is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Savings protection Miscellaneous assets Warning The AMF is warning the public against several companies proposing atypical investments without being authorized to do so
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Forex and binary options Crypto-assets Warning The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Sectors:
Topics:
BankCrypto ExchangeFintech
The AMF warns the public against Sinclair Upton Capital Management
Warning Savings protection Asset management Investment advice Warning The AMF warns the public against Sinclair Upton Capital Management
Sectors:
Topics:
Asset ManagerWealth Manager
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Forex and binary options Warning The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Sectors:
Topics:
BankBroker DealerCrypto Exchange
The AMF is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Savings protection Miscellaneous assets Atypical products Warning The AMF is warning the public against several companies proposing atypical investments without being authorized to do so
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Asset ManagerWealth ManagerBroker Dealer
The AMF, AFG, ASPIM, France Invest, Anacofi, Cie CIF, CNCGP and CNCIF warn the public against an upsurge in the theft of names of authorised market players
Warning Savings protection Warning Financial Scams The AMF, AFG, ASPIM, France Invest, Anacofi, Cie CIF, CNCGP and CNCIF warn the public against an upsurge in the theft of names of authorised market players
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF and the ACPR warn the public against the activities of several entities offering investments in Forex and in crypto-assets derivatives in France without being authorized to do so
Warning Savings protection Warning The AMF and the ACPR warn the public against the activities of several entities offering investments in Forex and in crypto-assets derivatives in France without being authorized to do so
Sectors:
Topics:
BankCrypto ExchangeAll Firms
Miscellaneous assets: the AMF adds to its black list and, for the first time, has access blocked to unauthorised websites
Warning Savings protection Miscellaneous assets Warning Miscellaneous assets: the AMF adds to its black list and, for the first time, has access blocked to unauthorised websites
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Topics:
Asset ManagerWealth ManagerBank
Application Form – Third country auditors and audit entities
No description available.
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Topics:
BankWealth Manager
The AMF urges investors to exercise the greatest vigilance towards proposals to invest in containers
Warning Savings protection Warning The AMF urges investors to exercise the greatest vigilance towards proposals to invest in containers
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
The AMF urges retail investors to exercise the greatest vigilance towards certain activities proposed by Laurent Chenot
Warning Savings protection The AMF urges retail investors to exercise the greatest vigilance towards certain activities proposed by Laurent Chenot
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Topics:
Asset ManagerWealth ManagerBank
The AMF warns the public against Vuelex
Warning Savings protection The AMF warns the public against Vuelex
Sectors:
Topics:
BankWealth ManagerFintech
The AMF warns the public against ELG Capital Partners and its website www.elgcapitalpartners.fr
Warning Savings protection The AMF warns the public against ELG Capital Partners and its website www.elgcapitalpartners.fr
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
The AMF and the ACPR warn the public against the activities of several entities proposing in France forex investments and investment services in crypto-assets derivatives without being authorized to do so
Warning Savings protection Crypto-assets Derivatives or structured products The AMF and the ACPR warn the public against the activities of several entities proposing in France forex investments and investment services in crypto-assets derivatives without being authorized to do so
Sectors:
Topics:
BankFintechCrypto Exchange
The AMF is warning the public against several companies proposing atypical investments or offering binary options trading without being authorized to do so
Warning Savings protection The AMF is warning the public against several companies proposing atypical investments or offering binary options trading without being authorized to do so
Sectors:
Topics:
Broker DealerFintechAll Firms
The AMF announces the referral of two investigation files on “boiler room marketing” to the National Financial Prosecutor’s Office
Warning Savings protection The AMF announces the referral of two investigation files on “boiler room marketing” to the National Financial Prosecutor’s Office
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Topics:
BankWealth ManagerBroker Dealer
The AMF warns the public about the Cash Flash initial coin offering
Warning Savings protection Crypto-assets Warning The AMF warns the public about the Cash Flash initial coin offering
Sectors:
Topics:
Crypto ExchangeFintech
The AMF is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Savings protection Atypical products Warning The AMF is warning the public against several companies proposing atypical investments without being authorized to do so
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF and the ACPR warn the public against the activities of several entities proposing in France via their websites, without being authorized to do so, forex investments and investment services in crypto-assets derivatives
Warning Savings protection Crypto-assets Derivatives or structured products The AMF and the ACPR warn the public against the activities of several entities proposing in France via their websites, without being authorized to do so, forex investments and investment services in...
Sectors:
Topics:
BankFintechCrypto Exchange
The AMF draws the public’s attention to pyramid structures proposing training courses in trading
Warning Savings protection The AMF draws the public’s attention to pyramid structures proposing training courses in trading
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Topics:
Asset ManagerBroker DealerWealth Manager
The AMF urges investors to exercise extreme caution towards proposals to invest in car parks
Warning Savings protection The AMF urges investors to exercise extreme caution towards proposals to invest in car parks
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF and the ACPR warn the public against the activities of several entities proposing in France via their websites, without being authorized to do so, forex investments and investment services in crypto-assets derivatives
Warning Savings protection Forex and binary options The AMF and the ACPR warn the public against the activities of several entities proposing in France via their websites, without being authorized to do so, forex investments and investment services in crypto-assets derivatives
Sectors:
Topics:
BankBroker DealerCrypto Exchange
The AMF is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Savings protection The AMF is warning the public against several companies proposing atypical investments without being authorized to do so
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
The Autorité des Marchés Financiers is calling on retail investors to exercise utmost vigilance with regard to whisky investment offers
Warning Savings protection The Autorité des Marchés Financiers is calling on retail investors to exercise utmost vigilance with regard to whisky investment offers
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The Autorité des Marchés Financiers (AMF) is warning the public against the entity and the website Magaffairs
Warning Savings protection The Autorité des Marchés Financiers (AMF) is warning the public against the entity and the website Magaffairs
Sectors:
Topics:
BankWealth Manager
The Autorité des Marchés Financiers and the Autorité de Contrôle Prudentiel et de Résolution warn the public against the activities of several websites and entities proposing forex investments or proposing online investment services in France for deriv...
Warning Savings protection Crypto-assets Derivatives or structured products Forex and binary options Warning The Autorité des Marchés Financiers and the Autorité de Contrôle Prudentiel et de Résolution warn the public against the activities of several websites...
Sectors:
Topics:
BankBroker DealerWealth Manager
The Autorité des Marchés Financiers (AMF) is warning the public against several companies proposing atypical investments or offering binary options trading without being authorized to do so
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) is warning the public against several companies proposing atypical investments or offering binary options trading without being authorized to do so
Sectors:
Topics:
Broker DealerFintechAll Firms
The Autorité des Marchés Financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Warning Savings protection Atypical products The Autorité des Marchés Financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
The Autorité des marchés financiers calls on retail investors to exercise the greatest vigilance in usurpation cases
Warning Savings protection The Autorité des marchés financiers calls on retail investors to exercise the greatest vigilance in usurpation cases
Sectors:
Topics:
BankWealth ManagerFintech
The Autorité des marchés financiers issues a public warning about the website www.sogevis.com
Warning Savings protection The Autorité des marchés financiers issues a public warning about the website www.sogevis.com
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Topics:
BankWealth Manager
The Autorité des marchés financiers issues a public warning about the website www.holakredit.com
Warning Warning Savings protection The Autorité des marchés financiers issues a public warning about the website www.holakredit.com
Sectors:
Topics:
BankWealth ManagerFintech
The Autorité des Marchés Financiers (AMF) warns the public against the activities of certain websites offering to sell shares of La Française des Jeux without authorisation
Warning Warning Savings protection The Autorité des Marchés Financiers (AMF) warns the public against the activities of certain websites offering to sell shares of La Française des Jeux without authorisation
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Asset ManagerBroker DealerWealth Manager
AMF warns the public about an aggressive marketing technique called "boiler room"
Warning Savings protection AMF warns the public about an aggressive marketing technique called "boiler room"
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Asset ManagerBroker DealerWealth Manager
The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Savings protection Atypical products Warning The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
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Asset ManagerWealth ManagerFintech
The Autorité des marchés financiers (AMF) warns the public against the company and the website Vanilla Golden Trade
Warning Savings protection The Autorité des marchés financiers (AMF) warns the public against the company and the website Vanilla Golden Trade
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BankWealth ManagerFintech
The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorised websites offering binary options trading
Warning Savings protection Warning The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorised websites offering binary options trading
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Broker DealerFintechAll Firms
The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
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Broker DealerWealth ManagerFintech
The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de resolution (ACPR) warn the public about a number of unauthorised online investment
Warning Savings protection Crypto-assets Warning The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de resolution (ACPR) warn the public about a number of unauthorised online investment services in France for derivatives whose underlyings include crypto...
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BankFintechCrypto Exchange
The Autorité des Marchés Financiers warns the public about the websites www.lascpi.fr and www.scpi-gouv.fr improperly using its name and logo
Warning Savings protection The Autorité des Marchés Financiers warns the public about the websites www.lascpi.fr and www.scpi-gouv.fr improperly using its name and logo
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Asset ManagerWealth ManagerBank
The Autorité des marchés financiers (AMF) warns the public against the company KUVERA LLC/KUVERA France
Warning Savings protection Warning The Autorité des marchés financiers (AMF) warns the public against the company KUVERA LLC/KUVERA France
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Asset ManagerWealth ManagerBank
The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Savings protection Atypical products Warning The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
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Asset ManagerWealth ManagerFintech
The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de resolution (ACPR) warn the public about a number of unauthorised online investment
Warning Savings protection Crypto-assets Warning The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de resolution (ACPR) warn the public about a number of unauthorised online investment services in France for derivatives whose underlyings include crypto...
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BankCrypto ExchangeFintech
The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
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Broker DealerWealth ManagerFintech
The Autorité des marchés financiers (AMF) is warning the public against the website www.porto-immo.com
Warning Savings protection The Autorité des marchés financiers (AMF) is warning the public against the website www.porto-immo.com
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BankWealth Manager
The Autorité des marchés financiers (AMF) is warning the public against the website www.parel-gestion.net
Warning Savings protection The Autorité des marchés financiers (AMF) is warning the public against the website www.parel-gestion.net
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Asset ManagerWealth ManagerBank
The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Savings protection Atypical products Warning The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
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Asset ManagerWealth ManagerFintech
The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de resolution (ACPR) warn the public about a number of unauthorised online investment
Warning Savings protection Crypto-assets Warning The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de resolution (ACPR) warn the public about a number of unauthorised online investment services in France for derivatives whose underlyings include crypto...
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BankFintechCrypto Exchange
The Autorité des marchés financiers (AMF) is warning the public against the entity MAG Asset and the website www.magasset.com
Warning Savings protection The Autorité des marchés financiers (AMF) is warning the public against the entity MAG Asset and the website www.magasset.com
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Asset ManagerWealth ManagerCrypto Exchange
The Autorité des marchés financiers warns the public about case of fraudulent use of the names and contact details of the SICAV Objectif Finance Investissements (OFI)
Warning Savings protection The Autorité des marchés financiers warns the public about case of fraudulent use of the names and contact details of the SICAV Objectif Finance Investissements (OFI)
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Asset ManagerWealth Manager
The Autorité des marchés financiers (AMF) is warning the public against the activities of ECI Luxembourg and the website www.eci-luxembourg proposing investment services without being authorized to do so
Warning Savings protection The Autorité des marchés financiers (AMF) is warning the public against the activities of ECI Luxembourg and the website www.eci-luxembourg proposing investment services without being authorized to do so
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BankWealth ManagerFintech
The AMF issues a public warning about the website https://capitalncl.com/
Warning Savings protection The AMF issues a public warning about the website https://capitalncl.com/
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BankWealth Manager
The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de resolution (ACPR) warn the public about a number of unauthorised online investment
Warning Savings protection Crypto-assets Warning The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de resolution (ACPR) warn the public about a number of unauthorised online investment services in France for derivatives whose underlyings include crypto...
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BankCrypto ExchangeFintech
The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Savings protection Atypical products Warning The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
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Asset ManagerWealth ManagerFintech
The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
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Asset ManagerBroker DealerWealth Manager
The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering binary options trading
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Broker DealerFintechCrypto Exchange
The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de résolution (ACPR) are warning the public against the activities of Patrimoine Gestion Management and PGM Patrimoine
Warning Savings protection Warning The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de résolution (ACPR) are warning the public against the activities of Patrimoine Gestion Management and PGM Patrimoine
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Asset ManagerWealth ManagerBank
The Autorité des marchés financiers (AMF) is warning the public against the activity of AGRONOMIX and its French subsidiary AGRONOMIX FRANCE
Warning Savings protection The Autorité des marchés financiers (AMF) is warning the public against the activity of AGRONOMIX and its French subsidiary AGRONOMIX FRANCE
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Asset ManagerWealth ManagerBank
The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de résolution (ACPR) would like to warn the public
Warning Savings protection The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de résolution (ACPR) would like to warn the public about a number of unauthorised online investment services in France for derivatives whose underlyings include crypto assets.
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BankFintechCrypto Exchange
The Autorité des marchés financiers warns the public about cases of the fraudulent use of its name and contact details by a certain Stéphane Delaplace
Warning Savings protection Warning The Autorité des marchés financiers warns the public about cases of the fraudulent use of its name and contact details by a certain Stéphane Delaplace
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BankWealth ManagerFintech
The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
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Broker DealerWealth ManagerFintech
The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Savings protection Atypical products Warning The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
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Asset ManagerWealth ManagerFintech
AMF warns the public about aggressive "boiler room" direct marketing
Warning Savings protection Warning AMF warns the public about aggressive "boiler room" direct marketing
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Asset ManagerWealth ManagerBank
The Autorité des marchés financiers (AMF) is warning the public against the activities of the website https://epargne-eco.fr/
Warning Savings protection The Autorité des marchés financiers (AMF) is warning the public against the activities of the website https://epargne-eco.fr/
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BankWealth ManagerFintech
The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Savings protection Atypical products Warning The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
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Asset ManagerWealth ManagerFintech
Credit Reports now available
Following a satisfactory review of the data submitted by banks and credit unions, to the Central Credit Register, the initial enquiry phase has now commenced. This means that from today borrowers and lenders can request a copy of credit reports from the Central Credit Register. Data on mortgages, personal loans, credit cards and overdrafts, which is backdated to 30 June 2017, is live on the system and is incorporated into credit reports. From 30 September 2018 it will be compulsory for credit...
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BankPayment ProviderAll Firms
The Autorité des marchés financiers (AMF) is publishing a list on its website of unauthorized companies proposing atypical investments without being authorised to do so
Warning Savings protection Crypto-assets Atypical products Warning The Autorité des marchés financiers (AMF) is publishing a list on its website of unauthorized companies proposing atypical investments without being authorised to do so
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Crypto ExchangeFintech
The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de résolution (ACPR) are warning the public against the activities of bil patrimoine and the website
Warning Savings protection Warning The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de résolution (ACPR) are warning the public against the activities of bil patrimoine and the website www.bil-gestionpatrimoine.com proposing investment services and savings...
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BankWealth Manager
The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering diamond investments
Warning Savings protection Warning The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering diamond investments
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Asset ManagerWealth ManagerBroker Dealer
The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
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BankBroker DealerWealth Manager
The Autorité des marchés financiers (AMF) warns the public against the company International Markets Live LTD (IMarketsLive)
Warning Savings protection The Autorité des marchés financiers (AMF) warns the public against the company International Markets Live LTD (IMarketsLive)
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Broker DealerWealth ManagerFintech
The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering binary options trading
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Broker DealerFintechCrypto Exchange
Buying Bitcoin: the AMF and the ACPR issue a warning to savers
Warning Warning Atypical products Savings protection Buying Bitcoin: the AMF and the ACPR issue a warning to savers
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BankCrypto ExchangeFintech
The Autorité des marchés financiers (AMF) is publishing a list on its website of unauthorized companies proposing atypical investments without being authorized to do so
Warning Savings protection Atypical products Warning The Autorité des marchés financiers (AMF) is publishing a list on its website of unauthorized companies proposing atypical investments without being authorized to do so
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Asset ManagerWealth ManagerBank
The AMF issues a warning about the website https://crowd-partners.com/
Warning Savings protection The AMF issues a warning about the website https://crowd-partners.com/
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BankWealth ManagerFintech
The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
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BankBroker DealerWealth Manager
The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering diamond investments
Warning Savings protection Miscellaneous assets Warning The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering diamond investments
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Asset ManagerWealth ManagerBroker Dealer
The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering binary options trading
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Broker DealerFintechCrypto Exchange
The Autorité des marchés financiers (AMF) warns the public against the activities of "Naftoil" and its director Mr Raphael Comté proposing investments services without being authorized to do so
Warning Savings protection The Autorité des marchés financiers (AMF) warns the public against the activities of "Naftoil" and its director Mr Raphael Comté proposing investments services without being authorized to do so
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Asset ManagerWealth Manager
The Autorité des marchés financiers (AMF) is publishing a list on its website of unauthorized diamond investments platforms
Warning Savings protection The Autorité des marchés financiers (AMF) is publishing a list on its website of unauthorized diamond investments platforms
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Asset ManagerWealth ManagerBroker Dealer
The Autorité des marchés financiers (AMF) warns the public against the activities of www.chs-capital.com engaging in unauthorized investment services
Warning Savings protection The Autorité des marchés financiers (AMF) warns the public against the activities of www.chs-capital.com engaging in unauthorized investment services
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Asset ManagerWealth ManagerBroker Dealer
The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering binary options
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering binary options
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Broker DealerFintechAll Firms
The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
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BankBroker DealerWealth Manager
The Autorité des marchés financiers warns once again the public about proposals to invest in diamonds
Warning Savings protection The Autorité des marchés financiers warns once again the public about proposals to invest in diamonds
Sectors:
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Asset ManagerWealth ManagerBank
The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
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Broker DealerWealth ManagerFintech
The Autorité des marchés financiers (AMF) issues a public warning issues a public warning against the activity of unauthorized websites offering binary options trading
Warning Savings protection Warning The Autorité des marchés financiers (AMF) issues a public warning issues a public warning against the activity of unauthorized websites offering binary options trading
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Broker DealerFintechAll Firms
The Autorité des marchés financiers (AMF) advises the clients of the website eu.bancdebinary.com to contact Banc de Binary Ltd, the owner of these websites, as soon as possible
Warning Savings protection The Autorité des marchés financiers (AMF) advises the clients of the website eu.bancdebinary.com to contact Banc de Binary Ltd, the owner of these websites, as soon as possible
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Broker DealerWealth Manager
The Autorité des marchés financiers warns the public about the product "VIAGEFI 6 LIMITED"
Warning Savings protection The Autorité des marchés financiers warns the public about the product "VIAGEFI 6 LIMITED"
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BankWealth Manager
The Autorité des marchés financiers warns the public about proposals to invest in diamonds
Warning Savings protection The Autorité des marchés financiers warns the public about proposals to invest in diamonds
Sectors:
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Asset ManagerWealth ManagerBank
The Autorité des Marchés Financiers (AMF) advises the clients of the websites
Warning Savings protection The Autorité des Marchés Financiers (AMF) advises the clients of the websites www.ytftradeltd.com, www.investing-area.com, www.buzztrade.com, www.binaryroyal.com and www.cfdroyal.com to contact AirFinance Pro Ltd, the owner of these websites, as soon as possible
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Broker DealerWealth ManagerFintech
The Autorité des Marchés Financiers (AMF) issues a public warning against the activities of unauthorized websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) issues a public warning against the activities of unauthorized websites offering binary options trading
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Broker DealerFintechCrypto Exchange
The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
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Broker DealerWealth ManagerFintech
The Autorité des marchés financiers (AMF) issues a public warning concerning communication from BLUE STONE LTD and companies related to it with respect to diamond investment offers
Warning Savings protection The Autorité des marchés financiers (AMF) issues a public warning concerning communication from BLUE STONE LTD and companies related to it with respect to diamond investment offers
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Asset ManagerWealth ManagerBroker Dealer
The Autorité des Marchés Financiers (AMF) warns the public about the 'KEYSTONE FUND'
Warning Savings protection The Autorité des Marchés Financiers (AMF) warns the public about the 'KEYSTONE FUND'
Sectors:
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Asset ManagerWealth ManagerBroker Dealer
The Autorité de Contrôle Prudentiel et de Résolution and the Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité de Contrôle Prudentiel et de Résolution and the Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Sectors:
Topics:
BankBroker DealerWealth Manager
The Autorité des Marchés Financiers (AMF) issues a public warning against the activities of unauthorised websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) issues a public warning against the activities of unauthorised websites offering binary options trading
Sectors:
Topics:
Broker DealerFintechCrypto Exchange
The Autorité des Marchés Financiers (AMF) issues a public warning against the activities of unauthorised websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) issues a public warning against the activities of unauthorised websites offering binary options trading
Sectors:
Topics:
Broker DealerFintechCrypto Exchange
The Autorité des Marchés Financiers (AMF) advises the clients of the websites www.interactiveoption.com, www.interactive-option.com, www.hellobrokers.com, www.mtxplus.com and www.pegasecapital.com to contact Pegase Capital
Warning Savings protection The Autorité des Marchés Financiers (AMF) advises the clients of the websites www.interactiveoption.com, www.interactive-option.com, www.hellobrokers.com, www.mtxplus.com and www.pegasecapital.com to contact Pegase Capital Ltd, the owner of these websites, as soon as possible
Sectors:
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Broker DealerWealth ManagerFintech
The Autorité de Contrôle Prudentiel et de Résolution and the Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité de Contrôle Prudentiel et de Résolution and the Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Sectors:
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BankBroker DealerWealth Manager
The Autorité des Marchés Financiers (AMF) issues a general public warning about sites touting the benefits of an algorithm and linking to a trading platform, and a specific warning about Preditrend
Warning Savings protection The Autorité des Marchés Financiers (AMF) issues a general public warning about sites touting the benefits of an algorithm and linking to a trading platform, and a specific warning about Preditrend
Sectors:
Topics:
Broker DealerWealth ManagerFintech
The Autorité des Marchés Financiers (AMF) issues a public warning against the activities of unauthorised websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) issues a public warning against the activities of unauthorised websites offering binary options trading
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Broker DealerFintechCrypto Exchange
The Autorité des Marchés Financiers (AMF) warns investors about binary options platforms copying the official information of duly regulated companies
Warning Savings protection The Autorité des Marchés Financiers (AMF) warns investors about binary options platforms copying the official information of duly regulated companies
Sectors:
Topics:
Broker DealerCrypto Exchange
The Autorité de Contrôle Prudentiel et de Résolution and the Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité de Contrôle Prudentiel et de Résolution and the Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Sectors:
Topics:
BankBroker DealerWealth Manager
The Autorité de Contrôle Prudentiel et de Résolution and the Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité de Contrôle Prudentiel et de Résolution and the Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
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BankBroker DealerWealth Manager
The Autorité de contrôle prudentiel et de résolution (ACPR), the Autorité des marchés financiers (AMF) and the General Directorate for Competition Policy, Consumer Affairs and Fraud Control (DGCCRF)
Warning Savings protection The Autorité de contrôle prudentiel et de résolution (ACPR), the Autorité des marchés financiers (AMF) and the General Directorate for Competition Policy, Consumer Affairs and Fraud Control (DGCCRF) warn the public about "Plan B" and the website BourseBinaire.fr
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BankWealth ManagerBroker Dealer
The Autorité des Marchés Financiers (AMF) issues a public warning against the activities of unauthorised websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) issues a public warning against the activities of unauthorised websites offering binary options trading
Sectors:
Topics:
Broker DealerFintechCrypto Exchange
AMF urges caution when investing in SCPI shares under the Malraux and Real Estate Loss regimes
Warning Savings protection AMF urges caution when investing in SCPI shares under the Malraux and Real Estate Loss regimes
Sectors:
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Asset ManagerWealth Manager
The Autorité des Marchés Financiers (AMF) warns investors about GLOBAL METAL BROKER
Warning Savings protection The Autorité des Marchés Financiers (AMF) warns investors about GLOBAL METAL BROKER
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Broker Dealer
The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
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Broker DealerFintechCrypto Exchange
The Autorité des Marchés Financiers (AMF) warns about persons using its name and logo and impersonating the Ombudsman and her deputy
Warning Savings protection The Autorité des Marchés Financiers (AMF) warns about persons using its name and logo and impersonating the Ombudsman and her deputy
Sectors:
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BankWealth ManagerAll Firms
The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Sectors:
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Broker DealerCrypto ExchangeAll Firms
The Autorité de Contrôle Prudentiel et de Résolution and the Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité de Contrôle Prudentiel et de Résolution and the Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Sectors:
Topics:
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The Autorité des Marchés Financiers (AMF) issues a public warning against the activities of 14 unauthorised websites and operators
Warning Savings protection The Autorité des Marchés Financiers (AMF) issues a public warning against the activities of 14 unauthorised websites and operators
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Asset ManagerWealth ManagerBank
The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
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Broker DealerFintechAll Firms
The Autorité de Contrôle Prudentiel et de Résolution and The Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité de Contrôle Prudentiel et de Résolution and The Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
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BankBroker DealerWealth Manager
The Autorité des Marchés Financiers (AMF) is warning the public against sites misusing its name and logo and redirecting to binary option trading platforms.
Warning Savings protection Warning The Autorité des Marchés Financiers (AMF) is warning the public against sites misusing its name and logo and redirecting to binary option trading platforms.
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Broker DealerFintech
The Autorité de Contrôle Prudentiel et de Résolution and The Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité de Contrôle Prudentiel et de Résolution and The Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
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BankBroker DealerWealth Manager
The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
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Broker DealerFintechAll Firms
The French Prudential Supervisory Authority and the Autorité des Marchés Financiers warns the public against the company EMIRATES PACIFIC GROUP
Warning Savings protection Warning The French Prudential Supervisory Authority and the Autorité des Marchés Financiers warns the public against the company EMIRATES PACIFIC GROUP
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BankWealth Manager
The Autorité des Marchés Financiers (AMF) warns the public against the company GET EASY
Warning Savings protection The Autorité des Marchés Financiers (AMF) warns the public against the company GET EASY
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BankWealth ManagerFintech
The Autorité des Marchés Financiers (AMF) has issued a public warning against the activities of individuals impersonating the delegate of the AMF Ombudsman by making false referrals to FIN-NET, the European Commission body in charge of financial disputes
Warning Warning Financial disclosures & corporate financing The Autorité des Marchés Financiers (AMF) has issued a public warning against the activities of individuals impersonating the delegate of the AMF Ombudsman by making false referrals to FIN-NET, the European Commission body in charge of...
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BankWealth ManagerAll Firms
The Autorité des Marchés Financiers issues a public warning against the activities of the group CO&H Ltd
Warning Savings protection Warning The Autorité des Marchés Financiers issues a public warning against the activities of the group CO&H Ltd
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BankWealth Manager
The Autorité de Contrôle Prudentiel et de Résolution and The Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so.
Warning Savings protection Forex and binary options Warning The Autorité de Contrôle Prudentiel et de Résolution and The Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so.
Sectors:
Topics:
BankBroker DealerWealth Manager
The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Sectors:
Topics:
Broker DealerFintechAll Firms
The AMF warns investors about Algorates Limited
Warning Savings protection The AMF warns investors about Algorates Limited
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Asset ManagerWealth ManagerFintech
The AMF warns investors against the activities of CAC Invest
Warning Savings protection Warning The AMF warns investors against the activities of CAC Invest
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Asset ManagerWealth ManagerBank
The Autorité de Contrôle Prudentiel et de Résolution and the Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so.
Warning Savings protection Forex and binary options Warning The Autorité de Contrôle Prudentiel et de Résolution and the Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so.
Sectors:
Topics:
BankBroker DealerWealth Manager
The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Sectors:
Topics:
Broker DealerFintechAll Firms
The Autorité des Marchés Financiers (AMF) warns the public about the activities of individuals claiming to work for the AMF
Warning Savings protection Warning The Autorité des Marchés Financiers (AMF) warns the public about the activities of individuals claiming to work for the AMF
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BankBroker DealerWealth Manager
The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
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Broker DealerFintechCrypto Exchange
The Autorité des Marchés Financiers (AMF) warns the public about the activities of individuals claiming to work for the AMF
Warning Savings protection Warning The Autorité des Marchés Financiers (AMF) warns the public about the activities of individuals claiming to work for the AMF
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BankWealth ManagerAll Firms
The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Sectors:
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Broker DealerFintechAll Firms
The AMF denounces the use of its name in a news release by LinGold.com S.A., which operates the InvestDiamond.com platform
Warning Savings protection The AMF denounces the use of its name in a news release by LinGold.com S.A., which operates the InvestDiamond.com platform
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FintechCrypto Exchange
The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
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Broker DealerCrypto Exchange
The Autorité des Marchés Financiers and the Autorité de Contrôle Prudentiel et de Résolution warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so.
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers and the Autorité de Contrôle Prudentiel et de Résolution warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so.
Sectors:
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BankBroker DealerWealth Manager
The Autorité des Marchés Financiers warns the public against pyramid scheme investment offers
Warning Savings protection The Autorité des Marchés Financiers warns the public against pyramid scheme investment offers
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Asset ManagerWealth ManagerBank
The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Sectors:
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Broker DealerCrypto Exchange
The Autorité des Marchés Financiers warns the public against the company PRIVATE CAPITAL
Warning Savings protection The Autorité des Marchés Financiers warns the public against the company PRIVATE CAPITAL
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BankWealth Manager
The Autorité des Marchés Financiers and the Autorité de Contrôle Prudentiel et de Résolution warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Warning Savings protection The Autorité des Marchés Financiers and the Autorité de Contrôle Prudentiel et de Résolution warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Sectors:
Topics:
BankBroker DealerWealth Manager
The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Warning Savings protection The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Sectors:
Topics:
Broker DealerFintechAll Firms
The Autorité des Marchés Financiers and the Autorité de Contrôle Prudentiel et de Résolution warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Warning Savings protection The Autorité des Marchés Financiers and the Autorité de Contrôle Prudentiel et de Résolution warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Sectors:
Topics:
BankBroker DealerWealth Manager
The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Warning Savings protection The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Sectors:
Topics:
Broker DealerFintechAll Firms
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