Muzinich Co. Opens Adgm Office To Strengthen Middle East Presence
Muzinich Co. Opens Adgm Office To Strengthen Middle East Presence
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Asset ManagerBankWealth Manager
Banking & Credit
Regulatory updates affecting banks, credit institutions, and lending 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
Central Bank of Ireland launches commemorative coin honouring playwright Seán O'Casey
Central Bank of Ireland today launched a commemorative coin celebrating the life and work of renowned Irish playwright Seán O'Casey, on what would have been his 146 th birthday. It marks the 100th anniversary of the inaugural performance of his masterpiece The Plough and the Stars at the Abbey Theatre. The silver proof coin will go on sale today (Monday 30 March 2026) at 1pm on www.collectorcoins.ie . Designed by PJ Lynch, there are just 3,000 coins available, and they will retail at €90. Gov...
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BankWealth ManagerAll Firms
Regulators launch joint taskforce to crack down on poor practice in motor finance claims
A new taskforce will tackle poor handling of motor finance claims by some claims management companies (CMCs) and law firms, after the FCA, Solicitors Regulation Authority (SRA), Information Commissioner’s Office (ICO) and Advertising Standards Authority (ASA) agreed to join up their efforts. The announcement comes as the FCA prepares to set out its final compensation scheme for motor finance customers.The regulators will step up efforts to share intelligence and continue to take co-ordinated ...
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BankFintechAll Firms
ECB streamlines how it supervises banks’ internal models
No description available.
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BankAsset ManagerWealth Manager
30 Mar 2026 Read more
30 Mar 2026 Read more
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BankCrypto ExchangeFintech
ECB sanctions BofA Securities Europe SA for breaching reporting requirements
No description available.
AI Analysis
The ECB imposed a €6.2 million penalty on BofA Securities Europe SA for intentionally breaching market risk reporting requirements between 2022 and 2024. The bank systematically underreported risk-weighted assets by including unauthorized sovereign bond option positions in its internal models, resulting in inflated capital ratios and misrepresented financial strength—a "severe" breach that signals the ECB's heightened enforcement focus on reporting accuracy and internal control governance.
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BankBroker Dealer
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung der Liste der sanktionierten natürlichen Personen, Unternehmen und Organisationen der Verordnung vom 21. März 2025 über Massnahmen gegenüber Personen und Organisationen, die mit den Organisationen ISIL (Da'esh) und Al-Kaida in Verbindung stehen (SR 946.231.08), publiziert.
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BankWealth ManagerAll Firms
ESAs spring risk update highlights geopolitical pressures and rising private finance risks
ESAs spring risk update highlights geopolitical pressures and rising private finance risks 27 March 2026 Joint Committee Risk monitoring The European Supervisory Authorities (EBA, EIOPA and ESMA – the ESAs) today published their spring 2026 Joint Committee update on risks and vulnerabilities in the EU financial system. The update focuses on the challenges arising from ongoing geopolitical tensions and developments in private finance. Geopolitical tensions continue to pose significant risks Th...
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BankAsset ManagerInsurance
Central Bank Appointments
The Central Bank Commission has appointed Elizabeth Mahon as Secretary of the Central Bank, effective 30 March. Elizabeth has also been appointed to the role of Head of Governance in the Central Bank. Elizabeth has more than 20 years' experience in financial services, principally in the banking sector, where her career has focused on strategy and implementation, management consulting, organisational change, and stakeholder management. Since 2022 she has worked at the Central Bank as Head of S...
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BankWealth Manager
The AMF clarifies its doctrine on several aspects relating to asset management companies
Asset management Regulatory developments The AMF clarifies its doctrine on several aspects relating to asset management companies
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Asset ManagerBank
FCA fines Dinosaur Merchant Bank Limited for market abuse surveillance failures
The FCA has fined Dinosaur Merchant Bank Limited (DMBL) £338,000 for failing to put in place effective systems and controls to detect and report suspicious trading in its contracts for difference (CFD) business. CFDs are sophisticated financial products that are used to speculate on various assets going up or down in value. Given their high-risk nature, firms must have strong and reliable surveillance arrangements to prevent insider dealing and market manipulation.In June 2024, DMBL introduce...
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BankBroker Dealer
My FCA marks first year with a single, streamlined sign in for all firms
As part of ongoing improvements to My FCA, and following the successful removal of RegData sign in at the end of last year, we have now removed direct access to Connect and the Online Invoicing System. Firms do not need to take any action. All existing RegData, Connect and Online Invoicing links and bookmarked pages will now automatically redirect to My FCA, where you can access all systems from a single homepage without signing in again. This makes managing your regulatory tasks quicker and ...
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BankWealth ManagerAll Firms
Governor Gabriel Makhlouf Calls for Genuine Single Market to Mobilise Europe’s Savings
Governor Gabriel Makhlouf of the Central Bank of Ireland today emphasised the critical need to strengthen Europe’s Single Market as the foundation for mobilising the continent’s substantial savings in an increasingly fragmented global environment.
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BankAsset ManagerWealth Manager
Bridge to the Future: Mobilising Europe's Savings in a Fragmenting World - Speech by Governor Gabriel Makhlouf at Eurofi
In his remarks, Governor Gabriel Makhlouf emphasised that Europe must mobilise its substantial savings by strengthening economic growth, completing the Single Market, and building more integrated capital markets, as capital currently flows abroad due to perceived higher returns elsewhere. He argued that central banks must anchor price stability and financial stability as preconditions for effective capital allocation, and that by addressing these fundamentals, European savings will naturally ...
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BankAsset ManagerBroker Dealer
Naperte Designated Activity Company (CLONE) - Central Bank of Ireland issues warning about unauthorised firm
Naperte Designated Activity Company (CLONE) - Central Bank of Ireland issues warning about unauthorised firm
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BankWealth ManagerAll Firms
BaFin warns consumers about the websites renvio(.)icu and renvio(.)pro
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the websites renvio(.)icu and renvio(.)pro. BaFin has information that these websites are being used to offer financial, investment and cryptoasset services without the required authorisation.
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BankFintechCrypto Exchange
Update to Discount Window Facility pricing – Market Notice 27 March 2026
The Bank is today announcing a simplification and reduction in the Discount Window Facility (DWF) pricing, as part of its previously announced review of the DWF.
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BankWealth ManagerAsset Manager
ASIC applies to wind up 12 companies associated with NSW accountant and former solicitor Christopher Malcolm Edwards
ASIC applies to wind up 12 companies associated with NSW accountant and former solicitor Christopher Malcolm Edwards
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Asset ManagerWealth ManagerBank
Barclays PLC: BaFin imposes administrative fine
On 10 March 2026, BaFin imposed an administrative fine amounting to €1,650,000 on Barclays PLC. The reason for this fine was a breach of supervisory duties in connection with contraventions of the German Securities Trading Act (Wertpapierhandelsgesetz - WpHG). Between June 2022 and March 2023, Barclays PLC failed in 26 cases to submit voting rights notifications regarding a single issuer within the prescribed period.
AI Analysis
BaFin imposed a €1.65 million administrative fine on Barclays PLC on March 10, 2026, for failing to submit 26 voting rights notifications within the required four-trading-day deadline between June 2022 and March 2023. This enforcement action demonstrates BaFin's commitment to enforcing transparency requirements under the German Securities Trading Act (WpHG) and highlights the critical importance of robust internal controls for voting rights notification compliance.
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Broker DealerAsset ManagerBank
Singapore Sets out Key Focus Areas to Develop Singapore as a Gold Trading Centre
MAS and the Singapore Bullion Market Association (SBMA) set out key focus areas to strengthen Singapore’s position as a trusted gold trading centre serving the Asia-Pacific region. This will meet the growing interest among investors to vault and trade gold in Singapore. The key focus areas were developed by a Gold Market Development Working Group that MAS and SBMA established in January 2026, building on detailed discussions and studies with industry participants in 2025.
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BankWealth ManagerFamily Office
Stopping for gas − speech by Alan Taylor
Given at the Exante Data 10 Year Anniversary Conference, New York
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BankWealth ManagerFintech
SAMA Commences Licensing of Fintech Companies to Provide Open Banking Services
SAMA Commences Licensing of Fintech Companies to Provide Open Banking Services
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FintechBankPayment Provider
SAMA Licenses “Altknwlwjya aljadydh llhulul albrmjyh” and “lyn tknwlwjyz Company Saudi Arabia litqniyat nuzum almaelumat” to Provide Open Banking Services
SAMA Licenses “Altknwlwjya aljadydh llhulul albrmjyh” and “lyn tknwlwjyz Company Saudi Arabia litqniyat nuzum almaelumat” to Provide Open Banking Services
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FintechPayment Provider
International,Hosting Overseas Regulatory Officials at the Global Financial Partnership Center (28th Program: 12 Banking Regulatory Authorities)
No description available.
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BankAsset ManagerWealth Manager
Circular CSSF-CPDI 26/50
Survey on the amount of covered deposits held on 31 March 2026
AI Analysis
Circular CSSF-CPDI 26/50 mandates a recurring annual survey on the amount of **covered deposits** held as of **31 March 2026** by specified Luxembourg credit institutions, to support the Fonds de garantie des dépôts Luxembourg (FGDL) in meeting Deposit Guarantee Scheme (DGS) requirements under the 2015 Law and DGSD. This matters for compliance as it ensures institutions contribute accurately to the FGDL's buffer (targeting 2% of covered deposits by 2026), with data also feeding into Single Resolution Board (SRB) calculations for resolution funding.
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Bank
Equity for Growth (Securities) Limited enters liquidation
On 25 March 2026, following a petition filed by the FCA, the High Court ordered that Equity for Growth (Securities) Limited (EFG) be wound up. EFG is a corporate finance firm. EFG was also a principal for a number of appointed representatives between 2015 and 2020, including Amyma Ltd and Osborne Baldwin Ltd, which traded as Hunter Jones.An appointed representative carries on regulated activity under the responsibility of an authorised firm, known as 'the principal'. Find more information on ...
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Asset ManagerWealth ManagerBroker Dealer
West Invest Bank - Central Bank of Ireland Issues Warning on Unauthorised Firm
West Invest Bank - Central Bank of Ireland Issues Warning on Unauthorised Firm
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Bank
Walsh Trust Bank - Central Bank of Ireland Issues Warning on Unauthorised Firm
Walsh Trust Bank - Central Bank of Ireland Issues Warning on Unauthorised Firm
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Bank
Take control of your finances, one step at a time
No description available.
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BankWealth ManagerFintech
FCA sets out next phase of smarter, more effective regulation
We have set out plans for using AI to speed up authorisations, testing new tools to identify key risks earlier, with our people remaining at the heart of decision-making. The new authorisation tool is being developed internally and will be integrated into existing FCA systems.It forms part of our annual work programme 2026/27, which lays out how we’re accelerating our ambition to be a smarter, more data-driven regulator.We will also use generative AI to support our efforts to modernise regula...
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BankWealth ManagerFintech
Bank of England streamlines reporting and disclosure requirements for bank failure regime
The Bank of England and Prudential Regulation Authority have finalised a package of changes to firms’ resolution reporting and disclosure requirements which reduces the burden of regulation while maintaining a robust and credible regime that supports growth and competition.
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BankWealth Manager
SS9/17 - Recovery planning
Supervisory Statement 9/17
AI Analysis
**SS9/17 - Recovery Planning** is the PRA's supervisory statement establishing expectations for how UK banks, building societies, and designated investment firms must prepare and maintain recovery plans to ensure financial stability during periods of stress. This guidance supersedes the previous SS18/13 and represents a substantial tightening of recovery planning requirements, making credible, testable, and executable recovery plans a core component of prudential regulation rather than a compliance checkbox.
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BankAll Firms
PS10/26 – Amendments to Resolution Assessment threshold and Recovery Plans review frequency
Policy statement 10/26
AI Analysis
PS10/26 finalizes PRA proposals to raise the Resolution Assessment threshold from £50 billion to £100 billion in retail deposits and reduce recovery plan review frequency for Small Domestic Deposit Takers (SDDTs) from annually to biennially, enhancing proportionality in resolution and recovery frameworks post-financial crisis. These changes reduce regulatory burden on smaller firms while maintaining safety and soundness, directly supporting PRA objectives of competitiveness and growth. Compliance teams must assess scope changes immediately to align reporting and planning cycles.
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Bank
PS11/26 – Disclosure: resolvability resources, capital distribution constraints and the basis for firm Pillar 3 disclosure
Policy statement 11/26
AI Analysis
PS11/26 finalizes PRA rules enhancing Pillar 3 disclosures on resolvability resources (MREL), capital distribution constraints (CDCs), and disclosure basis for UK banks and building societies. It matters because it standardizes information to boost market discipline, user comparability, and confidence in orderly resolution, directly impacting financial stability and compliance reporting. No substantive changes from CP16/25 consultation, with minor clarifications only.
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BankBroker DealerAll Firms
PS9/26 – Resolution planning: Amendments to MREL reporting templates
Policy statement 9/26
AI Analysis
PS9/26 finalizes targeted amendments to MREL reporting templates, including changes to MRL001 and MRL003 data elements and the deletion of MRL002, reducing reporting burdens while maintaining resolution planning oversight. This matters for compliance teams as it streamlines processes under the PRA's Future Banking Data programme, with implementation from 1 January 2027, enabling firms to reallocate resources efficiently.
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Bank
Pedro Machado: From vision to reality: turning the savings and investments union into Europe’s financial cornerstone
No description available.
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BankAsset ManagerBroker Dealer
Quarterly Bulletin No.1 2026: Renewed surge in international energy prices tests domestic economic resilience
Renewed surge in international energy prices tests domestic economic resilience Higher oil and gas prices are expected to lead to lower growth and higher inflation than previously expected. The extent is dependent on the duration of the conflict and the scale of damage to critical infrastructure in the Middle East. MDD is forecast to grow by 2.8 per cent per annum on average from 2026 to 2028 in the baseline forecast, with inflation averaging 2.5 per cent per annum over that period. More seve...
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BankAsset ManagerWealth Manager
Superintendent Routledge to participate in virtual fireside chat at Bank of America Expert Insights Series on March 30, 2026
Superintendent Routledge to participate in virtual fireside chat at Bank of America Expert Insights Series on March 30, 2026
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BankAsset ManagerWealth Manager
Circular CSSF 26/908
Amendment of Circular CSSF 18/703 on the introduction of a semi-annual reporting of borrower related residential real estate indicators
AI Analysis
Circular CSSF 26/908 amends Circular CSSF 18/703 to update semi-annual reporting requirements for borrower-related residential real estate indicators, enhancing supervisory oversight of credit risk in Luxembourg's financial sector. Published today (25 March 2026), it matters for credit institutions as it refines data collection to better monitor real estate lending exposures amid potential market vulnerabilities.
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Bank
FCA plans to help people get more financial advice for important decisions
More people could access financial advice, under proposals set out by FCA. The FCA is consulting on how to make it easier for firms to give more simplified forms of individualised financial advice to consumers.Simplified forms of advice can help consumers with more straightforward needs and do not require a full assessment of all their financial circumstances, making it more accessible and affordable.Sarah Pritchard, deputy chief executive of the FCA, said:'For too long the support people nee...
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Asset ManagerWealth ManagerBank
Anneli Tuominen: Interview with Anneli Tuominen for Die Presse
No description available.
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BankWealth ManagerAll Firms
SFC obtains court order to freeze assets worth up to $219 million belonging to suspected manipulators of KNT shares
No description available.
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BankBroker DealerAsset Manager
Technical FAQ on CSSF Regulation No 20-08 on borrower-based measures for residential real estate credit (track changes) (Updated)
Version of 9 March 2026
AI Analysis
The CSSF Technical FAQ on Regulation No 20-08 provides implementation guidance on **loan-to-value (LTV) limits for residential real estate credit in Luxembourg**, establishing borrower-based macroprudential measures designed to limit leverage in the mortgage market. This guidance is critical for lenders operating in Luxembourg as it clarifies how to calculate own funds, determine LTV compliance, and apply temporary portfolio exemptions that have been extended through June 30, 2025.
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BankFintech
Circular CSSF 18/703 (as amended by Circulars CSSF 20/737, 21/772 and 26/908) (Updated)
on the introduction of a semi-annual reporting of borrower-related residential real estate indicators
AI Analysis
Circular CSSF 18/703 introduces semi-annual reporting requirements for Luxembourg-based lenders on borrower-related residential real estate (RRE) indicators to monitor macroprudential risks in the RRE lending market, in line with ESRB Recommendation 2016/14 (as amended). It matters for compliance because it mandates data collection via a dedicated CSSF template, with exclusions only for banks below EUR 10 million in outstanding RRE exposures, ensuring supervisory oversight of lending standards. The circular has been iteratively amended (CSSF 20/737, 21/772, 26/908), with the latest update on 25 March 2026 refining reporting processes.
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Bank
CSSF Newsletter No 302 – March 2026
No description available.
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BankAsset ManagerWealth Manager
Robustness - speech by Huw Pill
Speech at the National Bank of the Republic of North Macedonia and SUERF conference – Central Banking Amid Persistent Global Shifts: Fostering Stability, Innovation, and Resilience, Skopje
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BankWealth ManagerFintech
J.P. Morgan Asset Management (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
J.P. Morgan Asset Management (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
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Asset ManagerBank
Remarks by Deputy Governor Colm Kincaid to Central Bank of Ireland’s Consumer Protection Workshop – Consumer Protection at the Heart of Our Mission
Good afternoon and welcome to this Central Bank of Ireland workshop on the Consumer Protection Code. Today I will focus on the outlook for consumers and investors. But first let me pause to talk a little about the broader context in which we find ourselves. We are living through a period marked by extraordinary change, geopolitical instability, rapid technological transformation and shifting economic conditions. Governor Makhlouf summarised this well when he said how 2026 has already seen ext...
AI Analysis
Deputy Governor Colm Kincaid's speech on 24 March 2026 emphasizes consumer protection as central to the Central Bank of Ireland's (CBI) mission amid geopolitical, technological, and economic changes, highlighting the revised **Consumer Protection Code 2025** (CPC 2025) as a key modernization effort. This matters for compliance professionals because the CPC 2025 introduces enhanced, digitally-focused protections effective **24 March 2026**, replacing the 2012 Code after a 12-month implementation period, with firms required to proactively secure customer interests.
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BankInsurancePayment Provider
PRA fines The Bank of London and its parent company Oplyse Holdings Limited £2m for failing to act with integrity and misleading the PRA over their capital position
The Prudential Regulation Authority (PRA) has fined The Bank of London Group Limited and Oplyse Holdings Limited (formerly The Bank of London Group Holdings Limited) £2 million for misleading the PRA over their capital positions, failing to act with integrity, failing to be open and cooperative with the regulator and failing to maintain adequate financial resources.
AI Analysis
The Prudential Regulation Authority (PRA) fined The Bank of London Group Limited and its parent Oplyse Holdings Limited £2 million (reduced from £12 million due to financial hardship) for serious breaches including misleading the regulator with fabricated documents on capital positions, failing to act with integrity, lacking openness, and breaching capital and large exposure rules from October 2021 to May 2024. This marks the PRA's first enforcement for integrity failures and first action against a parent holding company, signaling heightened scrutiny on governance, reporting accuracy, and parent-subsidiary accountability in UK banking. Compliance professionals should note this as a precedent reinforcing zero tolerance for deceptive practices, with potential for escalated penalties absent settlement or hardship claims.
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BankFintech
Timing of the FCA's motor finance announcement
We will set out our approach on motor finance redress shortly after markets close on Monday 30 March, having consulted on a compensation scheme in October 2025.
AI Analysis
The FCA is scheduling its announcement on a proposed motor finance redress scheme—addressing historical commission disclosure failures in car loans—for shortly after markets close on Monday, 30 March 2026, following a consultation launched in October 2025. This matters because it signals imminent final rules that could impose up to GBP11 billion in costs on lenders, affecting millions of consumers and requiring urgent operational preparations to ensure timely payouts in 2026.
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BankPayment ProviderAll Firms
BaFin warns consumers about the website panda-financial.com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website panda-financial.com. BaFin has information that the operators are offering banking business and/or financial services as well as cryptoasset services on this website without the required authorisation. The operators of the website are not supervised by BaFin and have no connection to the licensed institution Bitpanda Financial Services GmbH.
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BankCrypto ExchangeFintech
Pedro Machado: Changing the tune but not the tone: synthetic risk transfers in Europe
No description available.
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BankAsset ManagerBroker Dealer
How the Consumer Protection Code Secures Your Interests
The Central Bank of Ireland today (Tuesday 24 March 2026) marked the coming into force of the modernised Consumer Protection Code, giving consumers stronger protections when using banks, insurance companies, and other financial services. The modernised Code has been designed to better protect consumers in today’s world, and in anticipation of how financial services will evolve into the future. It follows extensive public consultation and engagement. Deputy Governor Colm Kincaid said: "The Cen...
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BankInsuranceAll Firms
Patrick Montagner: Physical risks and the role of insurance in risk mitigation
No description available.
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BankInsurance
Patrick Montagner: Making supervision more effective without compromising resilience
No description available.
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BankAsset ManagerWealth Manager
Patrick Montagner: Embracing harmonisation and diversity
No description available.
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BankWealth ManagerAll Firms
Patrick Montagner: Banking supervision in a fragmented credit market: interconnections matter
No description available.
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BankAsset ManagerWealth Manager
Anneli Tuominen: Upgrading banks’ capacity to deal with digital risks
No description available.
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BankFintech
Festgeldplan(.)com: BaFin warns about website and identity fraud
The German Financial Supervisory Authority (BaFin) warns about offers from the website festgeldplan(.)com. According to information available to BaFin, the unknown operators of the website are offering financial services without the required authorisation. They give the impression that their offers originate from WPV Advisory & Asset Management GmbH & Co. KG, which is supervised by BaFin. It is a case of identity fraud. WPV Advisory & Asset Management GmbH & Co. KG has no connection with the ...
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BankWealth ManagerFintech
Wertede: BaFin warns consumers about the services offered on the websites wertede(.)com and wertede(.)cc
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the websites wertede(.)com and wertede(.)cc. According to information available to BaFin, the operator is providing financial and investment services on this website without the required authorisation.
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BankFintechCrypto Exchange
Claudia Buch: Interview with Naftemporiki
No description available.
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BankAsset ManagerWealth Manager
Superintendent Peter Routledge participates in National Bank Annual Conference 2026 fireside chat
Superintendent Peter Routledge participates in National Bank Annual Conference 2026 fireside chat
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BankInsurance
Publication,FSA Weekly Review No.680 March 23, 2026
No description available.
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BankAsset ManagerInsurance
Mr Davy Reinard sworn in by the Minister of Finance as Director Resolution (only in French)
Press release 26/07
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Bank
Aktualisierte Sanktionsmeldung: Ukraine
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat Änderungen der Verordnung vom 4. März 2022 über Massnahmen im Zusammenhang mit der Situation in der Ukraine (SR 946.231.176.72) publiziert.
AI Analysis
The Swiss Federal Department of Economic Affairs, Education and Research (WBF) amended Annex 8 of the Ordinance on Measures in Connection with the Situation in Ukraine (SR 946.231.176.72) on March 19, 2026, removing 7 natural persons from the sanctions list. This update requires financial intermediaries to immediately review and adjust their sanctions screening processes, as it directly impacts asset freeze obligations and reporting under Swiss sanctions regime.
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BankWealth ManagerPayment Provider
MORRISONBOOST: BaFin warns consumers about services offered in WhatsApp groups
The Federal Financial Supervisory Authority (BaFin) warns consumers about WhatsApp groups directing consumers to the MORRISONBOOST platform. In these WhatsApp groups, consumers are encouraged to use the MORRISONBOOST platform to trade in financial instruments. BaFin suspects the unknown operators of conducting banking business and/or offering consumers financial services without the required authorisation. The operators are not supervised by BaFin.
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FintechCrypto Exchange
Consumer Price Developments in February 2026
This February 2026 report contains an update of the latest consumer price developments in Singapore, prepared by MAS and the Ministry of Trade and Industry.
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BankWealth ManagerAsset Manager
Asset Purchase Facility: Gilt Sales – Market Notice 20 March 2026
This Market Notice sets out the schedule for sales in Q2 2026 of gilts held in the Asset Purchase Facility (APF) for monetary policy purposes.
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BankAsset ManagerBroker Dealer
What the (latest) Middle East conflict means for inflation, growth, and monetary policy in Europe
In his latest blog Governor Gabriel Makhlouf explains that the Governing Council held rates steady at 2 per cent due to new geopolitical uncertainty from Middle East tensions, which risk pushing energy prices and headline inflation above the 2 per cent target whilst dampening growth. The Bank will monitor inflation expectations and wage dynamics closely to prevent the energy shock from becoming embedded in persistent above-target inflation, as occurred after the Ukraine crisis.
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BankAsset ManagerWealth Manager
FCA highlights risks when dealing with unregulated lenders
We are reminding regulated firms they need to undertake proper checks when dealing with unregulated lenders, safe custody providers, money brokers and financial leasing companies – also known as 'Annex 1' firms. There are around 1,200 of these firms registered with us for solely anti-money laundering purposes. Our powers are currently limited to looking at how these firms are meeting their anti-money laundering obligations and they are not subject to our wider rulebook. This regime is based o...
AI Analysis
The FCA statement reminds regulated firms to perform robust due diligence on 'Annex 1' firms—unregulated lenders, safe custody providers, money brokers, and financial leasing companies registered solely for AML purposes—due to their limited oversight and heightened financial crime risks. This matters because Annex 1 firms (approx. 1,200) are not subject to FCA's full rulebook, conduct rules, or protections like the Financial Ombudsman Service, exposing regulated firms to contagion risks if they fail to manage interactions properly. Non-compliance could lead to regulatory scrutiny, enforcement, or reputational damage amid FCA's ongoing AML focus.
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BankPayment ProviderAll Firms
Letter from Claudia Buch, Chair of the Supervisory Board, to Mr Nikolas Farantouris, MEP, on banking supervision
No description available.
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Bank
Investigation into Market Financial Solutions Limited
We have opened an enforcement investigation into Market Financial Solutions Limited (MFS). MFS is an Annex 1 business, which is solely registered with and supervised by us for its compliance with the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017.Annex 1 registered firms are not authorised or subject to wider FCA regulation.MFS entered administration on 25 February 2026.
AI Analysis
The FCA has opened an enforcement investigation into Market Financial Solutions Limited (MFS) following the firm's entry into administration on 25 February 2026, amid allegations of serious financial irregularities, fraud, and double-pledging of collateral. This investigation is significant because it represents regulatory scrutiny of an Annex 1 business—a firm with limited FCA oversight—whose collapse exposed structural weaknesses in private credit markets and raised questions about due diligence practices across the financial sector.
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BankAll Firms
Tradealles(.)com: BaFin warns consumers about website and identity fraud
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website tradealles(.)com. BaFin has information that this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
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BankFintechCrypto Exchange
Identity fraud: BaFin warns consumers about the website panthera-gmbh(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website panthera-gmbh(.)com. BaFin suspects the unknown operators of the website of offering consumers financial and investment services without the required authorisation.
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BankWealth ManagerFintech
How technology is changing the pensions conversation
Speech by Nikhil Rathi, FCA chief executive, at the JP Morgan Pensions and Savings Symposium 2026. Last year, I spoke about the importance of getting on the right track.That if we want better consumer outcomes – as well as stronger capital markets to support growth – we need to think beyond individual products and look at the whole financial journey.How pensions interact with housing wealth…How savings interact with advice…And how all these decisions evolve across a lifetime.Over the past yea...
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Asset ManagerBankWealth Manager
FCA orders Beauforce Corporation to stop operating and return client money
We have restricted Beauforce Corporation Limited from carrying out any regulated activities. This means it cannot provide regulated debt advice or debt management services to consumers. We have also ordered the firm to return money held in its bank accounts to its clients.We’ve taken this action following concerns about the suitability of the firm’s senior management and its conduct in dealing with us. Read the full Notice (PDF)
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All Firms
BaFin warns consumers about the website gfi-hold(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website gfi-hold(.)com. BaFin has information that this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
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BankFintechCrypto Exchange
Development of the banks' financial situation over the last years
Situation as at 31 December 2025
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BankWealth ManagerAll Firms
Warning concerning persons misusing the name of the Chair of the CSSF Board
(first publication: 30 October 2024)
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BankWealth ManagerAll Firms
Development of the bank's balance sheet total
Situation as at 31 December 2025
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BankAsset ManagerWealth Manager
Quarterly development of employment in banks
Situation as at 31 December 2025
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BankAsset ManagerWealth Manager
MAS Partners Industry to Develop AI Risk Management Toolkit for the Financial Sector
MAS announced the successful conclusion of phase two of Project MindForge, which culminates in the publication of an Artificial Intelligence (AI) Risk Management Toolkit for the financial services sector.
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BankFintechAsset Manager
International,The fourth meeting of the Japan-UK Financial Regulatory Forum
No description available.
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BankAsset ManagerBroker Dealer
Issue 3 2026
No description available.
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BankBroker DealerCrypto Exchange
Bank Rate maintained at 3.75% - March 2026 Monetary Policy Summary and Minutes
The Bank of England’s Monetary Policy Committee is responsible for making decisions about Bank Rate.
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BankAsset ManagerWealth Manager
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
Legal department - Consumer protection / financial crime (Updated)
Out-of-court consumer complaint resolution
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BankWealth ManagerFintech
Crowdfunding: the AMF reminds platforms of their complaint handling obligations
Asset management Crowdfunding: the AMF reminds platforms of their complaint handling obligations
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Asset ManagerBroker DealerWealth Manager
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
Opening Statement by Colm Kincaid, Deputy Governor of Central Bank of Ireland at the Joint Oireachtas Committee on Finance, Public Expenditure, Public Service Reform and Digitalisation, and Taoiseach
Role of Non-Bank Entities in the Irish Housing Market regarding residential mortgages Go raibh maith agat a Chathaoirligh agus gabhaim buíochas leis an gcoiste as ucht an cuireadh a bheith anseo inniú. I am joined by my colleagues Domhnall Cullinan, Director of Banking and Payments, and Aisling Menton, Head of Retail Credit and we welcome the opportunity to continue this important discussion on the role of non-bank entities in the Irish mortgage market. As outlined in updated figures we publi...
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BankFintechAll Firms
Communication to the investment fund industry
in relation to additional liquidity management requirements for Luxembourg-domiciled UCITS, or where applicable their management company, and Luxembourg-authorised AIFMs that manage open-ended AIFs, introduced by the Law of 3 March 2026, transposing Directive (EU) 2024/927 of the European Parliament and of the Council of 13 March 2024
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Asset ManagerBank
Claudia Buch: Hearing of the Committee on Economic and Monetary Affairs of the European Parliament
No description available.
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BankAsset ManagerWealth Manager
ECB Annual Report on supervisory activities 2025
No description available.
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BankAsset ManagerWealth Manager
FCA confirms new incident and third party rules to bolster resilience
We’ve confirmed new rules to make existing incident and third party reporting clearer, more consistent, and easier for firms to follow. These new rules will help us respond quickly to disruption such as a cyber attack or power outage, give firms greater certainty on what to report and when and strengthen firm resilience to better protect consumers and markets.Cyber attacks are becoming more frequent and more sophisticated, and firms are increasingly reliant on third party providers. In 2025, ...
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BankFintechCrypto Exchange
PS7/26 – Operational resilience: Operational incident and third-party reporting
Policy statement 7/26
AI Analysis
PS7/26 finalizes PRA rules for standardized reporting of operational incidents and material third-party (MTP) arrangements, responding to CP17/24 consultation feedback by reducing firm burden through simplified templates and exclusions. This matters for compliance professionals as it enhances PRA oversight of operational resilience risks amid rising threats and third-party reliance, aligning with international standards like DORA and FSB FIRE while supporting identification of critical third parties (CTPs).
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BankInsuranceAll Firms
SS1/26 – Operational resilience: Incident reporting
Supervisory statement 1/26
AI Analysis
SS1/26 outlines the PRA's expectations for firms to report operational incidents via a structured three-phase process (initial, intermediate, final) as mandated in the PRA Rulebook's Regulatory Reporting Part, Chapter 24, to enhance UK financial sector resilience by capturing incidents risking firm safety, policyholder protection, or stability. This matters because it standardizes reporting, enabling timely PRA oversight and reducing inconsistencies in incident data collection across regulated entities.
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BankInsuranceAll Firms
Circular letter
Latest update on the AML/CFT standardised data collection
AI Analysis
This CSSF circular letter addresses the 2026 AML/CFT standardised data collection exercise, aligning with AMLA's EU-wide initiatives by adopting AMLA-developed templates for most supervised entities while requiring specialised professionals to use CSSF-specific forms. It matters for Luxembourg financial firms as it mandates reporting on ML/TF risks and mitigation measures to support consistent EU supervision, with recent delays emphasizing preparation needs amid evolving templates.
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BankAsset ManagerAll Firms
ECB publishes supervisory banking statistics on significant institutions for the fourth quarter of 2025
No description available.
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BankAsset ManagerWealth Manager
Supervisory Banking Statistics for significant institutions - Fourth quarter 2025
No description available.
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Bank
ASIC launches financial complaints data dashboard
ASIC launches financial complaints data dashboard
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BankWealth ManagerAll Firms
High Court finds in favour of ASIC on an appeal by Sunshine Loans
High Court finds in favour of ASIC on an appeal by Sunshine Loans
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All Firms
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.
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Broker DealerBankAsset Manager
Michael S. Selig, Chairman: 9th Annual DC Blockchain Summit
No description available.
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BankFintechCrypto Exchange
DORA – Register of Information collection - Update
No description available.
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BankWealth ManagerAll Firms
Warning concerning the website www.smtbeurope.com
No description available.
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BankWealth Manager
PRA publishes liquidity reform proposals
The Prudential Regulation Authority has today published proposals aimed at ensuring banks can monetise liquid assets quickly in a fast-paced stress event – such as the collapse of Silicon Valley Bank in 2023.
AI Analysis
The PRA has launched a three-month consultation on modernized liquidity standards designed to ensure banks can rapidly convert liquid assets to cash during stress events, responding directly to lessons from the 2023 collapses of Silicon Valley Bank and Credit Suisse. Rather than requiring banks to hold more liquid assets, the reforms focus on **operationalizing existing liquidity** through enhanced stress testing, removal of exemptions for sovereign bonds, and improved preparedness for central bank facility access.
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BankAsset ManagerInsurance
Modernising the liquidity framework for banks and building societies - speech by Phil Evans
Given at University of Leeds, Cloth Hall Court, Leeds
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BankWealth ManagerAll Firms
CP5/26 – Modernising the liquidity policy framework
Consultation paper 5/26
AI Analysis
CP5/26 is a PRA consultation paper proposing updates to the liquidity policy framework to address modern risks from digital banking, payments, and technology that can amplify liquidity stresses. It matters because it strengthens firms' resilience by emphasizing liquidity resource composition, monetisation risk, and short-term stress scenarios, ensuring firms can meet outflows in acute crises.
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Bank
Council Implementing Regulation (EU) 2026/613 of 16 March 2026
implementing Regulation (EU) No 269/2014 concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine
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BankWealth ManagerAsset Manager
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (March ９, 2026)
No description available.
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BankBroker DealerFintech
Publication,FSA Weekly Review No.679 March 17, 2026
No description available.
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BankFintechPayment Provider
Development of the balance sheet total and provisional net results of specialised PFS
Situation as at 31 January 2026
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BankAsset ManagerWealth Manager
Development of the balance sheet total and provisional net results of support PFS
Situation as at 31 January 2026
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BankAsset ManagerWealth Manager
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.
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Broker DealerAsset ManagerAll Firms
Ben Gully appointed as the next Secretary General of the Basel Committee on Banking Supervision
Ben Gully appointed as the next Secretary General of the Basel Committee on Banking Supervision
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BankAsset ManagerWealth Manager
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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Broker DealerAsset ManagerBank
CFTC Chairman Selig Announces Jessica Harris as Director, Division of Data and Chief Data Officer
No description available.
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BankBroker DealerAll Firms
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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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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BankFintechCrypto Exchange
eDesk – Disruptions on Monday 16 March 2026
No description available.
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BankWealth ManagerFintech
Council Implementing Regulation (EU) 2026/695 of 14 March 2026
implementing Regulation (EU) No 269/2014 concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine
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BankWealth ManagerAsset Manager
SSM Calendar Claude Wampach – 12/2025
No description available.
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BankWealth ManagerAsset Manager
ASIC urges Gen Z to ‘sense-check’ money advice as social media fuels riskier financial decisions
ASIC urges Gen Z to ‘sense-check’ money advice as social media fuels riskier financial decisions
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BankFintechCrypto Exchange
Supreme Court orders Macquarie Securities to pay $35 million penalty in short sale misreporting case
Supreme Court orders Macquarie Securities to pay $35 million penalty in short sale misreporting case
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Broker DealerBank
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (March 3, 2026)
No description available.
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BankBroker DealerFintech
BaFin warns consumers about the series of platforms with the slogan “Smarter trading with zero spreads”
The Federal Financial Supervisory Authority (BaFin) warns consumers about a series of almost identical websites. According to information available to BaFin, the operators use these websites to conduct banking business and/or provide financial services without the required authorisation. The operators of the websites are not supervised by BaFin.
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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...
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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.
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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
ASIC disqualifies Victorian director for maximum 5-year period
ASIC disqualifies Victorian director for maximum 5-year period
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BankWealth ManagerFintech
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 “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
Data as a dialogue – speech by Vicky White
Given at Connect Global Group 4th Annual Treasury and Capital Markets Forum
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BankAsset ManagerWealth Manager
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
Aktualisierte Sanktionsmeldung: Taliban
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung der Liste der sanktionierten natürlichen Personen, Unternehmen und Organisationen der Verordnung vom 21. März 2025 über Massnahmen gegenüber Personen und Gruppen, die mit den Taliban in Verbindung stehen (SR 946.231.07), publiziert.
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BankWealth ManagerAll Firms
VYNEX Trade: BaFin warns against offers in WhatsApp groups and against Lirunex Trading app
The Federal Financial Supervisory Authority BaFin warns against offers in WhatsApp groups, which are operated by alleged company VYNEX Trade. According to information available to BaFin, recommendations for the purchase of financial instruments and cryptocurrencies are offered in various WhatsApp groups, which can allegedly be traded via Lirunex Trading app and the following platforms:
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BankFintechCrypto Exchange
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
Interpretative note
Delay in the 2026 AML/CFT standardised data collection
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BankAsset ManagerWealth Manager
Reporting template
Delay in the 2026 AML/CFT standardised data collection
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BankAsset ManagerWealth Manager
Profit and loss account of credit institutions as at 31 December 2025 (only in French)
Press release 26/06
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BankAsset ManagerWealth Manager
Public Hearings organised by AMLA on 24 March 2026
No description available.
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BankWealth ManagerAll Firms
Reforming cross-border payments – speech by Andrew Bailey
Given at the FSB Payments Summit
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BankPayment ProviderAll Firms
Second charge mortgage firms told to raise standards for consumers
Lenders and brokers in thesecond charge mortgagemarket need toconsiderhow theyadvise customers, assess affordability and charge fees. An FCA review has found that weaknesses in some firms’ practices could put borrowers, particularly those consolidating debt, at increased risk of financial harm.Second charge mortgages are often used by customers with high existing levels of debt and low financial resilience. The FCA’s review found examples of good practice across the sector but also issues tha...
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BankAll Firms
BaFin warns consumers about the website europecapitalmarkets(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website europecapitalmarkets(.)com. BaFin has information that the operators are offering banking business and/or financial services on this website without the required authorisation. The operators are not supervised by BaFin.
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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.
Sectors:
Topics:
BankFintechCrypto Exchange
ASIC disqualifies Simon Raftery from managing corporations for two and a half years
ASIC disqualifies Simon Raftery from managing corporations for two and a half years
Sectors:
Topics:
BankWealth ManagerAll Firms
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
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...
Sectors:
Topics:
BankFintech
Circular letter
Delay in the 2026 AML/CFT standardised data collection
AI Analysis
The CSSF circular letter dated 11 March 2026 announces a delay in its planned AML/CFT standardised data collection exercise originally scheduled for 2026, primarily due to overlap with a concurrent broad-scope data collection by the European Anti-Money Laundering Authority (AMLA). This matters for compliance professionals as it reduces immediate reporting burdens on supervised entities, promotes regulatory simplification, and aligns Luxembourg practices with emerging EU AML/CFT methodologies, allowing firms to redirect resources to the mandatory AMLA exercise.
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Topics:
BankAsset ManagerAll Firms
Remedy Housing officers sentenced for dishonesty offences
Remedy Housing officers sentenced for dishonesty offences
Sectors:
Topics:
BankFintech
Charges discontinued in Capital Mining Limited matter
Charges discontinued in Capital Mining Limited matter
Sectors:
Topics:
BankWealth ManagerAsset Manager
Wildlife to feature on next series of Bank of England banknotes
Images of the UK’s wildlife are to feature on the next series of banknotes following a public consultation run by the Bank of England.
AI Analysis
The Bank of England has announced that **wildlife imagery will replace historical figures on the next series of banknotes**, following a public consultation in which nature received 60% support. This decision represents a significant shift in banknote design policy and carries implications for currency authentication, public engagement, and operational planning across the payments ecosystem.
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Topics:
BankPayment Provider
ECB sanctions Nordea subsidiary for breaching limit on large exposures
No description available.
AI Analysis
The ECB imposed a €2.26 million penalty on Nordea Finance Finland Ltd for incorrectly reporting large exposures by assigning guaranteed receivables to debtors instead of guarantors, breaching the 25% capital limit for 13 quarters from 2021-2024 due to serious negligence and internal control deficiencies. This enforcement action underscores the ECB's strict enforcement of large exposure rules under EU banking regulations, serving as a warning for banks on accurate counterparty identification and robust controls. Compliance professionals must prioritize exposure calculation accuracy to avoid severe penalties classified as "severe" under ECB guidelines.
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Topics:
Bank
Aktualisierte Sanktionsmeldung: Islamische Republik Iran
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung der Anhänge 3, 12, 13 und 14 der Verordnung vom 12. Dezember 2025 über Massnahmen gegenüber der Islamischen Republik Iran (SR 946.231.143.6) publiziert.
AI Analysis
Switzerland's State Secretariat for Economic Affairs (WBF) has updated sanctions targeting the Islamic Republic of Iran, effective March 10, 2026 at 23:00 UTC, modifying annexes 3, 12, 13, and 14 of the Iran sanctions ordinance (SR 946.231.143.6). This represents a comprehensive revision of Iran-related financial restrictions that requires immediate compliance action from all Swiss financial intermediaries to freeze assets, implement prohibitions, and report affected business relationships.
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BankWealth ManagerPayment Provider
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
Publication,FSA Weekly Review No.678 March 10, 2026
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
New speech by Kelvin Wong: Remarks at the Investor and Financial Education Award 2025 Presentation Ceremony
No description available.
Sectors:
Topics:
Asset ManagerWealth ManagerBank
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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Topics:
BankAsset ManagerBroker Dealer
Breakdown according to currency
Situation as at 31 January 2026
Sectors:
Topics:
Asset ManagerBankWealth Manager
Number of UCIs
Situation as at 31 January 2026
Sectors:
Topics:
BankAsset ManagerWealth Manager
Investment policy of UCIs
Situation as at 31 January 2026
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF analyses the typology of participants on the French equity market over the past five years.
Shares Asset management Post-trading infrastructures The AMF analyses the typology of participants on the French equity market over the past five years.
Sectors:
Topics:
Asset ManagerBankBroker Dealer
CFTC Announces Marc H. Sielski as Executive Director
No description available.
Sectors:
Topics:
BankBroker DealerFintech
“Regulating with purpose – outcomes-focused regulation and supervision, a practitioner’s perspective” – Remarks by Deputy Governor McMunn at Outcomes-focused Regulation in Financial Services conference, University College Dublin (UCD)
Good morning everyone, I am delighted to be here for what looks set to be an interesting conference on a topic which is both very close to my heart and central to what we do at Central Bank of Ireland (“the Central Bank”) – as we work to deliver on our mission, and in particular ensuring the financial system is operating in the best interests of consumers and the wider economy. 1 I am particularly delighted to be back in UCD – where I had the pleasure to study economics as an undergraduate, w...
AI Analysis
This speech by Deputy Governor Mary Elizabeth McMunn outlines the Central Bank of Ireland's (CBI) shift toward **outcomes-focused regulation and supervision**, emphasizing five key priorities from the 2026 Regulatory and Supervisory Outlook (RSO) to address geopolitical risks, consumer protection, technology, and resilience in a volatile environment. It matters for compliance professionals as it signals intensified CBI scrutiny on firm behaviors and outcomes rather than mere rule compliance, with direct implications for supervisory engagements, thematic reviews, and enforcement across banking, funds, insurance, and payments sectors.
Sectors:
Topics:
BankAsset ManagerInsurance
Frank Elderson: Nature in decline, economy on the line: the importance of international cooperation for managing nature-related risks
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Brisbane financial advisor and auditor, Sunny Prakash, charged with multiple counts of stealing and fraud
Brisbane financial advisor and auditor, Sunny Prakash, charged with multiple counts of stealing and fraud
Sectors:
Topics:
Wealth Manager
ASIC bans former credit and financial services representative Neil Andrew Cato for 5 years
ASIC bans former credit and financial services representative Neil Andrew Cato for 5 years
Sectors:
Topics:
BankFintech
New speech by Kelvin Wong: Keynote remarks at the Hong Kong Securities and Investment Institute Chairman’s Cocktail
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
MAS-ESS Essay Competition 2026
Singapore, 9 March 2026…The Monetary Authority of Singapore (MAS) and the Economic Society of Singapore (ESS) today launched the MAS-ESS Essay Competition 2026. The theme for this year’s competition is “Singapore’s AI-Driven Economic Future: How can artificial intelligence reshape our industries, workforce, and competitive advantage while ensuring inclusive growth and managing disruption?”.
Sectors:
Topics:
BankWealth ManagerFintech
Licensed Fund Management Company And Its Officers Investigated For Suspected Money Laundering And Suspected Failure To Comply With Obligations As A Licensed Capital Markets Services Licence Holder
The Police and MAS jointly conducted enforcement operations against Capital Asia Investments Pte Ltd and its directors for suspected money laundering offences under Section 54 of the Corruption, Drug Trafficking and Other Serious Crimes (Confiscation of Benefits) Act 1992, and suspected failure to comply with various obligations as a licensed capital markets services licence holder under the Financial Services and Markets Act 2022.
Sectors:
Topics:
Asset ManagerBankBroker Dealer
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (February 27, 2026)
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Additional charges brought against financial services company director
Additional charges brought against financial services company director
Sectors:
Topics:
Wealth ManagerBankFintech
Federal Court finds two Star Entertainment senior executives breached duties, non-executive directors did not breach duties
Federal Court finds two Star Entertainment senior executives breached duties, non-executive directors did not breach duties
Sectors:
Topics:
BankWealth ManagerAll Firms
ASIC files Court action to wind up Liberty Bell Bay after failures to lodge financial reports
ASIC files Court action to wind up Liberty Bell Bay after failures to lodge financial reports
Sectors:
Topics:
BankAsset ManagerWealth Manager
exomarkets(.)pro: BaFin warns consumers about website and identity theft
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website exomarkets(.)pro. According to information available to BaFin, this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankFintechCrypto Exchange
Warning concerning the websites www.goldingfx.com, www.goldingdigital.com and www.goldingdigital.net
No description available.
Sectors:
Topics:
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.
Sectors:
Topics:
BankCrypto Exchange
Oral reply to Parliamentary Question on Singapore dollar Malaysia ringgit exchange rate
Oral reply to Parliamentary Question on Singapore dollar Malaysia ringgit exchange rate
Sectors:
Topics:
BankWealth ManagerAll Firms
FCA announces senior leadership appointments
We have appointed 2 new senior leaders, further strengthening our capability across key areas of our remit. Chris Knight will join us in July 2026 as director of insurance within our Supervision, Policy and Competition (SPC) division. He joins the FCA from Legal & General, where he has been the group chief risk officer for the last 5 years and member of the Group management committee. Prior to this, he was CEO of Legal & General Retail Retirement for 3 years.David Lymburn joined the Payment S...
Sectors:
Topics:
BankInsurance
Pedro Machado: Interview with Reuters
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
PS6/26 – Recognised exchanges policy and transfer of main indices
Policy statement 6/26
AI Analysis
PS6/26 finalizes the PRA's policy on recognized exchanges (REs) under Article 4(1)(72)(c) of the UK CRR, shifting responsibility to firms for assessing exchange and asset liquidity conditions while restating main indices in the PRA Rulebook and revoking SS20/13. This matters for PRA-regulated firms as it enables more dynamic, risk-sensitive capital treatments for traded assets, potentially expanding eligible REs and supporting competitiveness without PRA pre-approval.
Sectors:
Topics:
Bank
Regulators launch GenA.I. Sandbox++ to foster A.I. innovation across financial services
No description available.
Sectors:
Topics:
BankAsset ManagerFintech
Aurenbridge Alliance: BaFin warns consumers about the website aurenbridge(.)com and offers in WhatsApp groups
The Federal Financial Supervisory Authority (BaFin) warns consumers about the website aurenbridge(.)com and WhatsApp groups operated under the company name Aurenbridge Alliance (e.g. “Aurenbridge Alliance (ABA)”). In these WhatsApp groups, consumers are encouraged to use an app called Cryplus to trade in financial instruments and cryptoassets. BaFin suspects the unknown operators of offering consumers financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankFintechCrypto Exchange
SFC obtains compensation and disqualification orders against former executive director of Coolpad Group Limited
No description available.
Sectors:
Topics:
BankBroker DealerAsset Manager
FinrocketPro: BaFin warns consumers about the website finrocketpro(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company FinrocketPro and the services it is offering. BaFin suspects the unknown operators of the website finrocketpro(.)com of offering consumers financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
FintechCrypto Exchange
Identity fraud: BaFin warns consumers about the website unzerfinanzpro(.)de
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website unzerfinanzpro(.)de. BaFin suspects the unknown operators of the website of conducting banking business without the required authorisation. Specifically, the website advertises loans.
Sectors:
Topics:
BankFintechAll Firms
New speech by Julia Leung: Keynote speech at ASIFMA EU-Asia Financial Services Dialogue 2026
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
MAS Sets Supervisory Expectations on Financial Institutions for Transition Planning Practices in addressing Environmental Risk
MAS today issued three Guidelines on Environmental Risk Management - Transition Planning to separately set out MAS’ supervisory expectations for banks, insurers and asset managers to manage the transition and physical risks they and their portfolios face from climate change.
Sectors:
Topics:
BankAsset ManagerInsurance
Warning concerning the website www.parefturn.fund
No description available.
Sectors:
Topics:
BankWealth ManagerFintech
Patrick Montagner: Deepening integration, enhancing scale and completing the Single Market
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Examination of professional competence for “réviseurs d’entreprises” (statutory auditors) – 2025 Session (only in French)
No description available.
Sectors:
Topics:
BankWealth ManagerAll Firms
Motor finance compensation scheme to include implementation period
We'd also streamline the scheme, so millions get compensation in 2026. We're considering over 1,000 responses to our proposals for a compensation scheme for motor finance customers who were treated unfairly.If we proceed with a scheme, we are likely to make several changes. If we do go ahead, we expect to publish final rules in late March. The timing of publication will be outside market hours and we'll confirm the date in advance. Final decisions on the scheme have not yet been made. But to ...
AI Analysis
The FCA is implementing a **streamlined motor finance compensation scheme** to address unfair commission disclosure practices, with final rules expected in late March 2026 and scheme launch in early 2026. This represents a major regulatory intervention affecting approximately 14 million motor finance agreements with estimated total redress costs of £8.2 billion, requiring immediate operational preparation by all lenders and finance providers.
Sectors:
Topics:
BankFintechAll Firms
ASIC cancels Australian credit licence of John Adicho
ASIC cancels Australian credit licence of John Adicho
Sectors:
Topics:
All Firms
ASIC disqualifies NSW director for the maximum period of five years
ASIC disqualifies NSW director for the maximum period of five years
Sectors:
Topics:
BankWealth ManagerAll Firms
Written reply to Parliamentary Question on green, social, sustainability, and sustainability-linked loans
Written reply to Parliamentary Question on green, social, sustainability, and sustainability-linked loans
Sectors:
Topics:
BankAsset ManagerWealth Manager
04 Mar 2026 Read more
04 Mar 2026 Read more
Sectors:
Topics:
BankWealth ManagerFintech
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung der Verordnung vom 21. März 2025 über Massnahmen gegenüber Personen und Organisationen, die mit den Organisationen ISIL (Da'esh) und Al-Kaida in Verbindung stehen (SR 946.231.08) publiziert.
Sectors:
Topics:
BankWealth ManagerAll Firms
Publication,FSA Weekly Review No.677 March 3, 2026
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Publication,Publication of AI Discussion Paper (Version 1.1)
No description available.
AI Analysis
The Financial Services Agency (FSA) has released the **AI Discussion Paper (Version 1.1)**, an updated consultation document addressing the sound utilization of artificial intelligence in Japan's financial sector. This revised version incorporates stakeholder feedback from the FSA AI Public-Private Forum (June-December 2025) and establishes the regulatory foundation for how financial institutions should approach AI governance, risk management, and compliance as AI adoption accelerates.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
BaFin warns consumers about the website imc-point(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website imc-point(.)com. According to information available to BaFin, the operators are offering cryptoasset services on this website without the required authorisation. The operators are not supervised by BaFin.
Sectors:
Topics:
BankCrypto ExchangeFintech
Optinomic: BaFin warns against offers on the website optinomic(.)co
The Federal Financial Supervisory Authority BaFin warns against offers on the website optinomic(.)co. According to information available to BaFin, the operator is providing financial, investment and crypto asset services without the required authorisation.
Sectors:
Topics:
BankCrypto ExchangeFintech
watchvestvermittlung(.)com / wv-vermittlung(.)com: BaFin warns about websites and indicates identity fraud at the expense of Watchvest GmbH
The German Financial Supervisory Authority (BaFin) warns about offers from the websites watchvestvermittlung(.)com and wv-vermittlung(.)com. According to information available to BaFin, the unknown operators of the website are offering banking services, in particular fixed-term deposits, and financial services without the required authorisation. They give the impression that their offers originate from Watchvest GmbH. It is a case of identity fraud. Watchvest GmbH has no connection with the w...
Sectors:
Topics:
BankWealth ManagerFintech
OPBAS identifies areas where anti-money laundering supervisors can improve
The latest report from the Office for Professional Body Anti-Money Laundering Supervision (OPBAS) finds there is still room for improvement. The anti-money laundering supervisors of professional services firms are more effective than at any time since 2018. However, OPBAS remains concerned that their enforcement lacks the teeth to deter firms from falling short of minimum standards.OPBAS’s latest report found Professional Body Supervisors (PBSs) generally continue to demonstrate good levels o...
Effective Date: 31 December 2018
Sectors:
Topics:
BankWealth ManagerAll Firms
CapitalFM: BaFin warns against offers on the website capitalfm(.)io
The Federal Financial Supervisory Authority BaFin warns against offers on the website capitalfm(.)io. According to information available to BaFin, the operator is providing financial and investment services without the required authorisation.
Sectors:
Topics:
BankFintechAll Firms
Statistical Notice 2026/02 - BEEDS user acceptance testing (UAT) environment – Statistical taxonomy v1.3.1 FINAL
Statistical Notices update the definitions and guidance contained in the Banking Statistics Yellow Folder
AI Analysis
This Statistical Notice announces the final User Acceptance Testing (UAT) window for the BEEDS platform using Statistical Taxonomy v1.3.1 FINAL, open from 30 March to 17 April 2026, ahead of live submissions for end-May 2026 data due mid-June 2026. It matters for compliance as it mandates testing for statistical reporting firms and software houses to ensure valid submissions, with successful participation required for software houses to gain recognised status on the BoE's published list, impacting reporting readiness and vendor approvals.
Sectors:
Topics:
BankFintech
Council Implementing Regulation (EU) 2026/489 of 26 February 2026
implementing Regulation (EU) No 208/2014 concerning restrictive measures directed against certain persons, entities and bodies in view of the situation in Ukraine
Sectors:
Topics:
BankWealth ManagerAsset Manager
Council Implementing Regulation (EU) 2026/426 of 26 February 2026
implementing Article 8a of Regulation (EC) No 765/2006 concerning restrictive measures in view of the situation in Belarus and the involvement of Belarus in the Russian aggression against Ukraine
Sectors:
Topics:
BankWealth ManagerAsset Manager
Regulatory Notice 26-05
Regulatory Notice 26-05
Sectors:
Topics:
Broker DealerWealth ManagerBank
Notifications sent by the CSSF to the competent authorities of other EEA Member States
Situation from February 2025 to February 2026
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Notifications received by the CSSF from the competent authorities of other EEA Member States
Situation from February 2025 to February 2026
Sectors:
Topics:
BankAsset ManagerBroker Dealer
CSSF approvals of prospectuses
Situation from February 2025 to February 2026
Sectors:
Topics:
Asset ManagerBankBroker Dealer
Identification of reporting requirements and checks for 2nd level completeness (Updated)
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Written reply to Parliamentary Questions on Visa and Mastercard Fees
Written reply to Parliamentary Questions on Visa and Mastercard Fees
Sectors:
Topics:
BankPayment Provider
The DFSA reminds investors to exercise caution and prudence in periods of…
The DFSA reminds investors to exercise caution and prudence in periods of…
Sectors:
Topics:
Asset ManagerWealth ManagerBank
CFTC Chairman Selig Announces Mel Gunewardena as Director of the Office of International Affairs and Senior Markets Advisor to the Chairman
No description available.
Sectors:
Topics:
Broker DealerBank
CFTC Chairman Selig Announces Alan Brubaker as Director of the Office of Legislative and Intergovernmental Affairs
No description available.
Sectors:
Topics:
BankBroker DealerFintech
Central Bank welcomes publication of OECD Consumer Finance Risk Monitor
New OECD report highlights financial scams as top threat to consumers globally Deputy Governor of the Central Bank of Ireland Colm Kincaid welcomed the publication of the OECD’s Consumer Finance Risk Monitor 2026 , a comprehensive global assessment examining consumer protection challenges across 60 international jurisdictions. Deputy Governor Kincaid emphasised the need for strengthened oversight as structural economic, technological and market-conduct risks converge to significantly elevate ...
Sectors:
Topics:
BankFintechPayment Provider
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.
Sectors:
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.
Sectors:
Topics:
BankWealth ManagerFintech
BaFin warns consumers about the website viforex(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website viforex(.)com. BaFin has information that this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankFintechCrypto Exchange
Getting the right directions − speech by Alan Taylor
Given at the Monetary Policy Mandate Conference at Norges Bank, Oslo
Sectors:
Topics:
BankAsset ManagerWealth Manager
Capitalis (Bank): BaFin warns consumers about the website capitalisgroup(.)site
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Capitalis and the services it is offering. BaFin suspects the unknown operators, who purportedly have their registered office in France, of using the website capitalisgroup(.)site to offer loans to consumers and thus conduct banking business without the required authorisation.
Sectors:
Topics:
BankFintech
Financiamas: BaFin warns consumers about the website financiamas-cs(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Financiamas and the services it is offering. BaFin suspects the unknown operators, who purportedly have their registered office in Madrid, Spain, of using the website financiamas-cs(.)com to offer loans to consumers and thus conduct banking business without the required authorisation.
Sectors:
Topics:
BankFintech
FCA opens authorisation gateway for targeted support
Firms can now apply for permission to provide targeted support. Targeted support is a once in a generation change that will help millions navigate their financial lives. From 6 April 2026, people’s banks, pension providers, or other financial firms that are authorised for targeted support can provide suggestions designed for groups of consumers with common characteristics. This will help them make important decisions across their pensions and investments.We want authorised firms to be ready t...
Sectors:
Topics:
BankWealth Manager
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (February 20, 2026)
No description available.
Sectors:
Topics:
BankBroker DealerCrypto Exchange
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
New speech by Kelvin Wong: Speech at the Chinese New Year Cocktail Reception for Financial Services Industry
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
PRA Regulatory Digest – February 2026
The PRA Regulatory Digest is for people working in the UK financial services industry and highlights key regulatory news and publications delivered for the month.
Sectors:
Topics:
BankInsurance
Investment fund managers
Situation as of 31 December 2025
Sectors:
Topics:
Asset ManagerBank
The CSSF’s supervisory priorities in the area of sustainable finance
Update March 2026
Sectors:
Topics:
Asset ManagerBankWealth Manager
Axoria AI: BaFin warns against offers on the website axoria(.)ai
The Federal Financial Supervisory Authority BaFin warns against offers on the website axoria(.)ai. According to information available to BaFin, the operator is providing financial and investment services without the required authorisation.
Sectors:
Topics:
BankFintechAll Firms
BaFin warns about the series of platforms „Sofortiger Aimex/Saimex Trade“
The Federal Financial Supervisory Authority BaFin warns customers about online trading platforms that use the name “Sofortiger Aimex/ Sofortiger Saimex”. According to information available to BaFin, operators are providing financial and investment services without the required authorisation.
Sectors:
Topics:
BankFintechAll Firms
Temporary closure of Nasdaq Dubai effective Monday, 2 March 2026 and Tuesday, 3…
Temporary closure of Nasdaq Dubai effective Monday, 2 March 2026 and Tuesday, 3…
Sectors:
Topics:
BankBroker DealerFintech
Regulatory Notice 26-06
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 DealerWealth ManagerBank
Comments by MAS on Market Conditions
In response to media queries, MAS said that it is closely monitoring developments arising from the ongoing situation in the Middle East, and is assessing the impact on the domestic economy and financial system.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
DFSA AML and Glossary Modules amendments come into force; FAQs published
DFSA AML and Glossary Modules amendments come into force; FAQs published
Sectors:
Topics:
BankWealth ManagerAsset Manager
DFSA Reminder: Current DFSA Working arrangements – Statement: 1 March 2026
DFSA Reminder: Current DFSA Working arrangements – Statement: 1 March 2026
Sectors:
Topics:
BankWealth ManagerAll Firms
International, FSA, SEC Hold Spring Financial Regulatory Dialogue
No description available.
Sectors:
Topics:
BankBroker DealerCrypto Exchange
Banks,The FSA publishes the status of loans held by all banks as of the end of September 2025, based on the Financial Reconstruction Act
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Publication,Publication of "FSA Analytical Notes (2026.2): Analysis of Human Resource Support by Regional Banks and Shortages of Managerial Talent at Firms" in Japanese
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
SEC, FSA Hold Spring Financial Regulatory Dialogue
The U.S. Securities and Exchange Commission (SEC) and the Financial Services Agency of Japan (FSA) convened the Spring SEC-FSA Financial Regulatory Dialogue in Tokyo on Feb. 27, 2026.The SEC–FSA Dialogue builds upon longstanding efforts between the two…
Sectors:
Topics:
BankAsset ManagerBroker Dealer
FINMA proceedings: MBaer Merchant Bank AG in liquidation
In enforcement proceedings against MBaer Merchant Bank AG that FINMA concluded three weeks ago and which were recently pending before the Swiss Federal Administrative Court, FINMA had withdrawn the bank's licence. As part of the proceedings, FINMA ascertained that the bank does not have an adequate structure in place for combating money laundering, thus enabling clients to circumvent official asset freezes. The bank has now withdrawn its appeal against the FINMA proceedings, meaning that FINM...
Sectors:
Topics:
Bank
Claudia Buch: Banks and competitiveness: promoting competition, protecting resilience
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Braddick to take the helm at the UK’s banking watchdog
Katharine Braddick CB appointed as the next Deputy Governor for Prudential Regulation at the Bank of England and Chief Executive of the Prudential Regulation Authority, succeeding Sam Woods when his term ends in June 2026.
Sectors:
Topics:
BankWealth ManagerAsset Manager
Midvest Limited: warns consumers about the website midv-lim(.)com
The Federal Financial Supervisory Authority BaFin warns against offers on the website midv-lim(.)com. According to information available to BaFin, the operator Midvest Limited from Manchester, UK, is providing financial and investment services without the required authorisation.
Sectors:
Topics:
BankWealth Manager
Reflections on Building Resilience and Anchoring Stability
In his latest blog, the Governor Gabriel Makhlouf reflects on the publication of the Regulatory and Supervisory Outlook 2026 and the recent Access to Cash report.
Sectors:
Topics:
BankPayment Provider
Issue 2 2026
No description available.
Sectors:
Topics:
Asset ManagerBankBroker Dealer
List of supervised entities - Cut-off date 1 January 2026
No description available.
Sectors:
Topics:
Bank
Written reply to Parliamentary Question on New Currency Note Series
Written reply to Parliamentary Question on New Currency Note Series
Sectors:
Topics:
BankWealth ManagerAll Firms
ESMA consults on post-trade risk reduction services under EMIR 3
ESMA consults on post-trade risk reduction services under EMIR 3 26 February 2026 Post Trading The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has launched a consultation on the requirements for how post-trade risk reduction (PTRR) services can benefit from the conditioned exemption from the clearing obligation introduced under the European Market Infrastructure Regulation (EMIR 3). ESMA is seeking feedback on several elements of the ...
AI Analysis
ESMA has launched a consultation on draft Regulatory Technical Standards (RTS) that establish requirements for **post-trade risk reduction (PTRR) services** to qualify for a conditioned exemption from the mandatory clearing obligation under EMIR 3. This framework is critical because it balances market efficiency gains from risk reduction tools against systemic risk concerns, requiring compliance professionals to understand new operational, transparency, and monitoring requirements before the standards take effect.
Sectors:
Topics:
Broker DealerAsset ManagerBank
Measures at MBaer Merchant Bank AG
The US Financial Crimes Enforcement Network (FinCEN) announced today that it considers MBaer Merchant Bank AG to be a financial institution of primary money laundering concern. FINMA is in contact with the bank and FinCEN in connection with the case. The enforcement proceedings previously concluded by FINMA against the bank are currently pending before the Federal Administrative Court. FINMA has appointed an audit agent at the bank.
Sectors:
Topics:
Bank
Directive (EU) 2026/470 of the European Parliament and of the Council of 24 February 2026
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
Court minutes from 2023 that were previously redacted
The Bank's Court of Directors acts as a unitary board, setting the organisation's strategy and budget and taking key decisions on resourcing and appointments. Required to meet a minimum seven times per year, it has five executive members from the Bank and up to nine non-executive members.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Minutes of the Meeting of the Court of Directors held on 9 December 2025
The Bank's Court of Directors acts as a unitary board, setting the organisation's strategy and budget and taking key decisions on resourcing and appointments. Required to meet a minimum seven times per year, it has five executive members from the Bank and up to nine non-executive members.
Sectors:
Topics:
BankAsset ManagerFintech
Sanktionen: Russland und Belarus
Der Bundesrat hat am 25. Februar 2026 beschlossen, die weiteren Massnahmen des 19. Sanktionspakets der Europäischen Union (EU) gegenüber Russland zu übernehmen. Die neuen Massnahmen treten am 26. Februar 2026 in Kraft.
AI Analysis
Switzerland's Federal Council adopted additional measures from the EU's 19th sanctions package against Russia and Belarus on February 25, 2026, effective immediately on February 26, 2026, expanding asset freezes to approximately 2,600 persons, entities, and organizations. This matters for Swiss financial intermediaries as it introduces new prohibitions on crypto services to Russian nationals and firms, transactions with ruble-pegged stablecoins like "A7A5", and extended bans on specialized messaging services for payments, alongside trade restrictions, requiring urgent asset screening and reporting to SECO.
Sectors:
Topics:
BankPayment ProviderCrypto Exchange
Aktualisierte Sanktionsmeldung: Sudan
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung des Anhangs der Verordnung vom 25. Mai 2025 über Massnahmen gegenüber Sudan (SR 946.231.18) publiziert.
AI Analysis
This FINMA publication announces an update to the Swiss sanctions list for Sudan following changes by the UN Sanctions Committee on February 24, 2026, directly incorporated into Switzerland's SESAM database by SECO on February 25, 2026. It matters because financial intermediaries must immediately freeze assets of newly listed parties and report to SECO, while continuing AML due diligence under the GwG (Anti-Money Laundering Act), to avoid enforcement risks from non-compliance with Embargo Act (EmbG) obligations.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Central Bank sets out its regulatory and supervisory priorities against the backdrop of geoeconomic shifts and accelerating technological changes that are reshaping the financial system
The Central Bank has today published its Regulatory & Supervisory Outlook 2026 , which sets out its latest assessment of the risk landscape facing the financial sector and the supervisory work it will undertake in response. This follows on from the Governor’s letter to the Tánaiste on the economic outlook and regulatory priorities in January . This is the third year of the report, which continues to be set against a backdrop of a changing, uncertain and increasingly complex external environme...
AI Analysis
The Central Bank of Ireland (CBI) has published its **Regulatory & Supervisory Outlook 2026**, outlining priorities shaped by geoeconomic fragmentation, technological acceleration, and elevated risks like operational resilience, cyber threats, data/AI, and consumer protection. This matters for compliance professionals as it signals intensified supervisory scrutiny, including desktop and onsite inspections, across Ireland's financial sector to ensure resilience and adaptability amid uncertainties.[https://www.centralbank.ie/news/article/press-release-central-bank-sets-out-its-regulatory-and-supervisory-priorities-26-february-2026][https://www.ogier.com/news-and-insights/insights/regulatory-outlook-2026-the-central-bank-of-ireland-s-priorities-explained/]
Sectors:
Topics:
BankAsset ManagerAll Firms
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
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Asset ManagerBankWealth Manager
SFC bans Andy Lau Ka Ho for life
No description available.
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Broker DealerWealth ManagerBank
ASIC cancels AFS licence of Private Wealth Pty Ltd
ASIC cancels AFS licence of Private Wealth Pty Ltd
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Wealth Manager
Reply to COS Cuts on Adequate Provision of ATMs and VTMs, Mandating the Acceptance of Cash, Sustainability of EQDP and Insurance for Persons with Disabilities
Reply at Committee of Supply 2026 on Adequate Provision of ATMs and VTMs, Mandating the Acceptance of Cash, Sustainability of EQDP and Insurance for Persons with Disabilities
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BankWealth ManagerInsurance
Notice of Amendments to Legislation: February 2026
Notice of Amendments to Legislation: February 2026
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BankWealth ManagerAsset Manager
Councils,The Expert Panel on the Revision of the Corporate Governance Code (2nd meeting) Material
No description available.
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BankAsset ManagerBroker Dealer
SAMA Announces Opening of Applications for “Saudi Economists” Track Under SPP
SAMA Announces Opening of Applications for “Saudi Economists” Track Under SPP
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Bank
The EBA and ESMA consult on revised suitability assessment requirements for banks and investment firms
The EBA and ESMA consult on revised suitability assessment requirements for banks and investment firms 25 February 2026 Investor protection The European Banking Authority (EBA) and the European Securities and Markets Authority (ESMA) today launched a consultation on the revised joint guidelines on the assessment of the suitability of members of the management body and key function holders . The revised guidelines form part of a broader package designed to harmonise suitability assessments and...
AI Analysis
The EBA and ESMA have launched a consultation on revised joint guidelines updating suitability assessments for management body members and key function holders in banks and investment firms, incorporating new requirements from the revised CRD and MiFID II to enhance harmonization and supervisory convergence. This matters for compliance professionals as it introduces mandatory assessments for additional roles, strengthens AML/CFT links, and includes simplifications to reduce burdens, potentially impacting governance processes once finalized and replacing the 2021 guidelines.
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BankBroker DealerAll Firms
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.
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BankWealth Manager
Warning concerning the fraudulent activities carried out by Aisbierg Ennerstetzung Bank
No description available.
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BankWealth Manager
Aktualisierte Sanktionsmeldung: Russland
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat Änderungen des Anhangs 8 der Verordnung vom 4. März 2022 über Massnahmen im Zusammenhang mit der Situation in der Ukraine (SR 946.231.176.72) publiziert.
AI Analysis
On February 23, 2026, Switzerland's State Secretariat for Economic Affairs (SECO) updated Annex 8 of the Ukraine Sanctions Ordinance (SR 946.231.176.72), with changes taking effect on February 24, 2026 at 11:00 PM UTC. This represents the latest iteration of Switzerland's Russia sanctions regime, requiring financial intermediaries to immediately implement new prohibitions, freeze assets of designated persons, and report affected business relationships to SECO—with mandatory additional due diligence under anti-money laundering law if suspicions cannot be resolved.
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BankWealth ManagerPayment 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...
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BankFintechAll Firms
Pedro Machado: New challenges, enduring principles: navigating a complex credit risk landscape
No description available.
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BankAsset ManagerWealth Manager
SFC welcomes Government budget measures to bolster Hong Kong’s role in global finance and national development
No description available.
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BankBroker DealerCrypto Exchange
Warning concerning fraudulent activities by persons misusing the name of MERITUM CAPITAL
No description available.
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BankWealth ManagerAll Firms
Warning concerning the website www.jfl-invest.com
No description available.
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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
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BankWealth ManagerAsset Manager
Misconduct reports to ASIC highlight spike in corporate governance issues
Misconduct reports to ASIC highlight spike in corporate governance issues
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BankWealth ManagerAll Firms
Standardised Model Articles of Incorporation for UCITS (Updated)
No description available.
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Asset ManagerBank
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (February 13, 2026)
No description available.
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BankBroker DealerFintech
Publication,FSA Weekly Review No.676 February 24, 2026
No description available.
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BankAsset ManagerBroker Dealer
Misrepresentations Made By A Non Adgm Entity
Misrepresentations Made By A Non Adgm Entity
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BankWealth ManagerFintech
Warning concerning the website www.capman-holding.com
No description available.
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Asset ManagerWealth ManagerBank
SEC’s Division of Enforcement Announces Updates to Enforcement Manual
The Securities and Exchange Commission’s Division of Enforcement today announced significant updates to its Enforcement Manual. These updates underscore the Commission’s ongoing commitment to fairness, transparency, and efficiency in the investigations…
AI Analysis
The SEC's Division of Enforcement announced updates to its Enforcement Manual on February 24, 2026, focusing on enhancing fairness, transparency, and efficiency in investigations through standardized procedures like the Wells process and settlement considerations. These changes, the first major revisions since 2017, introduce uniform timelines and best practices to streamline resolutions and improve dialogue with investigated parties. Compliance professionals should prioritize this as it directly affects how firms respond to SEC inquiries, potentially accelerating outcomes and reducing uncertainties in enforcement actions.
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Asset ManagerBroker DealerHedge Fund
Central Bank of Ireland publishes first access to cash report
The Central Bank of Ireland has today (24 February) published its first quarterly Access to Cash report . The Finance (Provision of Access to Cash Infrastructure) Act 2025 has put in place a framework to ensure sufficient and effective access to cash across the State. Today’s report uses newly collected data to show the number, location and opening hours of ATMs and cash service points across eight geographical regions in Ireland, as of 31 December 2025. The Minister for Finance set the acces...
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BankPayment Provider
Council Implementing Regulation (EU) 2026/431 of 23 February 2026
implementing Regulation (EU) 2024/1485 concerning restrictive measures in view of the situation in Russia
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BankWealth ManagerAsset Manager
Pedro Machado: Technology is neutral, governance is not: AI adoption in the banking sector
No description available.
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BankAsset ManagerWealth Manager
Identity fraud: BaFin warns against offers on website trade.amlin-limited(.)info
The Federal Financial Supervisory Authority BaFin warns against offers on the website trade.amlin-limited(.)info. According to information available to BaFin, financial or investment services and crypto asset services are being offered on this platform without the required authorisation. According to the current state of knowledge, there is no connection to MS Amlin Investment Management Ltd., based in London, UK. This is likely to be a case of identity fraud.
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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...
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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]
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BankFintechPayment Provider
Polygreen Establishes Regional Holding Company In Adgm
Polygreen Establishes Regional Holding Company In Adgm
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BankWealth ManagerFintech
Written reply to Parliamentary Question on Circulation of Five-Cent Coins
Written reply to Parliamentary Question on Circulation of Five-Cent Coins
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BankPayment ProviderAll Firms
CFTC Chairman Selig Announces Senior Staff Appointments
No description available.
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BankFintechCrypto Exchange
ESMA consults on guarantees as CCP collateral and on certain aspects of CCP investment policy
ESMA consults on guarantees as CCP collateral and on certain aspects of CCP investment policy 23 February 2026 CCP The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has launched a public consultation following the review of the European Market Infrastructure Regulation (EMIR 3). ESMA is encouraging all interested stakeholders, including non-financial counterparties (NFCs), to share their views about: the relevant conditions under which ...
AI Analysis
ESMA has launched a public consultation under EMIR 3 to gather stakeholder input on conditions for CCPs accepting public guarantees, public bank guarantees, and commercial bank guarantees as collateral, eligibility of debt instruments for CCP investment policies, and secured arrangements for emission allowances as margins or default fund contributions. This matters because it permanently broadens eligible collateral types and extends access to NFC clients, enhancing EU CCP efficiency, competitiveness, and accessibility amid liquidity pressures in energy and other markets.
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BankBroker DealerAll Firms
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...
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BankFintechCrypto Exchange
BaFin warns consumers about the websites weisbergadvisors(.)inc and weisbergadvisors(.)ai
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the websites weisbergadvisors(.)inc and weisbergadvisors(.)ai. According to information available to BaFin, these websites are being used to offer financial and investment services without the required authorisation.
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BankWealth ManagerFintech
Covered bond issue programme Authorisation Application Form (only in French)
Conditions relating to the organisation of the credit institution issuing covered bonds
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Bank
Covered bond issue programme Authorisation Application Form
Conditions specific to each covered bond issue programme
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Bank
Launch of a dedicated page for the Luxembourgish covered bonds (“lettres de gage”) framework on the CSSF website
No description available.
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BankWealth Manager
Consumer Price Developments in January 2026
This January 2026 report contains an update of the latest consumer price developments in Singapore, prepared by MAS and the Ministry of Trade and Industry.
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BankWealth ManagerAsset Manager
Influencers fined for issuing unauthorised financial promotions
Seven social media influencers have been sentenced at Southwark Crown Court for their role in the promotion of an unauthorised foreign exchange trading scheme. Biggs Chris, Jamie Clayton, Lauren Goodger, Rebecca Gormley, Yazmin Oukhellou, Scott Timlin and Eva Zapico all pleaded guilty to one count of issuing unauthorised financial promotions.The outcomes were:Lauren Goodger was fined £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...
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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.
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BankFintechAll Firms
ESMA publishes a supervisory briefing on the AAR representativeness obligation
ESMA publishes a supervisory briefing on the AAR representativeness obligation 20 February 2026 CCP The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has published a supervisory briefing on the representativeness obligation linked to the active account requirement (AAR). The briefing sets out ESMA’s supervisory expectations for how counterparties should comply with and report on the AAR representativeness obligation. It provides guidanc...
AI Analysis
ESMA has published supervisory guidance clarifying how counterparties must comply with the **representativeness obligation** under the Active Account Requirement (AAR), a key component of EMIR 3 that mandates EU counterparties maintain active accounts at EU central counterparties (CCPs) and clear representative volumes of derivatives trades. This briefing is critical because market participants and regulators have held conflicting interpretations of the representativeness requirement, creating compliance uncertainty that this guidance now resolves.
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Asset ManagerBroker DealerBank
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...
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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 ...
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BankWealth ManagerFintech
ECB sanctions J.P. Morgan for misreporting capital requirements
No description available.
AI Analysis
The ECB imposed €12.18 million in penalties on J.P. Morgan SE on 19 February 2026 for misreporting risk-weighted assets (RWAs) from 2019-2024 due to misclassification of corporate exposures (15 quarters) and improper exclusion of transactions in credit valuation adjustment (CVA) risk calculations (21 quarters), both attributed to serious negligence and internal control failures. This enforcement action underscores the ECB's focus on accurate prudential reporting, as underreported RWAs led to overstated capital ratios, distorting supervisory oversight of the bank's risk profile and capital adequacy. Compliance teams must prioritize RWA calculation integrity to avoid similar "severe" and "moderately severe" sanctions under the ECB's penalty guide.
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Bank
The Casino case: the Paris Tribunal Correctionnel ruling marks the end of a market abuse case in which the AMF has been heavily involved
MAR Executive & other private individuals Journalists Listed companies and issuers The Casino case: the Paris Tribunal Correctionnel ruling marks the end of a market abuse case in which the AMF has been heavily involved
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BankBroker DealerAsset Manager
Frank Elderson: Interview with Bloomberg
No description available.
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BankAsset ManagerWealth Manager
ESMA publishes list of supplementary deferrals for sovereign bonds
ESMA publishes list of supplementary deferrals for sovereign bonds 19 February 2026 Post Trading The European Securities and Markets Authority (ESMA), together with National Competent Authorities (NCAs), has agreed supplementary deferrals that may be applied on top of the standard Markets in Financial Instruments Regulation (MiFIR) deferral regime for sovereign bonds. ESMA and all NCAs, except the National Bank of Slovakia (NBS), have decided to allow the following supplementary deferrals: fo...
AI Analysis
ESMA has authorized **supplementary deferrals for sovereign bond post-trade transparency**, allowing market participants to omit transaction volumes from immediate publication for medium-sized trades on liquid bonds, with full disclosure required by end-of-day. This measure balances market transparency with liquidity protection in EU sovereign bond markets, effective May 4, 2026, with a compressed implementation timeline requiring immediate compliance planning.
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Broker DealerAsset ManagerBank
Dukas-Global: BaFin warns consumers about the website dukas-global(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Dukas-Global and the services it is offering. BaFin suspects the unknown operators of the website dukas-global(.)com of offering consumers financial, investment and cryptoasset services without the required authorisation.
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BankFintechCrypto Exchange
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.
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BankFintechCrypto Exchange
CP3/26 – PRA rule changes to accommodate HM Treasury’s Overseas Prudential Requirements Regime
Consultation paper 3/26
AI Analysis
The PRA's CP3/26 proposes rule amendments to align its Rulebook with HM Treasury's (HMT) Overseas Prudential Requirements Regime (OPRR), which restates and modifies existing CRR equivalence provisions for treating overseas entities' exposures as preferential "exposures to institutions." This matters for **PRA-authorised firms** as it clarifies capital treatment for cross-border exposures, reduces interpretive burdens, and ensures consistency post-Brexit, advancing the PRA's safety and soundness objective while facilitating HMT designations.
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BankAll 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.
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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.
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BankWealth ManagerAll Firms
Upcoming changes to the Euribor Panel
Upcoming changes to the Euribor Panel 18 February 2026 Benchmarks The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, is issuing a statement on the upcoming changes to the Euribor panel, in its capacity as supervisor of the European Money Market Institute (EMMI), administrator of Euribor. This statement concerns the announcement by EMMI that Barclays Bank PLC (BBPLC), based in the United Kingdom, will withdraw from the Euribor panel. The ...
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BankBroker Dealer
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...
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BankAsset ManagerWealth Manager
Institutions, Anchors, and Their Discontents: The Role of Central Banks - Speech by Governor Gabriel Makhlouf to Blavatnik School of Government
It is a pleasure to be here in Oxford 1 While I’m aware that this is a school of government and I’m a central banker, the two are inextricably linked. Societies and indeed economies are shaped by their institutions, specifically the legal, social, cultural, formal and informal norms that impact the way citizens interact with each other. Successful institutions are those that are trusted by the societies that created them and for which they ultimately serve. Today I am going to resist the oppo...
AI Analysis
Governor Gabriel Makhlouf's speech at the Blavatnik School of Government addresses central bank independence as a foundational institutional mechanism for delivering price stability and economic prosperity, rather than as a shield from accountability. The speech is not a regulatory enforcement action or new requirement, but rather a governance statement clarifying the Central Bank of Ireland's institutional philosophy on independence, credibility, and accountability—matters that directly affect how the CBI exercises supervisory discretion over regulated firms.
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BankAsset ManagerPayment Provider
Circular CSSF 26/907 (only in French)
Exigences applicables au réviseur d’entreprises agréé spécial auprès des établissements de crédit émetteurs de lettres de gage
AI Analysis
Circular CSSF 26/907, published on February 18, 2026, establishes requirements for **approved special statutory auditors (réviseurs d'entreprises agréés spéciaux) serving credit institutions that issue mortgage bonds (lettres de gage)**. This circular formalizes the governance and audit standards applicable to a specialized auditor role within Luxembourg's credit institution framework, ensuring enhanced oversight of entities engaged in mortgage bond issuance.
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Bank
Warning concerning the website www.qatari.xyz
No description available.
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BankWealth ManagerFintech
CSSF Newsletter No 301 – February 2026
No description available.
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BankAsset ManagerWealth Manager
SSM Calendar Claude Wampach – 11/2025
No description available.
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BankAsset ManagerWealth Manager
Omenyxgroup(.)com: BaFin warns consumers about website
The German Financial Supervisory Authority (BaFin) warns against the website omenyxgroup(.)com, which entices consumers to trade crypto assets. According to information available to BaFin, the unknown operators of the website are offering crypto asset services without the required authorisation.
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Crypto ExchangeFintech
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...
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BankFintechCrypto Exchange
Annex of Circular CSSF 22/822
1) high-risk jurisdictions on which enhanced due diligence and, where appropriate, counter-measures are imposed2) jurisdictions under increased monitoring of the FATFVersion of 17 February 2026
AI Analysis
The Annex of Circular CSSF 22/822 (Version of 17 February 2026) is Luxembourg's Commission de Surveillance du Secteur Financier's implementation guidance on FATF (Financial Action Task Force) designations of high-risk jurisdictions requiring enhanced due diligence and counter-measures, as well as jurisdictions under increased monitoring. This document is critical for Luxembourg-regulated financial institutions because it operationalizes international AML/CFT standards into binding compliance obligations, directly impacting customer acceptance, transaction monitoring, and correspondent banking relationships.
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BankAsset ManagerPayment Provider
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.
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BankAsset ManagerWealth Manager
Alain Girard to assume leadership of FINMA’s Banks division
The Board of Directors of the Swiss Financial Market Supervisory Authority FINMA has appointed Alain Girard as the new Head of its Banks division. The current Head of the Recovery and Resolution division will take up his new role on 1 April 2026. He succeeds Thomas Hirschi, who left FINMA at the end of August 2025. Simon Brönnimann, who oversaw the Banks division on an interim basis, will now assume leadership of the Recovery and Resolution division on an interim basis.
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BankWealth ManagerAsset Manager
ASIC commences new review of advice licensees that use lead generation services
ASIC commences new review of advice licensees that use lead generation services
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Asset ManagerWealth ManagerBank
SAMA Seeks Public Consultation on Draft Rules Regulating Cash Center Management and Operation
SAMA Seeks Public Consultation on Draft Rules Regulating Cash Center Management and Operation
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BankPayment Provider
ECB welcomes extension of Frank Elderson’s term as Vice-Chair of the Supervisory Board
No description available.
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BankAll Firms
CP2/26 – Reforms to securitisation requirements
Consultation paper 2/26
AI Analysis
CP2/26 is a PRA consultation paper proposing targeted reforms to UK securitisation rules to reduce prescriptiveness and burden while maintaining prudential soundness, building on recent CRR restatements. It matters for compliance professionals as it streamlines due diligence, risk retention, disclosures, and capital treatments, potentially lowering costs for PRA-authorised firms in the securitisation market amid Basel 3.1 implementation. These changes aim to enhance proportionality without compromising investor protection or oversight.
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BankInsuranceAll Firms
BaFin warns consumers about the series of platforms that claim: “The [platform name] label holds authorization in multiple global jurisdictions and stands as a reputable online brokerage for Forex and CFDs.”
The Federal Financial Supervisory Authority (BaFin) warns consumers about a series of similarly designed websites. According to information available to BaFin, the operators are providing banking business and/or financial services on these websites without the required authorisation. The operators of the website are not supervised by BaFin.
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BankBroker DealerFintech
ASIC cancels AFS licence of Superfast AM Pty Ltd
ASIC cancels AFS licence of Superfast AM Pty Ltd
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Asset ManagerWealth ManagerBroker Dealer
DORA – Submission timeframe for register of information for third-country branches of credit institutions having their head office in a third country
No description available.
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BankPayment Provider
List of issuers of shares and issuers of sovereign debt (Updated)
For which the CSSF is the relevant competent authority under Regulation (EU) No 236/2012 of the European Parliament and of the Council of 14 March 2012 on short selling and certain aspects of credit default swaps
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BankBroker DealerAsset Manager
Superintendent Peter Routledge participates in a fireside chat with Mortgage Professionals Canada
Superintendent Peter Routledge participates in a fireside chat with Mortgage Professionals Canada
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Bank
Publication,FSA Weekly Review No.675 February 16, 2026
No description available.
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BankCrypto Exchange
CSSF Annex – Termination of the operation of a branch under Article 33 of Directive 2011/61/EU (AIFMD)
Version 1
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Asset ManagerBank
CSSF Annex – Termination of the operation of a branch under Article 17 of Directive 2009/65/EC (UCITSD)
Version 1
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Asset ManagerBank
FCA fines former chief executive of Carillion plc (in liquidation)
The FCA has fined Richard Howson £237,700 for his part in misleading statements being issued by Carillion plc. As group chief executive, Mr Howson was aware of serious financial troubles in Carillion’s UK construction business. He failed to reflect this in company announcements or alert its board and audit committee, leading to poor oversight.The fine was imposed after Mr Howson withdrew his challenge to the FCA’s decision.Mr Howson was one of two executive directors on Carillion’s Board. His...
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BankWealth ManagerAll Firms
Summary of AI roundtables - February 2026
The Bank of England held roundtable meetings with representatives from regulated firms on the responsible adoption of artificial intelligence and machine learning (AI and ML), to better understand the constraints that firms may be facing.
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BankAsset ManagerInsurance
Eminent Finance Professor Arvind Krishnamurthy Appointed MAS Distinguished Term Professor at NUS
NUS and MAS have jointly appointed Professor Arvind Krishnamurthy as the MAS Distinguished Term Professor in Economics and Finance from 18 to 28 February 2026.
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BankAsset ManagerBroker Dealer
CSSF Annex to the Notification Letter under Articles 17 and 18 of the UCITS Directive (Updated)
Version 3.1
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Asset ManagerBank
ECB imposes periodic penalty payments on Crédit Agricole for failing to sufficiently identify climate risks
No description available.
AI Analysis
The ECB imposed a €7.55 million periodic penalty payment on Crédit Agricole for failing to complete a climate-related and environmental (C&E) risk materiality assessment by the May 31, 2024 deadline, marking the second enforcement action in the ECB's escalating shift from guidance to active enforcement on climate risk supervision. This enforcement demonstrates that the ECB is moving beyond symbolic warnings to substantial financial penalties, signaling that banks must treat climate risk identification and assessment as mandatory compliance obligations rather than discretionary best practices.
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Bank
Slides from Huw Pill’s fireside chat at Santander UK’s macroeconomic event
Slides by Huw Pill
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BankAsset ManagerWealth Manager
Warning concerning the fraudulent activities carried out by Minea Global Finance SA
No description available.
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BankWealth ManagerFintech
Minutes of the Market Participants Group meeting – 12 February 2026
The Market Participants Group (MPG) is a senior-level forum for financial market participants to share their views on relevant themes and narratives in financial markets with members of the Bank of England’s Monetary Policy Committee.
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BankAsset ManagerBroker Dealer
Charge against NSW director dismissed
Charge against NSW director dismissed
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BankWealth ManagerAll Firms
Net assets of UCIs
Situation as at 31 December 2025
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Asset ManagerBankWealth Manager
Breakdown according to currency
Situation as at 31 December 2025
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Asset ManagerBankWealth Manager
Number of UCIs
Situation as at 31 December 2025
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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
Warning concerning the website www.digitalasset-bank.com
No description available.
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BankFintechCrypto Exchange
Circular letter
AML/CFT standardised data collection taking place in 2026
AI Analysis
The CSSF Circular Letter 2026-02-12 announces a standardized data collection exercise on AML/CFT for supervised entities, scheduled for 2026, aimed at enhancing regulatory oversight of money laundering and terrorist financing risks. This matters because it signals intensified CSSF scrutiny on AML/CFT compliance, requiring firms to prepare structured data submissions that could inform future supervisory actions, risk assessments, and enforcement. As part of broader CSSF AML/CFT initiatives, non-compliance risks fines or heightened inspections.
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BankPayment ProviderAll Firms
Increasing investment sustainably is key for Irish economy - Central Bank of Ireland Deputy Governor Vasileios Madouros
Central Bank of Ireland Deputy Governor Vasileios Madouros spoke at Technological University Dublin on the need to increase domestic investment over the next decade to support Ireland’s long-term economic success. Looking back, Deputy Governor Madouros discussed how, despite very strong economic growth, investment in key domestic sectors has been relatively subdued over the past decade. Looking ahead, like many other countries, Ireland is facing profound economic and societal shifts in years ...
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BankAsset ManagerWealth Manager
Enabling a decade of higher investment – Speech by Deputy Governor Vasileios Madouros at TU Dublin
Over the course of the next decade, we will need to allocate more of our collective resources towards domestic investment. 1 In part, that is because of where we are coming from. Despite very strong economic growth in recent years, investment in key domestic sectors has been lacklustre. But it is also because of where are going. Ireland, like many other countries, is facing profound structural transitions. Navigating these will require additional investment in the years ahead. Raising Ireland...
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BankAsset ManagerWealth Manager
Public warned of impersonation scams claiming SFC affiliation
No description available.
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BankWealth ManagerFintech
ASIC imposes licence conditions on Corpay subsidiary following compliance failures
ASIC imposes licence conditions on Corpay subsidiary following compliance failures
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BankPayment Provider
12 Feb 2026 Read more
12 Feb 2026 Read more
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Broker DealerWealth ManagerBank
Reply to Adjournment Motion on “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
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BankAsset ManagerBroker Dealer
Written reply to Parliamentary Question on Credit Card Fraud Liability and Dispute Resolution
Written reply to Parliamentary Question on Credit Card Fraud Liability and Dispute Resolution
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BankPayment ProviderAll Firms
Written reply to Parliamentary Question on alternative verification methods for medically vulnerable customers
Written reply to Parliamentary Question on alternative verification methods for medically vulnerable customers
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BankFintechAll Firms
Claudia Buch: AMLA and ECB Banking Supervision: strengthening cooperation
No description available.
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BankCrypto ExchangeAll Firms
Measure, Model, Tackle, Tailor: The Bank of England’s approach to assessing and managing climate impacts across its core objectives - speech by James Talbot
Given at the London School of Economics
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BankInsuranceAll Firms
“Cyprus: from crisis to growth”
No description available.
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BankWealth ManagerAll Firms
Report on declared time commitment of non-executive directors in the SSM
No description available.
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BankAsset ManagerWealth Manager
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...
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FintechPayment Provider
ECB appoints Thomas Broeng Jorgensen as Director General Specialised Institutions and Less Significant Institutions
No description available.
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BankAsset Manager
DORA – Submission timeframe for register of information – eDesk Portal open as of 11 February 2026
Submission of the register of information at individual or consolidated level to the CSSF (excluding entities under the direct supervision of the ECB)
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BankAsset ManagerWealth Manager
Guidance for interpretation and resolution of CSSF error messages related to the submission of the DORA register
Guidance allowing financial entities to identify the National Competent Authority to which their register of information has to be submitted.
AI Analysis
This CSSF guidance document, published on 11 February 2026, provides detailed explanations and resolution steps for error messages encountered during the submission of the DORA Register of Information (RoI) via the eDesk portal, specifically for the 2026 submission cycle. It matters because it enables Luxembourg financial entities to ensure compliant submissions amid enhanced validation checks on more data fields, avoiding re-submission delays and supporting timely transmission to the ESAs by CSSF deadlines. Non-compliance risks supervisory scrutiny under DORA's ICT risk management framework.
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BankFintechPayment Provider
finanzpluss: BaFin warns against offers on the website finanzpluss(.)online
finanzpluss, allegedly based in Frankfurt am Main, offers loans on its website for high fees, without the necessary authorisation, which are not paid out.
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BankFintech
Issuers of securities whose home Member State is Luxembourg pursuant to the Law of 11 January 2008
Situation as at 31 January 2026
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BankAsset ManagerBroker Dealer
Notifications sent by the CSSF to the competent authorities of other EEA Member States
Situation from January 2025 to January 2026
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BankAsset ManagerBroker Dealer
Notifications received by the CSSF from the competent authorities of other EEA Member States
Situation from January 2025 to January 2026
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BankAsset ManagerBroker Dealer
CSSF approvals of prospectuses
Situation from January 2025 to January 2026
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Asset ManagerBankBroker Dealer
SFC cautions against ramp and dump schemes involving impersonation of stock commentators
No description available.
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Asset ManagerBroker DealerBank
Reinforcing Resilience, Responding to Change: Priorities for the Year Ahead - Speech by Governor Gabriel Makhlouf to Head of EU Missions
I would like to welcome you all to the Central Bank of Ireland today 1 . We are delighted to host this gathering of EU Heads of Missions, representatives of our friends and partners from across the EU. A little over a year ago I had the pleasure to meet with you all. I spoke then of a geopolitical landscape facing significant strain and complexity; of the rise of economic nationalism and trade disputes; as well as the shift from cooperation to competition, and its impact on our ability to mee...
AI Analysis
This speech by Central Bank of Ireland (CBI) Governor Gabriel Makhlouf outlines priorities for building economic and financial resilience amid geopolitical risks, climate change, technological shifts, and geoeconomic fragmentation, emphasizing domestic policy focus areas like infrastructure, indigenous business growth, and fiscal buffers. It matters for compliance professionals as it previews CBI's forthcoming 2026 regulatory and supervisory priorities, signaling heightened scrutiny on operational and financial resilience, consumer protection, and alignment with a transforming regulatory framework. https://www.centralbank.ie/news/article/speech-governor-makhlouf-head-eu-missions-10-February-2026
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BankAsset ManagerInsurance
Building economic resilience is not optional - Central Bank of Ireland Governor Gabriel Makhlouf
The Central Bank of Ireland has set out its regulatory and supervisory priorities for 2026 and provided detailed advice to Government on building economic resilience in the face of unprecedented uncertainty. In his letter to the Tánaiste and Minister for Finance Simon Harris, Governor Gabriel Makhlouf set out his views on the macro-financial environment, the financial services landscape and the Central Bank of Ireland’s financial regulation priorities for the year ahead . Governor Makhlouf em...
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BankAsset ManagerWealth Manager
Foreign Currency Reserves 2026 – Market Notice 10 February 2026
Not for distribution, directly or indirectly, in or into the United States, Canada, Australia, Japan or any other jurisdiction where it is unlawful to distribute this announcement
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BankBroker DealerAsset Manager
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
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BankFintechAll Firms
Patrick Montagner: Interview with MLex
No description available.
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BankAsset ManagerWealth Manager
SFC obtains compensation and disqualification orders against former directors of Arta TechFin Corporation Limited
No description available.
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BankBroker DealerAsset Manager
Active exploitation of vulnerabilities on Ivanti Endpoint Manager Mobile (EPMM)
CVE-2026-1281 & CVE-2026-1340
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BankWealth ManagerFintech
Former director of NDIS provider charged with dishonesty offences
Former director of NDIS provider charged with dishonesty offences
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BankWealth ManagerFintech
Development of the balance sheet total and provisional net results of specialised PFS
Situation as at 31 December 2025
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BankAsset ManagerWealth Manager
Quarterly development of employment in specialised PFS
Situation as at 31 December 2025
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BankWealth ManagerAsset Manager
Development of the balance sheet total and provisional net results of support PFS
Situation as at 31 December 2025
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BankAsset ManagerWealth Manager
Quarterly development of employment in support PFS
Situation as at 31 December 2025
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BankAsset ManagerWealth Manager
Balance sheet total and net result of support PFS
Situation as at 31 December 2025
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BankAsset ManagerWealth Manager
10 Feb 2026 Read more
10 Feb 2026 Read more
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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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Broker DealerBankWealth Manager
Publication,FSA Weekly Review No.674 February 9, 2026
No description available.
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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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BankFintechCrypto Exchange
CFTC Targets Relationship Investment Scams with National and International Initiatives this Valentine’s Week
No description available.
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BankFintechCrypto Exchange
Warning concerning the website www.jomas-capital.lu
No description available.
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BankWealth ManagerFintech
Foreign Currency Reserves 2026 – Market Notice 9 February 2026
Not for distribution, directly or indirectly, in or into the United States, Canada, Australia, Japan or any other jurisdiction where it is unlawful to distribute this announcement
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BankBroker DealerAsset Manager
Masterminds jailed up to 24 months in securities fraud case involving social media “stock tips” of alleged ramp-and-dump schemes
No description available.
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Broker DealerBank
The Autorité des Marchés Financiers publishes the findings of its inspections of asset management companies' operational risk management
Supervision Asset management Journalists Investment management companies The Autorité des Marchés Financiers publishes the findings of its inspections of asset management companies' operational risk management
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Asset ManagerBank
Green notice 2026/01
Green notices cover significant and/or significant proposals for Bank of England reporting. If any of these proposals are finalised and are to be implemented, they will appear in a statistical notice.
AI Analysis
Green Notice 2026/01 from the Bank of England (BoE) updates the consultation on discontinuing Form BN data collection, which tracks non-resident business by UK Monetary Financial Institutions (MFIs), following positive feedback on burden reduction but with a pause due to Office for National Statistics (ONS) reliance. Firms must continue reporting Form BN indefinitely pending BoE's assessment of alternatives like Forms CC and CL. This matters for compliance teams as it maintains current reporting obligations while signaling potential future relief, avoiding premature process changes.
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Bank
Sharon Donnery: Interview with the Business Post
No description available.
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BankAsset ManagerWealth Manager
ASIC action sees FIIG Securities ordered to pay $2.5 million over cyber security failures
ASIC action sees FIIG Securities ordered to pay $2.5 million over cyber security failures
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Broker DealerWealth ManagerAll Firms
The world today – remarks by Andrew Bailey
Given at the AlUla Conference for Emerging Market Economies 2026
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BankAsset ManagerWealth Manager
Privacy Statement
Privacy Statement
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BankWealth ManagerAsset Manager
Disclaimer
Disclaimer
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FSP Search
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Regulated People and Entities
Regulated People and Entities
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Procurement
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Language Policy and Services
Language Policy and Services
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Financial Services Tribunal
Financial Services Tribunal
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BankAsset ManagerInsurance
PAIA and POPIA Requests
PAIA and POPIA Requests
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Nominee Register
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BankFintechAll Firms
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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.
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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.
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BankFintechAll Firms
A Steady Hand: why the Governing Council held rates at 2 per cent this week
In his latest blog, Governor Gabriel Makhlouf explains why the Governing Council kept its main policy interest rate (the deposit facility rate) unchanged at 2% for the fifth consecutive time since June 2025.
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BankAsset ManagerWealth Manager
Identity fraud: BaFin warns consumers about the company Tradeshark24
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Tradeshark24 and the services it is offering. BaFin suspects the unknown operators of the website tradeshark24(.)com of offering consumers financial, investment and crypto-asset services without the required authorisation. These offers are not provided by Frankfurt Financial Solutions GmbH & Co. KG, Frankfurt, which has no connection to the website tradeshark24(.)com. This is a case of identity fraud.
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BankWealth ManagerFintech
BaFin warns consumers about the website hashxcapital(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website hashxcapital(.)com. BaFin has information that the 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.
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BankFintechCrypto Exchange
FINMA to relocate its Zurich office from the city centre to Oerlikon
More attractive working conditions and lower operating costs per workstation: FINMA will relocate its Zurich office from the city centre to Zurich-Oerlikon in autumn 2026.
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BankAsset ManagerWealth Manager
Update on changes to country groupings for International Banking Statistics
This article provides an update regarding implementing changes for country grouping conventions used in statistics covering the international business of monetary financial institutions operating in the UK and the consolidated claims of UK headquartered monetary financial institutions.
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BankWealth ManagerAll Firms
ASIC cancels AFS and AC licences of Centre Capital Securities for failure to pay industry funding levies
ASIC cancels AFS and AC licences of Centre Capital Securities for failure to pay industry funding levies
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Broker DealerWealth ManagerAll Firms
Regulatory Notice 26-03
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 DealerWealth ManagerBank
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:
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Asset ManagerWealth ManagerBank
Bank Rate maintained at 3.75% - February 2026 Monetary Policy Summary and Minutes
The Bank of England’s Monetary Policy Committee is responsible for making decisions about Bank Rate.
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BankAsset ManagerWealth Manager
Reappointment of Claude Marx as Director General of the CSSF
Press release 26/03
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BankWealth Manager
Online financial frauds and scams in an artificial intelligence world
No description available.
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BankWealth ManagerFintech
ASIC permanently bans former NSW financial adviser David Valvo
ASIC permanently bans former NSW financial adviser David Valvo
Sectors:
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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
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Asset ManagerWealth ManagerBank
Others,Updated English version of Reference Cases on Suspicious Transactions
No description available.
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BankInsuranceAll Firms
DP1/26 – Future banking data
Discussion paper 1/26
AI Analysis
The PRA's DP1/26 outlines its Future Banking Data (FBD) programme, reviewing strategic regulatory reporting for banks to reduce costs, enhance data quality, timeliness, and relevance, while aligning with its secondary competitiveness and growth objective. This discussion paper seeks industry feedback on pragmatic, incremental reforms to reporting templates, processes, and principles, balancing supervisory needs with proportionality. It matters for compliance teams as it signals potential simplifications in data submissions, but requires proactive engagement to influence outcomes and prepare for evolving requirements.
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Bank
Results of the Foreign Exchange Joint Standing Committee (FXJSC) Turnover Survey for October 2025
In October 2025, 25 financial institutions active in the UK foreign exchange (FX) market participated in the semi-annual turnover survey for the Foreign Exchange Joint Standing Committee (FXJSC).
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BankBroker DealerPayment Provider
FCA and SRA issue joint warning to firms representing motor finance commission claims
The FCA and Solicitors Regulation Authority (SRA) have today issued a joint warning to claims management companies (CMCs) and law firms involved in motor finance commission claims to make sure consumers 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...
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BankFintechAll Firms
ASIC urges super trustees to step up and address serious gaps in anti-scam and fraud protections
ASIC urges super trustees to step up and address serious gaps in anti-scam and fraud protections
Sectors:
Topics:
BankWealth ManagerAsset Manager
ASIC permanently bans Patrick Nong from the financial services industry
ASIC permanently bans Patrick Nong from the financial services industry
Sectors:
Topics:
Wealth Manager
Registration form for meetings with UCI Departments of the CSSF (Updated)
No description available.
Sectors:
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BankWealth ManagerAsset Manager
“Singapore’s Grant to the International Monetary Fund’s Trust for the Special Poverty Reduction and Growth Operations for the Heavily Indebted Poor Countries (“PRG-HIPC Trust”), to Support Sudan’s Debt Relief” - Second Motion Speech by Mr Alvin Tan, Minister of State for Ministry of Trade and Indust
“Singapore’s Grant to the International Monetary Fund’s Trust for the Special Poverty Reduction and Growth Operations for the Heavily Indebted Poor Countries (“PRG-HIPC Trust”), to Support Sudan’s Debt Relief” - Second Motion Speech by Mr Alvin Tan, Minister of State for Ministry of Trade and Industry and Ministry of National Development and Board Member of the Monetary Authority of Singapore (MAS), on behalf of Mr Gan Kim Yong, Deputy Prime Minister and Minister for Trade and Industry, and Chai
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BankWealth ManagerAll Firms
“Singapore’s Contributions to the International Monetary Fund” – First Motion Speech by Mr Alvin Tan, Minister of State for Ministry of Trade and Industry and Ministry of National Development and Board Member of the Monetary Authority of Singapore (MAS), on behalf of Mr Gan Kim Yong, Deputy Prime Mi
First Motion Speech by Mr Alvin Tan, Minister of State for Ministry of Trade and Industry and Ministry of National Development and Board Member of the Monetary Authority of Singapore (MAS), on behalf of Mr Gan Kim Yong, Deputy Prime Minister and Minister for Trade and Industry, and Chairman of MAS on 4 February 2026.
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BankAsset ManagerWealth Manager
Written reply to Parliamentary Questions on Buy Now, Pay Later transactions and the maximum purchase limit for those below 21 years old
Written reply to Parliamentary Questions on Buy Now, Pay Later transactions and the maximum purchase limit for those below 21 years old.
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BankFintechPayment Provider
Written reply to Parliamentary Question on delays and non-receipt of transaction alerts for fraudulent transactions
Written reply to Parliamentary Question on delays and non-receipt of transaction alerts for fraudulent transactions.
Sectors:
Topics:
BankFintechPayment Provider
Written reply to Parliamentary Question on clearer regulatory guidance on assigning liability for fraudulent transactions
Written reply to Parliamentary Question on clearer regulatory guidance on assigning liability for fraudulent transactions.
Sectors:
Topics:
BankFintechPayment Provider
Superintendent Routledge participates in a fireside chat at the 2026 CatIQ conference
Superintendent Routledge participates in a fireside chat at the 2026 CatIQ conference
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BankInsurance
The AMF awards its Marie-Josèphe-Vanel thesis prize in law to Vincent Ramonéda
Institutional Regulatory developments Financing the economy Other professionals Journalists Listed companies and issuers The AMF awards its Marie-Josèphe-Vanel thesis prize in law to Vincent Ramonéda
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Asset ManagerBroker DealerBank
Upper Tribunal finds that Banque Havilland devised a plan to harm the Qatari economy
The Upper Tribunal has upheld the FCA’s decision that Rangecourt SA (formerly Banque Havilland), Edmund Rowland, the former London CEO and Vladimir Bolelyy, a former Bank employee, acted without integrity. The Tribunal agreed with the FCA that significant fines should be imposed, deciding that fines of £4m, £352,000 and £14,200 were appropriate for Rangecourt SA, Mr Rowland and Mr Bolelyy respectively. The Tribunal also upheld the FCA’s decision to ban Mr Rowland and Mr Bolelyy from working i...
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BankWealth ManagerAsset Manager
Patrick Montagner: Encouraging innovation, managing risks: the ECB’s approach to digital transformation
No description available.
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BankFintechCrypto Exchange
Publication,FSA Weekly Review No.673 February 3, 2026
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Regulators announce first firms to join Scale-up Unit
The Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) have announced the first cohort of banks and building societies to benefit from their joint Scale-up Unit. The Scale-up Unit announced last year is designed to build stronger ties and provide tailored support for fast-growing and innovative financial firms, helping them to grow sustainably at pace.The 6 firms that expressed interest and have been accepted to the first cohort are:Allica BankClearBankMonument BankNo...
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Topics:
BankFintechAll Firms
Regulators announce first firms to join Scale-up Unit
The Prudential Regulation Authority and Financial Conduct Authority have announced the first cohort of banks and building societies to benefit from their joint Scale-up Unit.
Sectors:
Topics:
BankFintech
Patrick Montagner: Interview with l’Agefi
No description available.
Sectors:
Topics:
BankAsset ManagerInsurance
What do we mean when we say 'fair value'?
What does 'fair value' mean in financial services? It might sound like dry regulator speak, but it’s really asking a simple question – are customers paying a reasonable price for a product, compared to the benefits they get in return?This is not us setting a particular price or level of profit which firms can make. But it's a challenge to firms – can they provide evidence that their customers are getting a fair deal? If they can’t, then they need to look again.This applies across financial se...
AI Analysis
This FCA blog post clarifies the 'fair value' concept under Consumer Duty, emphasizing that firms must evidence a reasonable price-to-benefits relationship without the FCA dictating prices or profits. It matters because it signals ongoing FCA scrutiny and enforcement in sectors like cash savings, investment platforms, and premium finance, with demonstrated consumer savings of £167m annually from interventions. Compliance professionals must prioritize robust fair value assessments to avoid challenges, remedial actions, or enforcement.
Sectors:
Topics:
BankInsuranceAll Firms
03 Feb 2026 Read more
03 Feb 2026 Read more
Sectors:
Topics:
BankWealth ManagerFintech
Written reply to Parliamentary Questions on the Shared Responsibility Framework and real-time fraud detection standards expected of financial institutions in Singapore
Written reply to Parliamentary Questions on the Shared Responsibility Framework and real-time fraud detection standards expected of financial institutions in Singapore.
Sectors:
Topics:
BankFintechPayment Provider
Texas Resident to Pay Over $14 million for Misappropriation of Confidential Information, Illegal Kickbacks
No description available.
Sectors:
Topics:
BankBroker DealerHedge Fund
CFTC Staff Issues Interpretation on Legacy Swap Status
No description available.
Sectors:
Topics:
BankBroker Dealer
Councils,The Expert Panel on the Revision of the Corporate Governance Code (1st meeting) Minutes
No description available.
Sectors:
Topics:
BankWealth ManagerAll Firms
Letter from Ruth Smith on firms’ preparations for the third Resolvability Assessment Framework (RAF) assessment
Letter to Chief Financial Officers of the major UK banks ahead of the third RAF assessment
Sectors:
Topics:
BankAsset ManagerWealth Manager
A study by the AMF finds widespread levels of adoption in artificial intelligence by French financial market participants
Artificial intelligence Innovation Fintech Journalists Investment services providers Investment management companies Listed companies and issuers A study by the AMF finds widespread levels of adoption in artificial intelligence by French...
Sectors:
Topics:
Asset ManagerBankFintech
Frenemies at the gates − speech by Rebecca Jackson
Given at an event hosted by the Association of Foreign Banks
Sectors:
Topics:
BankBroker DealerHedge Fund
SFC forges stronger industry collaboration to shape a compliant and innovative future
No description available.
Sectors:
Topics:
Broker DealerAsset ManagerBank
Talking ’bout next generation − speech by Sarah Breeden
Given at City & Financial Payments Regulation and Innovation Summit 2026
Sectors:
Topics:
BankFintechPayment Provider
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
The role of the FCA and PSR in delivering the National Payments Vision
Speech by David Geale, executive director, payments and digital finance and Payment Systems Regulator (PSR) managing director, at the Payments Regulation and Innovation Summit 2026. A payments system that works for everyoneJust before Christmas I was in Billericay for the opening of the 200th banking hub.I got to chat to local people and business owners about the difference the hub will make to their everyday lives. It was great.Although if I’m honest, the biggest talking point was probably t...
Sectors:
Topics:
BankFintechPayment Provider
PRA Regulatory Digest - January 2026
The PRA Regulatory Digest is for people working in the UK financial services industry and highlights key regulatory news and publications delivered for the month.
Sectors:
Topics:
BankInsurance
Council Implementing Regulation (EU) 2026/259 of 29 January 2026
implementing Regulation (EU) 2024/2642 concerning restrictive measures in view of Russia’s destabilising activities
Sectors:
Topics:
BankAsset ManagerWealth Manager
Director of WA tiling business charged with making false statement
Director of WA tiling business charged with making false statement
Sectors:
Topics:
BankFintechAll Firms
Outcomes of the 2025 SFTR Data Quality indicators review
The CSSF informs the market regarding the outcomes of the SFTR Data Quality indicators review performed in 2025
Sectors:
Topics:
BankBroker DealerPayment Provider
PCAM: BaFin warns against offers on the website pc-asset-management[.]com, in the app “PCAU pro,” and in WhatisApp groups
In the WhatsApp groups, investors are recommended by “Harrison T Blake” and “Francesca Müller” to invest in financial instruments that can then be traded via the aforementioned app or the platform pc-asset-management[.]com.
Sectors:
Topics:
BankWealth ManagerFintech
02 Feb 2026 Read more
02 Feb 2026 Read more
Sectors:
Topics:
BankWealth ManagerFintech
Others,Stewardship Code: List of institutional investors accepted the Principles for Responsible Institutional Investors as of December 31, 2025
No description available.
Sectors:
Topics:
Asset ManagerInsuranceBank
Artificial intelligence: BaFin publishes guidance on ICT risks
The Federal Financial Supervisory Authority (BaFin) has issued its “Guidance on ICT Risks in the Use of Artificial Intelligence at Financial Entities”. The guidance will help entities manage ICT risks in accordance with the requirements under DORA.
AI Analysis
BaFin's "Guidance on ICT Risks in the Use of Artificial Intelligence at Financial Entities," published December 18, 2025, provides non-mandatory advice to help financial entities manage ICT risks from AI under DORA across the AI lifecycle. It matters because it integrates AI explicitly into existing ICT risk frameworks, emphasizing security, resilience, and third-party risks for supervised institutions, aligning with RTS on ICT risk management (EU 2024/1774) and subcontracting (EU 2025/532). This clarifies supervisory expectations amid growing AI adoption in finance, reducing ambiguity in DORA compliance.
Sectors:
Topics:
BankInsuranceAll Firms
Aktualisierte Sanktionsmeldung: Russland
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat Änderungen der Verordnung vom 4. März 2022 über Massnahmen im Zusammenhang mit der Situation in der Ukraine (SR 946.231.176.72) publiziert.
AI Analysis
On January 29, 2026, Switzerland's State Secretariat for Economic Affairs (SECO) reduced the price cap on Russian crude oil from USD 47.6 to USD 44.1 per barrel, effective February 1, 2026. This adjustment tightens existing sanctions enforcement and requires Swiss financial intermediaries to immediately implement updated compliance controls and reporting obligations under the Ukraine Sanctions Ordinance (SR 946.231.176.72).
Sectors:
Topics:
BankPayment ProviderAll Firms
Council Implementing Regulation (EU) 2026/259 of 29 January 2026
implementing Regulation (EU) 2024/2642 concerning restrictive measures in view of Russia’s destabilising activities
Sectors:
Topics:
BankWealth ManagerAsset Manager
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...
Sectors:
Topics:
BankWealth ManagerFintech
AI Live Testing: How it can support safe and responsible AI deployment
AI Live Testing now open for applicationsAt the FCA, we’re providing a structured but flexible space where firms can test AI-driven services in real-world conditions, all with our regulatory support and oversight and help from our technical partner, Advai. Collaboration and communication is at the heart of what we are doing.The first cohort joined AI Live Testing in October last year. We opened a second application window on 19 January 2026 and are now inviting applications.Moving on from 'PO...
AI Analysis
The FCA's AI Live Testing initiative provides a voluntary, structured program for firms with mature AI proofs-of-concept (POCs) to test AI-driven services in controlled real-world environments under regulatory oversight and support from technical partner Advai. This matters because it enables safe progression from 'POC paralysis' to deployment, while helping the FCA gather insights on translating AI principles into consumer and market protections, informing future regulation. Participation enhances firms' governance, risk management, and evaluation frameworks for responsible AI use in financial services.
Sectors:
Topics:
BankFintechInsurance
Getting fit for the future − speech by Afua Kyei
Given at the Audit and Risk Committee Dinner, Undercroft Gallery, Roman Amphitheatre, Guildhall
Sectors:
Topics:
BankAsset ManagerWealth Manager
Cross Agency Steering Group announces Strategic Priorities for 2026-2028
No description available.
Sectors:
Topics:
BankAsset ManagerAll Firms
Media contacts
Media contacts
Sectors:
Topics:
BankWealth ManagerAll Firms
Superintendent Routledge participates in a fireside chat at TD Annual Conference
Superintendent Routledge participates in a fireside chat at TD Annual Conference
Sectors:
Topics:
BankAsset ManagerWealth Manager
Brendan Gunn pleads guilty to dealing with money reasonably suspected of being proceeds of crime
Brendan Gunn pleads guilty to dealing with money reasonably suspected of being proceeds of crime
Sectors:
Topics:
BankWealth ManagerFintech
ESMA signs Memorandum of Understanding with the Reserve Bank of India
ESMA signs Memorandum of Understanding with the Reserve Bank of India 27 January 2026 CCP International cooperation The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has signed a Memorandum of Understanding (MoU) with the Reserve Bank of India (RBI) to facilitate cooperation and exchange of information for the recognition of central counterparties (CCPs) established in India and supervised by RBI. This agreement marks a significant step...
Sectors:
Topics:
BankBroker Dealer
The role of economics during times of major change
In his latest blog, Governor Gabriel Makhlouf argues that economists must adapt their analytical frameworks and expand their focus beyond traditional topics to address emerging challenges—such as geopolitical upheaval and defence spending—in order to provide robust evidence-based policy advice that serves the public interest.
Sectors:
Topics:
BankAsset ManagerWealth Manager
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...
Sectors:
Topics:
BankWealth ManagerFintech
Issue 1 2026
No description available.
Sectors:
Topics:
Asset ManagerBankHedge Fund
The sky’s the limit: shaping the UK’s digital financial future - speech by Sasha Mills
Given at The Tokenisation Summit
Sectors:
Topics:
BankFintechCrypto Exchange
SFC and HKMA jointly consult on standard calculation periods under OTC derivative Clearing Rules
No description available.
Sectors:
Topics:
BankBroker DealerAsset Manager
Aktualisierte Sanktionsmeldung: Haiti
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung des Anhangs der Verordnung vom 16. Dezember 2022 über Massnahmen betreffend Haiti (SR 946.231.139.4) publiziert.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Theresa Hinz, Executive Director of Policy and Risk Response, delivers remarks for OSFI’s Quarterly Release Day
Theresa Hinz, Executive Director of Policy and Risk Response, delivers remarks for OSFI’s Quarterly Release Day
Sectors:
Topics:
BankAsset ManagerWealth Manager
OSFI’s Quarterly Release: continuing to advance smart, well-calibrated risk-taking
OSFI’s Quarterly Release: continuing to advance smart, well-calibrated risk-taking
Sectors:
Topics:
BankAsset ManagerWealth Manager
Backgrounder: Final Liquidity Adequacy Requirements Guideline (2026)
Backgrounder: Final Liquidity Adequacy Requirements Guideline (2026)
AI Analysis
The OSFI Final Liquidity Adequacy Requirements (LAR) Guideline (2026) finalizes revisions to liquidity risk monitoring standards for federally regulated deposit-taking institutions, incorporating feedback from a 2025 consultation to address evolving financial products like partnership deposits and structured notes. It enhances resilience against liquidity stress by clarifying retail funding classifications and aligning with Basel III standards, balancing regulatory burden with institutions' need to innovate and compete. This matters because liquidity ranks as a top risk amid geopolitical tensions, market uncertainty, and rapid cash outflows, directly impacting institutions' ability to meet obligations during stress.
Sectors:
Topics:
Bank
Backgrounder: Consultative document on Senior Leader Accountability
Backgrounder: Consultative document on Senior Leader Accountability
Sectors:
Topics:
BankWealth ManagerAsset Manager
MAS Monetary Policy Statement - January 2026
Read the Monetary Policy Statement for January 2026.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Central Bank of Ireland completes sale of Spencer Dock (East Wing) building to the Office of Public Works
Central Bank of Ireland has successfully completed the sale of its Spencer Dock (East Wing) building to the Office of Public Works for €23.7m. The sale of Spencer Dock was a key element of the Central Bank’s longer term property strategy aligned to our decision to develop a single Dockland Campus through the purchase of our North Wall Quay building and subsequent purchase of our Mayor Street building. This sale of the East Wing, to Office of Public Works on 22 January 2026, follows the earlie...
Sectors:
Topics:
BankAsset ManagerWealth Manager
Looking back on the 2026 CSSF AML/CFT Conference for Specialised PFS
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
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.
Sectors:
Topics:
Crypto ExchangeFintechPayment Provider
2026 AML/CFT Conference dedicated Specialised PFS
No description available.
Sectors:
Topics:
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...
Sectors:
Topics:
Broker DealerAsset ManagerBank
Frank Elderson: Hearing of the Committee on Economic and Monetary Affairs of the European Parliament
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Claudia Buch: Interview with Milano Finanza
No description available.
Sectors:
Topics:
BankWealth ManagerFintech
28 Jan 2026 Read more
28 Jan 2026 Read more
Sectors:
Topics:
BankWealth ManagerFintech
Singapore to Join International Efforts to Support IMF’s Initiatives for Vulnerable Countries
MAS announced that Singapore intends to join international efforts to enhance the capacity of the International Monetary Fund to help vulnerable member countries deal with economic shocks.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Press Conference “Risks in BaFin’s Focus”, 28 January 2026
Opening Statement by Mark Branson
Sectors:
Topics:
BankFintechCrypto Exchange
Councils,Joint session of the 56th general meeting of Financial System Council and the 44th meeting of Sectional Committee on Financial System
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
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.
Sectors:
Topics:
BankWealth ManagerAll Firms
Mills Review to consider how AI will reshape retail financial services
The FCA has launched a review into the implications of advanced AI on consumers, retail financial markets and regulators. The Review will be led by Sheldon Mills and builds on the FCA’s existing work on AI. This includes its AI Discussion Paper, AI Sprint, and AI Lab including AI Live Testing and its groundbreaking Supercharged Sandbox supported by NVIDIA.AI is already embedded across financial services. Rapid advances in generative, agentic and emerging forms of AI mean the next phase of cha...
Sectors:
Topics:
BankWealth ManagerFintech
Publication,FSA Weekly Review No.672 January 26, 2026
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
SFC suspends Choi Sau Wai for seven months
No description available.
Sectors:
Topics:
Broker DealerWealth Manager
SFC suspends Wong Chi Fai for 27 months
No description available.
Sectors:
Topics:
Broker DealerAsset ManagerBank
Electronic Fingerprint Processing
Electronic Fingerprint Processing
Sectors:
Topics:
Broker DealerAsset ManagerWealth Manager
Derivatives and Other Balance Sheet Items (OBS)
Derivatives and Other Balance Sheet Items (OBS)
Sectors:
Topics:
Broker DealerAsset ManagerBank
Cybersecurity
Cybersecurity
Sectors:
Topics:
Broker DealerAsset ManagerBank
Credit for Cooperation
Credit for Cooperation
Sectors:
Topics:
Broker DealerAsset ManagerBank
COVID-19 / Coronavirus
COVID-19 / Coronavirus
Sectors:
Topics:
Broker DealerAsset ManagerBank
Correspondence
Correspondence
Sectors:
Topics:
Broker DealerWealth ManagerAsset Manager
Corporate Financing
Corporate Financing
Sectors:
Topics:
Broker DealerAsset ManagerBank
Corporate Bonds
Corporate Bonds
Sectors:
Topics:
Broker DealerBank
Continuing Education
Continuing Education
Sectors:
Topics:
Broker DealerWealth ManagerAsset Manager
Consolidated Reports
Consolidated Reports
Sectors:
Topics:
Broker DealerAsset ManagerBank
Conflicts of Interest
Conflicts of Interest
Sectors:
Topics:
Broker DealerBankAsset Manager
Compensation
Compensation
Sectors:
Topics:
Broker DealerAsset ManagerWealth Manager
Communications with the Public
Communications with the Public
Sectors:
Topics:
Broker DealerWealth ManagerAsset Manager
Certificates of Deposit (CDs)
Certificates of Deposit (CDs)
Sectors:
Topics:
Broker DealerBankWealth Manager
Cash Equivalents
Cash Equivalents
Sectors:
Topics:
Broker DealerWealth ManagerBank
Carrying Agreements
Carrying Agreements
Sectors:
Topics:
Broker DealerAsset ManagerBank
Business Continuity Planning
Business Continuity Planning
Sectors:
Topics:
Broker DealerBankAsset Manager
Broker-Dealer Recruitment Disclosures
Broker-Dealer Recruitment Disclosures
Sectors:
Topics:
Broker DealerWealth ManagerAll Firms
Breakpoints
Breakpoints
Sectors:
Topics:
Broker DealerWealth ManagerAsset Manager
Branch Offices
Branch Offices
Sectors:
Topics:
Broker DealerWealth ManagerBank
Books and Records
Books and Records
Sectors:
Topics:
Broker DealerAsset ManagerBank
Blue Sheets
Blue Sheets
Sectors:
Topics:
Broker DealerAsset ManagerBank
Block Chain / Distributed Ledger Technology
Block Chain / Distributed Ledger Technology
Sectors:
Topics:
Broker DealerFintechCrypto Exchange
Best Practices
Best Practices
Sectors:
Topics:
Broker DealerAsset ManagerBank
Best Execution
Best Execution
Sectors:
Topics:
Broker DealerAsset ManagerAll Firms
Auction Rate Securities
Auction Rate Securities
Sectors:
Topics:
Broker DealerWealth ManagerAsset Manager
Asset Backed Securities
Asset Backed Securities
Sectors:
Topics:
Broker DealerAsset ManagerBank
Artificial Intelligence
Artificial Intelligence
Sectors:
Topics:
Broker DealerAsset ManagerBank
Arbitration and Mediation
Arbitration and Mediation
Sectors:
Topics:
Broker DealerWealth ManagerBank
Anti-Money Laundering
Anti-Money Laundering
Sectors:
Topics:
Broker DealerBankAsset Manager
Annual Audit
Annual Audit
Sectors:
Topics:
Broker DealerAsset ManagerBank
Alternative Display Facility (ADF)
Alternative Display Facility (ADF)
Sectors:
Topics:
Broker DealerAsset ManagerBank
Alternative and Complex Products
Alternative and Complex Products
Sectors:
Topics:
Broker DealerWealth ManagerAsset Manager
Agency Bonds
Agency Bonds
Sectors:
Topics:
Broker DealerBank
Advertising Regulation
Advertising Regulation
Sectors:
Topics:
Broker DealerAsset ManagerWealth Manager
Regulatory Notice 25-01
Regulatory Notice 25-01
Sectors:
Topics:
Broker DealerBank
Regulatory Notice 25-02
Regulatory Notice 25-02
Sectors:
Topics:
Broker DealerBankAsset Manager
Regulatory Notice 25-03
Regulatory Notice 25-03
Sectors:
Topics:
Broker DealerBankAsset Manager
Regulatory Notice 25-04
Regulatory Notice 25-04
Sectors:
Topics:
Broker DealerWealth ManagerFintech
Regulatory Notice 25-07
Regulatory Notice 25-07
Sectors:
Topics:
Broker DealerAsset ManagerFintech
Special Notice – 5/15/25
Special Notice – 5/15/25
Sectors:
Topics:
Broker DealerAsset ManagerAll Firms
Regulatory Notice 25-09
Regulatory Notice 25-09
Sectors:
Topics:
Broker DealerWealth ManagerBank
Election Notice – 9/4/25
Election Notice – 9/4/25
Sectors:
Topics:
Broker DealerAsset ManagerBank
Regulatory Notice 25-10
Regulatory Notice 25-10
Sectors:
Topics:
Broker DealerBankFintech
Regulatory Notice 25-11
Regulatory Notice 25-11
Sectors:
Topics:
Broker DealerBankAsset Manager
Regulatory Notice 25-12
Regulatory Notice 25-12
Sectors:
Topics:
Broker DealerBank
Regulatory Notice 25-13
Regulatory Notice 25-13
Sectors:
Topics:
Broker DealerWealth ManagerBank
Election Notice – 10/20/25
Election Notice – 10/20/25
Sectors:
Topics:
Broker DealerAsset ManagerAll Firms
Regulatory Notice 25-15
Regulatory Notice 25-15
Sectors:
Topics:
Broker DealerBank
Regulatory Notice 25-16
Regulatory Notice 25-16
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
Regulatory Notice 25-17
Regulatory Notice 25-17
Sectors:
Topics:
Broker DealerAsset ManagerBank
Regulatory Notice 25-18
Regulatory Notice 25-18
Sectors:
Topics:
Broker DealerWealth ManagerBank
Regulatory Notice 26-02
Regulatory Notice 26-02
Sectors:
Topics:
Broker DealerWealth ManagerBank
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.
Sectors:
Topics:
Broker DealerFintechAll Firms
Consumer Duty: International payment pricing transparency – good and poor practice
Good and poor practice
AI Analysis
The FCA's guidance outlines good and poor practices in communicating costs for international money remittance and cross-border payments involving currency conversion, emphasizing transparency under the Consumer Duty to enable informed consumer decisions. It matters because non-compliance risks supervisory action, as the FCA plans future reviews to assess improvements, raising the bar on pricing clarity amid ongoing Duty enforcement.
Sectors:
Topics:
Payment ProviderBankFintech
PS25/19: Improving the complaints reporting process
Consultation papers
AI Analysis
FCA PS25/19 finalizes rules to streamline complaints reporting by replacing multiple existing returns with a single consolidated return, enhancing data quality, consistency, and vulnerability identification while reducing burdens. This matters for compliance teams as it mandates system and process updates to improve regulatory oversight and consumer protection, with implementation required within 12 months.
Sectors:
Topics:
BankInsurancePayment Provider
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.
Sectors:
Topics:
FintechCrypto ExchangePayment Provider
Statement of Policy on statutory investigations into regulatory failure and producing reports [PDF]
Policy and guidance
AI Analysis
The FCA's updated Statement of Policy outlines its approach to statutory investigations into possible regulatory failures under Part 5 of the Financial Services Act 2012, including criteria for triggering investigations and producing reports for HM Treasury. It matters because it clarifies when the FCA must self-scrutinize serious lapses in regulation, helping firms anticipate rare but high-profile probes into systemic issues affecting consumer protection, market integrity, or competition. The primary update adjusts inflation-linked monetary thresholds for assessing "significant" consumer detriment, ensuring the policy remains relevant.
Sectors:
Topics:
Asset ManagerBankInsurance
PS25/23: Tackling non-financial misconduct in financial services
Policy statements
AI Analysis
The FCA's PS25/23 finalizes guidance on tackling **non-financial misconduct (NFM)** in financial services, amending the COCON sourcebook to clarify how serious NFM breaches conduct rules and integrating it into FIT assessments for fitness and propriety. This matters because it aligns rules across banks and non-banks, enhances accountability, deters harmful workplace cultures, and supports FCA objectives like consumer protection and market integrity by ensuring consistent handling of issues like bullying or harassment.
Sectors:
Topics:
Asset ManagerBankInsurance
CP26/2: Financial Services Compensation Scheme – Management Expenses Levy Limit 2026/27
Consultation papers
AI Analysis
The FCA and PRA are consulting on setting the Financial Services Compensation Scheme (FSCS) Management Expenses Levy Limit (MELL) at £113 million for 2026/27, comprising a £108 million management expenses budget (up £4.4 million from 2025/26, broadly in line with inflation) and a £5 million unlevied reserve. This matters because it caps the operating costs (e.g., IT, staff, legal, claims handling) that FCA- and PRA-authorised firms must fund via levies, excluding separate compensation payments, ensuring FSCS efficiency while controlling firm burdens.
Sectors:
Topics:
BankInsuranceAll 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
Sectors:
Topics:
BankWealth ManagerAll Firms
SAMA’s Decision on Repo and Reverse Repo Rates
SAMA’s Decision on Repo and Reverse Repo Rates
Sectors:
Topics:
BankWealth Manager
SAMA Revokes the License of “Fas Finance Company”
SAMA Revokes the License of “Fas Finance Company”
Sectors:
Topics:
BankFintech
SAMA Hosts the FSB Plenary Meeting and EMDEs Forum
SAMA Hosts the FSB Plenary Meeting and EMDEs Forum
Sectors:
Topics:
BankAsset ManagerWealth Manager
SAMA Hosts BIS Innovation Summit
SAMA Hosts BIS Innovation Summit
Sectors:
Topics:
BankFintechCrypto Exchange
SAMA Licenses “Madd Balas” Company to Provide Debt-Based Crowdfunding Solutions
SAMA Licenses “Madd Balas” Company to Provide Debt-Based Crowdfunding Solutions
Sectors:
Topics:
BankFintech
Governor of SAMA: 2026 Budget Aims to Enhance Sustainable Economic Growth in the Kingdom
Governor of SAMA: 2026 Budget Aims to Enhance Sustainable Economic Growth in the Kingdom
Sectors:
Topics:
BankWealth ManagerAsset Manager
ASIC cancels Australian financial services licence of Velos Global Markets Pty Ltd
ASIC cancels Australian financial services licence of Velos Global Markets Pty Ltd
Sectors:
Topics:
Broker DealerWealth ManagerAll Firms
ASIC finds many auditors failing to demonstrate compliance with auditor independence obligations
ASIC finds many auditors failing to demonstrate compliance with auditor independence obligations
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Victorian man sentenced in Cann Group insider trading case
Victorian man sentenced in Cann Group insider trading case
Sectors:
Topics:
BankBroker DealerAsset Manager
ASIC Annual Forum to focus on the challenges of a rapidly evolving economy as it returns to Melbourne in November
ASIC Annual Forum to focus on the challenges of a rapidly evolving economy as it returns to Melbourne in November
Sectors:
Topics:
BankAsset ManagerBroker Dealer
ASIC’s annual report reveals strong growth in enforcement action and investigations and keen focus on strengthening markets
ASIC’s annual report reveals strong growth in enforcement action and investigations and keen focus on strengthening markets
Sectors:
Topics:
BankBroker DealerAsset Manager
ASIC bans former Lighthouse Partners director Timothy Archibald for 10 years for fees for no service conduct
ASIC bans former Lighthouse Partners director Timothy Archibald for 10 years for fees for no service conduct
Sectors:
Topics:
Wealth ManagerAll Firms
ASIC cancels AFS licence of CPG Research & Advisory for ceasing business operations and unpaid industry funding levies
ASIC cancels AFS licence of CPG Research & Advisory for ceasing business operations and unpaid industry funding levies
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC flags risks in offshore outsourcing after review identifies governance gaps
ASIC flags risks in offshore outsourcing after review identifies governance gaps
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Federal Court orders remaining ALAMMC Group companies wound up
Federal Court orders remaining ALAMMC Group companies wound up
Sectors:
Topics:
BankAsset ManagerWealth Manager
Two former Statewide Super executives acquitted on charges of dishonesty offences
Two former Statewide Super executives acquitted on charges of dishonesty offences
Sectors:
Topics:
BankWealth ManagerAsset Manager
Directors of Perth-based financial services company charged over five-year failure to lodge financial accounts with ASIC
Directors of Perth-based financial services company charged over five-year failure to lodge financial accounts with ASIC
Sectors:
Topics:
BankWealth ManagerAll Firms
Collection agency company director loses appeal against conviction for obtaining a financial advantage by deception
Collection agency company director loses appeal against conviction for obtaining a financial advantage by deception
Sectors:
Topics:
All Firms
Queensland director sentenced for making a false or misleading statement to ASIC
Queensland director sentenced for making a false or misleading statement to ASIC
Sectors:
Topics:
BankWealth ManagerAll Firms
ASIC cancels licence of Wealth Trail Pty Ltd (In Liquidation)
ASIC cancels licence of Wealth Trail Pty Ltd (In Liquidation)
Sectors:
Topics:
Wealth ManagerAll Firms
RAMS penalised $20 million for widespread compliance failings regarding home loans
RAMS penalised $20 million for widespread compliance failings regarding home loans
Sectors:
Topics:
BankFintech
ASIC secures interim court orders barring Ferras Merhi from financial services activities
ASIC secures interim court orders barring Ferras Merhi from financial services activities
Sectors:
Topics:
Wealth ManagerAsset ManagerBank
ASIC bans former Crown Wealth Group director Brendan Rodwell for failing to report fees for no service conduct
ASIC bans former Crown Wealth Group director Brendan Rodwell for failing to report fees for no service conduct
Sectors:
Topics:
Wealth ManagerBank
Construction industry director charged with breach of director’s duties and providing false and misleading documents
Construction industry director charged with breach of director’s duties and providing false and misleading documents
Sectors:
Topics:
BankWealth ManagerAsset Manager
Perth fraudster Chris Marco sentenced to 14 years imprisonment
Perth fraudster Chris Marco sentenced to 14 years imprisonment
Sectors:
Topics:
BankWealth ManagerAsset Manager
ASIC highlights financial reporting and audit findings for FY 2024–25 as part of expanded program of work
ASIC highlights financial reporting and audit findings for FY 2024–25 as part of expanded program of work
Sectors:
Topics:
Asset ManagerBankWealth Manager
ASIC cancels AFS licence of Arrumar Private for licence failures
ASIC cancels AFS licence of Arrumar Private for licence failures
Sectors:
Topics:
Asset ManagerBankWealth Manager
ASIC cancels Australian credit licence of GS-APAC Pty Ltd
ASIC cancels Australian credit licence of GS-APAC Pty Ltd
Sectors:
Topics:
BankFintech
Charges against Dean Scook, former officer of Rock Mining Australia Limited, have been discontinued
Charges against Dean Scook, former officer of Rock Mining Australia Limited, have been discontinued
Sectors:
Topics:
BankWealth ManagerAll Firms
Freezing orders against Gregory Cotton and First Mutual Private Equity continue
Freezing orders against Gregory Cotton and First Mutual Private Equity continue
Sectors:
Topics:
BankWealth ManagerAsset Manager
ASIC review raises fresh concerns over risks to retirement savings from poor SMSF advice
ASIC review raises fresh concerns over risks to retirement savings from poor SMSF advice
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC successfully defends special leave application to the High Court by Cigno Australia director Mark Swanepoel and BSF Solutions director Brenton Harrison
ASIC successfully defends special leave application to the High Court by Cigno Australia director Mark Swanepoel and BSF Solutions director Brenton Harrison
Sectors:
Topics:
FintechAll Firms
ASIC drives car finance providers to improve consumer outcomes
ASIC drives car finance providers to improve consumer outcomes
Sectors:
Topics:
BankFintech
Mansa Group director sentenced to imprisonment for more than four years for forgery and dishonesty offences
Mansa Group director sentenced to imprisonment for more than four years for forgery and dishonesty offences
Sectors:
Topics:
BankWealth ManagerAsset Manager
ASIC disqualifies NSW hospitality director for five years
ASIC disqualifies NSW hospitality director for five years
Sectors:
Topics:
BankFintechAll Firms
ASIC announces 2026 enforcement priorities
ASIC announces 2026 enforcement priorities
Sectors:
Topics:
BankAsset ManagerInsurance
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
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
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
Banned SMSF Auditor charged with continuing to act whilst disqualified and falsifying documents
Banned SMSF Auditor charged with continuing to act whilst disqualified and falsifying documents
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC takes contempt action against David McWilliams and Laura Fullarton over alleged freezing order breaches
ASIC takes contempt action against David McWilliams and Laura Fullarton over alleged freezing order breaches
Sectors:
Topics:
BankWealth ManagerFintech
ASIC suspends AFS licence of Focused Financial Advice following failure to replace key person
ASIC suspends AFS licence of Focused Financial Advice following failure to replace key person
Sectors:
Topics:
Wealth Manager
ASIC calls on Australian companies to adopt better practices to protect whistleblowers
ASIC calls on Australian companies to adopt better practices to protect whistleblowers
Sectors:
Topics:
BankWealth ManagerAll Firms
ASIC issues 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
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 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
Federal Court orders $925,000 in penalties against RM Capital and SMSF Club for conflicted remuneration breaches
Federal Court orders $925,000 in penalties against RM Capital and SMSF Club for conflicted remuneration breaches
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Federal Court orders $250 million combined penalties against ANZ
Federal Court orders $250 million combined penalties against ANZ
Sectors:
Topics:
BankWealth ManagerAll Firms
Pump and dump scammers put regulators on high alert
Pump and dump scammers put regulators on high alert
Sectors:
Topics:
Broker DealerFintechAll Firms
ASIC sues BDO Audit and its director Dean Just alleging materially false or misleading audit reports
ASIC sues BDO Audit and its director Dean Just alleging materially false or misleading audit reports
Sectors:
Topics:
BankWealth Manager
ASIC suspends Australian credit licence of Transitional Funding Pty Ltd
ASIC suspends Australian credit licence of Transitional Funding Pty Ltd
Sectors:
Topics:
All Firms
Directors of collapsed agri-businesses linked to corruption scandal disqualified for maximum 5-year period
Directors of collapsed agri-businesses linked to corruption scandal disqualified for maximum 5-year period
Sectors:
Topics:
BankWealth ManagerAsset Manager
Richard Ernest Auricht’s liquidator registration cancellation overturned on appeal, substituted with five-year suspension
Richard Ernest Auricht’s liquidator registration cancellation overturned on appeal, substituted with five-year suspension
Sectors:
Topics:
BankWealth ManagerAll Firms
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
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
Forks in the Curve: whether and how to respond to monetary policy divergence - speech by Megan Greene
Given at the Resolution Foundation
Sectors:
Topics:
BankAsset ManagerBroker Dealer
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
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
Letter from Claudia Buch, Chair of the Supervisory Board, to Mr Bas Eickhout, MEP, on banking supervision
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
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
Closing of the 2025 accounts: the AMF flags up points for vigilance and issues recommendations
Financial disclosures & corporate financing Periodic & ongoing disclosures Reporting ESEF Closing of the 2025 accounts: the AMF flags up points for vigilance and issues recommendations
Sectors:
Topics:
BankBroker DealerAsset Manager
List of members of the Consultative Committee for Prudential Regulation (Updated)
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
List of members of the Consultative Committee for the Audit Profession (Updated)
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
List of members of the Capital Markets Committee (Updated)
No description available.
Sectors:
Topics:
BankBroker Dealer
List of members of the Board (Updated)
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
List of members of the Executive Board (Updated)
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
CSSF organisation chart (Updated)
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
Monitoring the quality of transaction reports received under Article 26 of MiFIR
Press release 26/02
Sectors:
Topics:
BankBroker Dealer
bb-consults(.)com: BaFin warns consumers about website and identity fraud
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website bb-consults(.)com. BaFin has information that this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
FintechCrypto ExchangeAll Firms
CSSF Newsletter No 300 - January 2026
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
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
SFC obtains $595 million compensation order and disqualification orders up to 15 years against three former directors and senior executives of Superb Summit International Group Limited
No description available.
Sectors:
Topics:
BankBroker DealerAsset Manager
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (January 9, 2026)
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
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
Resolution Reporting Requirements - track changes
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
BaFin product intervention regarding turbo certificates
No description available.
Sectors:
Topics:
BankBroker DealerAsset Manager
Keith E. Cassidy Named Director of the Division of Examinations
The Securities and Exchange Commission today announced that Keith E. Cassidy has been appointed Director of the Division of Examinations. Mr. Cassidy has served as Acting Director since May 2024 and previously was the division’s Deputy Director, Acting…
Sectors:
Topics:
BankBroker DealerAsset Manager
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.
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Topics:
BankFintechPayment Provider
Publication,FSA Weekly Review No.671 January 20, 2026
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Circular CSSF 26/905
Application of the Guidelines of the European Banking Authority on the management of environmental, social and governance (ESG) risks (EBA/GL/2025/01)
AI Analysis
Circular CSSF 26/905 mandates the application of EBA Guidelines (EBA/GL/2025/01) on managing **ESG risks** for Luxembourg-supervised institutions, requiring integration of environmental, social, and governance risk identification, measurement, management, and monitoring into internal processes. This aligns with CRD amendments (Articles 74, 76, 87a) and emphasizes proportionality to institutions' business models, with plans including timelines, targets, and milestones toward EU climate goals like net-zero by 2050. It matters for compliance as it embeds ESG into prudential supervision, potentially impacting capital, risk frameworks, and supervisory reviews.
Sectors:
Topics:
BankAll Firms
The AMF publishes the findings of its inspections on the role and involvement of the compliance function at investment services providers
Supervision Compliance Journalists Investment services providers The AMF publishes the findings of its inspections on the role and involvement of the compliance function at investment services providers
Sectors:
Topics:
BankAsset ManagerBroker Dealer
PS1/26 – Implementation of Basel 3.1: Final rules
Policy statement 1/26
AI Analysis
PS1/26 represents the UK Prudential Regulation Authority's final implementation framework for the Basel 3.1 international banking standards, effective 1 January 2027 (with market risk internal models delayed to 1 January 2028). This policy statement establishes mandatory capital, credit risk, operational risk, and market risk requirements for UK-regulated banks, building societies, and investment firms, addressing post-financial crisis shortcomings in risk-weighted asset (RWA) calculations and capital adequacy frameworks.
Action Required
The Prudential Regulation Authority (PRA) has published the final rules for the implementation of Basel 3.1 standards in the UK, with an effective date of January 1, 2027. The rules aim to enhance the resilience of banks and improve the stability of the financial system. Firms must review and update their policies and procedures to ensure compliance with the new requirements.
Sectors:
Topics:
BankBroker DealerAsset Manager
PS2/26 – Retiring the refined methodology to Pillar 2A – final
Policy Statement 2/26
AI Analysis
The PRA's PS2/26 finalizes the retirement of the "refined methodology" in Pillar 2A capital requirements, effective 1 January 2027, aligning with Basel 3.1 implementation to simplify the framework by eliminating an operationally burdensome adjustment originally designed to address conservatism in the standardized approach (SA) to credit risk. This matters for compliance professionals as it reduces complexity in ICAAP and SREP processes, with expected neutral aggregate capital impact, though firm-specific effects may vary and require supervisory engagement.
Action Required
The Prudential Regulation Authority (PRA) has finalized the policy to retire the refined methodology to Pillar 2A, which will take effect on January 1, 2027, aligning with the implementation of the Basel 3.1 standards. This change affects all PRA-regulated banks, building societies, and designated investment firms. The refined methodology will no longer apply to these firms, including Small Domestic Deposit Takers (SDDTs), as they will be subject to the Basel 3.1 standardized approach to credit risk.
Sectors:
Topics:
Bank
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
Resolution Reporting Requirements (Updated)
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Deactivated validation rules and EBA small validation packages COFREP (Updated)
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Applications now open for next round of FCA’s AI Live Testing
We have opened applications for the second cohort of our AI Live Testing service. AI Live Testing is the first of its kind in the financial sector to help firms who are ready to use AI in UK financial markets. Participating firms receive tailored support from our regulatory team and our technical partner Advai to develop, assess and deploy safe and responsible AI.The service helps firms to consider key questions around evaluating AI including governance, risk management and monitoring to help...
Sectors:
Topics:
BankFintechAsset Manager
Sharon Donnery: The ECB’s approach to simplification in banking regulation and supervision
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Tribunal upholds ban and fines for corrupt and dishonest adviser
The FCA's decision to ban Darren Antony Reynolds from working in financial services and fine him £2,037,892 has been upheld by the Upper Tribunal. The FCA's decision to ban Darren Antony Reynolds from working in financial services and fine him £2,037,892 has been upheld by the Upper Tribunal.Mr Reynolds was dishonest when he gave pension transfer advice and investment recommendations to his customers, causing them significant harm.Mr Reynolds showed a clear disregard for his customers’ intere...
Sectors:
Topics:
Wealth ManagerAll Firms
SAMA Decision on Repo and Reverse Repo Rates
SAMA Decision on Repo and Reverse Repo Rates
Sectors:
Topics:
BankWealth Manager
SAMA Updates Implementing Regulation of Finance Companies Control Law
SAMA Updates Implementing Regulation of Finance Companies Control Law
Sectors:
Topics:
BankFintechPayment Provider
SAMA Issues Fees Guide for Financial Institutions’ Services
SAMA Issues Fees Guide for Financial Institutions’ Services
Sectors:
Topics:
BankPayment Provider
SAMA Introduces Electronic Check Clearing System (ECCS) Service on its Website
SAMA Introduces Electronic Check Clearing System (ECCS) Service on its Website
Sectors:
Topics:
BankFintechPayment Provider
ADGM Academy Hosts groundbreaking activities under the theme “Bridging Knowledge & Building the Nation” at ADFW 2025
ADGM Academy Hosts groundbreaking activities under the theme “Bridging Knowledge & Building the Nation” at ADFW 2025
Sectors:
Topics:
BankWealth ManagerFintech
‘Courage’ Takes Centre Stage at RESOLVE 2025 as Experts Tackle Dispute Resolution in a Digital Era
‘Courage’ Takes Centre Stage at RESOLVE 2025 as Experts Tackle Dispute Resolution in a Digital Era
Sectors:
Topics:
BankWealth ManagerFintech
J.P. Morgan accelerates growth with full-scale Treasury services in ADGM
J.P. Morgan accelerates growth with full-scale Treasury services in ADGM
Sectors:
Topics:
BankWealth Manager
USD 9 Trillion in Assets Commit to ADGM as Abu Dhabi Finance Week Redefines Global Capital Flows
USD 9 Trillion in Assets Commit to ADGM as Abu Dhabi Finance Week Redefines Global Capital Flows
Sectors:
Topics:
Asset ManagerBankWealth Manager
UAE Sustainable Finance Working Group Publishes Fourth Statement During Abu Dhabi Finance Week 2025
UAE Sustainable Finance Working Group Publishes Fourth Statement During Abu Dhabi Finance Week 2025
Sectors:
Topics:
Asset ManagerBankWealth Manager
ADGM Registration Authority Publishes New Commercial Permits Rules for Events, Sales and Promotions and Temporary Commercial Activity
ADGM Registration Authority Publishes New Commercial Permits Rules for Events, Sales and Promotions and Temporary Commercial Activity
Sectors:
Topics:
BankWealth ManagerFintech
ADFW 2025 Delivers its Most Successful Edition, Showcasing Abu Dhabi’s Next Decade of Growth with Over 35,000 Attendees
ADFW 2025 Delivers its Most Successful Edition, Showcasing Abu Dhabi’s Next Decade of Growth with Over 35,000 Attendees
Sectors:
Topics:
BankWealth ManagerFintech
APIAC and Opus 2 Announce Office Openings in the ADGM Dispute Resolution Hearing Centre as Abu Dhabi’s Dispute Resolution Community Expands
APIAC and Opus 2 Announce Office Openings in the ADGM Dispute Resolution Hearing Centre as Abu Dhabi’s Dispute Resolution Community Expands
Sectors:
Topics:
BankWealth ManagerAll Firms
Bank of Palestine Expands Globally after Receiving an In-Principle Approval for a Full Banking License from ADGM Abu Dhabi, UAE
Bank of Palestine Expands Globally after Receiving an In-Principle Approval for a Full Banking License from ADGM Abu Dhabi, UAE
Sectors:
Topics:
Bank
ADGM’s FSRA issues alert concerning fraudulent scheme and false and misleading claims - SGV Advisory FZ LLC or Strategic Global Ventures
ADGM’s FSRA issues alert concerning fraudulent scheme and false and misleading claims - SGV Advisory FZ LLC or Strategic Global Ventures
Sectors:
Topics:
BankWealth ManagerFintech
ADGM’s Registration Authority Reshapes Services in the Real Estate Sector
ADGM’s Registration Authority Reshapes Services in the Real Estate Sector
Sectors:
Topics:
BankWealth ManagerFintech
Media releases
Media releases
Sectors:
Topics:
BankWealth ManagerAsset Manager
Two-five-management.com: BaFin warns about website and identity fraud
The German Financial Supervisory Authority (BaFin) warns about offers from the website two-five-management(.)com. According to information available to BaFin, the unknown operators of the website are offering banking services, in particular fixed-term deposits, and financial services without the required authorisation. They give the impression that their offers originate from TwoFive Management GmbH, which is registered with BaFin as an AIF asset management company, Section 2 (4) of the Germa...
Sectors:
Topics:
BankAsset ManagerWealth Manager
White Rock Financial Consultancy Limited: BaFin warns against offers on the website whiterock-financial(.)eu
The Federal Financial Supervisory Authority BaFin warns against offers on the website whiterock-financial(.)eu and against the alleged operator White Rock Financial Consultancy Limited from London, United Kingdom. According to information available to BaFin, the operator is providing financial and investment services without the required authorisation.
Sectors:
Topics:
BankWealth ManagerFintech
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
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
Global imbalances in a more fragmented world – remarks by Andrew Bailey
Given at the Bellagio Group event, Bank of England
Sectors:
Topics:
BankAsset ManagerWealth Manager
ECB advances climate and nature work after delivering on 2024-2025 plan
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
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
Commission Implementing Regulation (EU) 2026/124 of 14 January 2026
amending Council Regulation (EU) No 833/2014 concerning restrictive measures in view of Russia’s actions destabilising the situation in Ukraine
Sectors:
Topics:
BankWealth ManagerAsset Manager
BaFin warns consumers about the website ownmoodspace(.)com.
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Own Mood Space and the services it is offering. BaFin suspects the unknown operators of the website ownmoodspace(.)com of offering consumers financial, investment and cryptoasset services without the required authorisation.
Sectors:
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
PRA to streamline supervision as part of 2026 priorities
The Prudential Regulation Authority (PRA) has today published its supervisory priorities for 2026, outlining in a letter its sector-specific priorities for the coming year to all banks, building societies, insurers and other PRA-regulated firms.
Sectors:
Topics:
BankInsuranceAll Firms
Letter from Rebecca Jackson and Alison Scott – International Banks Supervision: 2026 priorities
Letter to Chief Executive Officers of PRA regulated international banks active in the UK
Sectors:
Topics:
BankWealth Manager
Letter from Charlotte Gerken and Laura Wallis – UK Deposit Takers Supervision: 2026 priorities
Letter to Chief Executive Officers of PRA regulated UK deposit takers
Sectors:
Topics:
Bank
SSM Calendar Claude Wampach – 10/2025
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
Five Pillars DeFi: BaFin warns consumers about the website fivepillarstoken(.)com
The Federal Financial Supervisory Authority (BaFin) suspects the unknown operators of the website fivepillarstoken(.)com of offering consumers cryptoasset services in Germany without the required authorisation. The offers include “crypto debit cards” and staking using Five Pillars Tokens.
Sectors:
Topics:
Crypto ExchangeFintech
The AMF sets its priorities for 2026 for deeper, safer and more resilient financial markets open to innovation
Strategy Supervision Institutional Other professionals Retail investors Journalists Investment services providers Investment management companies Listed companies and issuers The AMF sets its priorities for 2026 for...
Sectors:
Topics:
Asset ManagerBroker DealerBank
The evolution of the Bank’s approach to resolution − speech by Dave Ramsden
Given at King’s College London
Sectors:
Topics:
BankWealth ManagerAll Firms
Publication,FSA Weekly Review No.670 January 14, 2026
No description available.
Sectors:
Topics:
BankFintechCrypto Exchange
Telegram groups and trading app: BaFin warns consumers about identity theft in connection with the apps “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
Speech by Gerry Cross, Director, Capital Markets and Funds, Central Bank of Ireland at Compliance Institute AGM - Supervising for success: some themes for a time of change
Introduction Good morning and thank you to Michael for inviting me to speak at the Compliance Institute’s Annual General Meeting. It is always a real pleasure to engage with compliance professionals. At the Central Bank, we recognise the essential role played by the compliance community in ensuring that financial firms are well-run and contributing to a financial system that is trusted and resilient. We also recognise the important role played by the compliance institute, equipping those work...
AI Analysis
This speech by Gerry Cross, Director of Capital Markets and Funds at the Central Bank of Ireland (CBI), outlines key supervisory priorities including securing customers' interests via the revised Consumer Protection Code, Individual Accountability Framework (IAF) implementation, regulatory simplification, resilience, technology leverage, and an evolving outcomes-focused supervision approach. It matters because it signals CBI's expectations for compliance professionals to drive these outcomes in firms, emphasizing proportionality and ongoing engagement amid regulatory evolution. Compliance teams must integrate these themes to align with CBI's shift toward less process-driven, more effective oversight.
Sectors:
Topics:
Asset ManagerBankAll Firms
The European Supervisory Authorities and UK financial regulators sign Memorandum of Understanding on oversight of critical ICT third-party service providers under DORA
The European Supervisory Authorities and UK financial regulators sign Memorandum of Understanding on oversight of critical ICT third-party service providers under DORA 14 January 2026 Digital Finance and Innovation International cooperation The European Supervisory Authorities (EBA, EIOPA and ESMA – the ESAs) have today signed a Memorandum of Understanding (MoU) with the Bank of England (BoE), the Prudential Regulation Authority (PRA), and the Financial Conduct Authority (FCA). This agreement...
Sectors:
Topics:
BankAsset ManagerWealth Manager
BaFin warns consumers about the website givhalbank(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website givhalbank(.)com. According to information available to BaFin, this website is being used to offer banking business and financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankCrypto Exchange
UK and EU regulators sign Memorandum of Understanding to strengthen oversight of critical third parties
The FCA, Bank of England and Prudential Regulation Authority 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.The MoU establishes a framework for coordinating and sharing information on the oversight of CTPs under the UK regime and critical third party providers (CTPPs) under the EU’s Digital Operational Resilience Act (DORA), including du...
AI Analysis
The FCA, Bank of England (BoE), and Prudential Regulation Authority (PRA) have signed a Memorandum of Understanding (MoU) with the European Supervisory Authorities (ESAs) to coordinate oversight of critical third parties (CTPs) under the UK's CTP regime and critical third party providers (CTPPs) under the EU's Digital Operational Resilience Act (DORA). This matters because it enhances cross-border information sharing and cooperation during incidents like cyber-attacks, reducing regulatory duplication while bolstering financial stability and operational resilience for firms reliant on these providers.
Sectors:
Topics:
BankPayment ProviderAll Firms
BaFin warns consumers about the website blitz365finance(.)org and identity fraud
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website blitz365finance(.)org. According to information available to BaFin, the operators are offering financial and cryptoasset services on the website without the required authorisation. The unknown operators of the website are not supervised by BaFin. This is a case of identity fraud against a Swiss company.
Sectors:
Topics:
BankFintechCrypto Exchange
UK and EU regulators sign Memorandum of Understanding to strengthen oversight of critical third parties
The Financial Conduct Authority, Bank of England and Prudential Regulation Authority (UK regulators) have together signed a Memorandum of Understanding (MoU) with the European Supervisory Authorities to enhance cooperation and oversight of critical third parties (CTPs) that fall under the UK’s CTP regime.
Sectors:
Topics:
BankAsset ManagerWealth Manager
SFC obtains disqualification order against former executive director of National United Resources Holdings Limited
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
Driving over the peak, or a false summit? − speech by Alan Taylor
Given at National University of Singapore
Sectors:
Topics:
BankAsset ManagerWealth Manager
Aktualisierte Sanktionsmeldung: Demokratische Republik Kongo
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung des Anhangs 2 der Verordnung vom 22. Juni 2005 über Massnahmen gegenüber der Demokratischen Republik Kongo (SR 946.231.12) publiziert.
AI Analysis
The Swiss Federal Department for Economic Affairs, Education and Research (WBF) updated Annex 2 of the Ordinance on Measures against the Democratic Republic of Congo (SR 946.231.12) on January 12, 2026, modifying the list of sanctioned persons, companies, and organizations, with changes effective January 13, 2026, at 23:00 UTC. This matters for Swiss financial intermediaries as it triggers immediate asset freezing, reporting to SECO, and potential AML checks under the Anti-Money Laundering Act (GwG), ensuring compliance with Switzerland's implementation of international sanctions via the Embargo Act (EmbG).
Sectors:
Topics:
BankAsset ManagerWealth 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.
Sectors:
Topics:
BankWealth ManagerAsset Manager
Aktualisierte Sanktionsmeldung: Russland
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat Änderungen der Verordnung vom 4. März 2022 über Massnahmen im Zusammenhang mit der Situation in der Ukraine (SR 946.231.176.72) publiziert.
AI Analysis
The Swiss Federal Department for Economic Affairs, Education and Research (WBF) has published updates to the Ordinance on Measures in Connection with the Situation in Ukraine (SR 946.231.176.72), aligning Swiss sanctions with ongoing international restrictions targeting Russia. This matters for Swiss financial institutions as it reinforces asset freezing and economic resource restrictions, heightening compliance risks amid prolonged geopolitical tensions, with the ordinance valid until at least November 2026.
Sectors:
Topics:
BankPayment ProviderCrypto Exchange
International central bankers on the statement by Federal Reserve Chair Powell on 11 January 2026
We stand in full solidarity with the Federal Reserve System and its Chair Jerome H. Powell.
Sectors:
Topics:
BankAsset ManagerWealth Manager
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.
Sectors:
Topics:
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.
Sectors:
Topics:
Bank
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.
Sectors:
Topics:
BankPayment ProviderAll Firms
Commission Delegated Regulation (EU) 2026/46 of 3 December 2025
amending Delegated Regulation (EU) 2016/1675 to add Russia to the list of high-risk third countries with strategic deficiencies
Sectors:
Topics:
BankAsset ManagerWealth Manager
FCA obtains £265,523.96 confiscation order against Collateral fraudster Andrew Currie
The FCA has secured a confiscation order of £265,523.96 against Andrew Currie. Mr Currie was convicted in 2023 and sentenced to 2 years 6 months imprisonment for defrauding investors through the collapsed peer-to-peer lending platform Collateral (UK) Ltd.He diverted funds from Collateral investors and used them for personal gain, including the purchase of a property in Spain.At a hearing at Southwark Crown Court on 9 January 2026, Mr Currie was ordered to pay £265,523.96. This amount represen...
Sectors:
Topics:
BankWealth ManagerFintech
Finfluencers – Tips for responsible promotion
No description available.
Sectors:
Topics:
Asset ManagerWealth ManagerBank
SFC obtains court order to freeze up to $85.2 million of assets belonging to suspect traders of Wan Cheng shares
No description available.
Sectors:
Topics:
BankBroker DealerWealth Manager
New DFSA Thematic Review: Conflicts of Interest across DIFC Firms
09 JAN 2026, 09:13 AM New DFSA Thematic Review: Conflicts of Interest across DIFC Firms
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Identity 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.
Sectors:
Topics:
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.
Sectors:
Topics:
BankFintechCrypto Exchange
Asset Purchase Facility: Gilt Sales Amendment – Market Notice 8 January 2026
This Market Notice sets out amendment to the schedule for sales in Q1 2026 of gilts held in the Asset Purchase Facility (APF) for monetary policy purposes.
Sectors:
Topics:
BankBroker DealerAsset Manager
ESAs publish joint Guidelines on ESG stress testing
ESAs publish joint Guidelines on ESG stress testing 08 January 2026 Guidelines and Technical standards Joint Committee The European Supervisory Authorities (EBA, EIOPA and ESMA - the ESAs) published today their Joint Guidelines on environmental, social, and governance (ESG) stress testing . These Guidelines provide national insurance and banking supervisors with clear guidance on how to integrate ESG risks into supervisory stress tests, both when using established frameworks and when conducti...
AI Analysis
The European Supervisory Authorities (ESAs)—EBA, EIOPA, and ESMA—published final Joint Guidelines on 8 January 2026 to standardize how national competent authorities (NCAs) integrate ESG risks into supervisory stress testing frameworks for banking and insurance sectors, without mandating new ESG-specific tests. These guidelines promote consistency, long-term methodologies, and common standards across the EU, initially prioritizing climate and environmental risks (physical and transition) before expanding to social and governance factors. They matter for compliance professionals as they shape future supervisory expectations, enhancing resilience assessments and aligning with CRD (Article 100(4)) and Solvency II (Article 304c(3)) mandates, potentially influencing firm-level stress testing preparations.
Sectors:
Topics:
BankInsurance
2026 fines
This page contains information about fines published during 2026. The total amount of fines so far is £371,700. Firm or individual finedDateAmountReasonRichard Adam07/01/2026£232,800The Final Notice refers to knowing concern in breaches of Article 15 of the Market Abuse Regulations, Listing Rule 1.3.3R, Listing Principle 1 and Premium Listing Principle 2.Zafar Khan07/01/2026£138,900The Final Notice refers to knowing concern in breaches of Article 15 of the Market Abuse Regulations, Listing Ru...
Sectors:
Topics:
BankBroker DealerAsset Manager
Statistical Notice 2026/01 - Bank of England Levy: Deadline for Eligible Liabilities Return form submission for the Levy Year 2026/27
Statistical Notices update the definitions and guidance contained in the Banking Statistics Yellow Folder
AI Analysis
This Statistical Notice 2026/01 from the Bank of England specifies the submission deadline for the Eligible Liabilities Return form, which calculates firms' contributions to the Bank of England Levy for the 2026/27 levy year. It matters because non-compliance risks penalties, late fees, or enforcement actions under the Financial Services (Banking Reform) Act 2013, ensuring timely funding for the Bank's resolution and stability functions. Compliance teams must integrate this into levy reporting calendars to avoid operational disruptions.
Deadline: 31 December 2026
Sectors:
Topics:
Bank
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.
Sectors:
Topics:
BankWealth ManagerFintech
Cantor: BaFin warns against identity fraud in WhatsApp groups and against app CDAfin
The Federal Financial Supervisory Authority BaFin warns against offers in WhatsApp groups, which are allegedly operated by Cantor Fitzgerald and led by Leopold Schneider. BaFin is not aware of the existence of this person. According to information available to BaFin, recommendations for the purchase of financial instruments and cryptocurrencies, which can allegedly be traded via CDAfin app, are offered in various WhatsApp groups. According to the current state of knowledge, there is no connec...
Sectors:
Topics:
BankFintechCrypto Exchange
Future Banking Data: November CFO Roundtable: summary
On 12 November the PRA hosted a roundtable meeting with Chief Financial Officers (CFOs) of systemically important firms operating in the UK, to discuss Future Banking Data (FBD).
Sectors:
Topics:
BankAsset ManagerWealth Manager
Capital Holdings: BaFin warns about the website capitalholdings(.)icu
The German Financial Supervisory Authority (BaFin) warns about offers on the website capitalholdings(.)icu. According to information available to BaFin, the unknown operators of the websites are offering banking transactions and financial services without the required authorisation.
Sectors:
Topics:
BankFintechAll Firms
Sicherangelegt(.)de: BaFin warns consumers about website
The German Financial Supervisory Authority (BaFin) warns about fixed-term deposit offers from the website sicherangelegt(.)de. According to information available to BaFin, the unknown operators of the website are offering banking services, in particular fixed-term deposits, without the required authorisation.
Sectors:
Topics:
BankFintech
Baird Capital: BaFin warns against identity fraud in WhatsApp groups
The Federal Financial Supervisory Authority BaFin warns against offers in WhatsApp groups, which are allegedly operated by Baird Capital and led by a Thomas Becker. BaFin is not aware of the existence of this person. According to information available to BaFin, recommendations for the purchase of financial instruments and cryptocurrencies are offered in WhatsApp groups and the so-called Baird Capital Investment Program III is being promoted. According to the current state of knowledge, there ...
Sectors:
Topics:
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.
Sectors:
Topics:
FintechCrypto ExchangeAll Firms
FCA fines former finance directors of Carillion plc (in liquidation)
The FCA has fined 2 former finance directors for their part in misleading statements being issued by Carillion plc. Richard Adam and Zafar Khan were both aware of serious financial troubles in Carillion’s UK construction business but failed to reflect this in company announcements or alert the Board and audit committee, leading to poor oversight.Mr Adam and Mr Khan have been fined £232,800 and £138,900, respectively. The fines were imposed after Mr Adam and Mr Khan withdrew their challenges t...
Sectors:
Topics:
BankWealth ManagerAll Firms
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
Sectors:
Topics:
BankFintechCrypto Exchange
Minutes of the UK Money Markets Code Sub-Committee – December 2025
The Money Markets Committee is a forum for market participants and authorities to discuss the UK unsecured deposits and funding market and securities lending and repo markets.
Sectors:
Topics:
BankBroker DealerAsset Manager
PRA Regulatory Digest - December 2025
The PRA Regulatory Digest is for people working in the UK financial services industry and highlights key regulatory news and publications delivered for the month.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Bit500: BaFin warns consumers about the website bit500(.)eu
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website bit500(.)eu. BaFin has information that the operators are offering banking business and/or financial services on this website without the required authorisation. The operators are not supervised by BaFin.
Sectors:
Topics:
BankFintechCrypto Exchange
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.
Sectors:
Topics:
BankAsset ManagerWealth Manager
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...
Sectors:
Topics:
All Firms
CFTC Chairman Selig Announces Amir Zaidi as Chief of Staff
No description available.
Sectors:
Topics:
BankBroker DealerCrypto Exchange
Main updated figures regarding the financial centre
Extract from the CSSF Newsletter No 300 – January 2026
Sectors:
Topics:
BankAsset ManagerWealth Manager
SFC welcomes Process Review Panel Report 2024-25
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
SFC withdraws restriction notices to brokers to facilitate return of misappropriated funds to affected parties
No description available.
Sectors:
Topics:
Broker DealerWealth ManagerBank
Circular CSSF-CPDI 25/49
Survey on the amount of covered deposits held on 31 December 2025
AI Analysis
Circular CSSF-CPDI 25/49 is a **mandatory quarterly reporting requirement** for Luxembourg credit institutions and postal financial service providers to submit data on covered deposits as of December 31, 2025. This survey directly feeds into the Single Resolution Fund's annual target level calculation and the Luxembourg deposit guarantee scheme's contribution assessments, making it essential for regulatory compliance and fund management.
Sectors:
Topics:
BankPayment Provider
Minutes of the Meeting of the Court of Directors held on 28 October 2025
The Bank's Court of Directors acts as a unitary board, setting the organisation's strategy and budget and taking key decisions on resourcing and appointments. Required to meet a minimum seven times per year, it has five executive members from the Bank and up to nine non-executive members.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Circular CSSF 25/903
Update of Circular CSSF 24/850 on the practical rules concerning the descriptive report and the self-assessment questionnaire to be submitted on an annual basis by support PFS, as well as the engagement of the réviseurs d’entreprises agréés (approved statutory auditors) of support PFS and practical rules concerning the management letter and the separate report to be drawn up on an annual basis.
AI Analysis
Circular CSSF 25/903 updates Circular CSSF 24/850, refining practical rules for support Professional of the Financial Sector (support PFS) in Luxembourg regarding their annual descriptive report, self-assessment questionnaire, and the roles of approved statutory auditors (réviseurs d’entreprises agréés). It specifies requirements for auditors' engagement, management letters, and separate annual reports. This matters for support PFS as it enhances supervisory oversight, ensures consistent reporting quality, and strengthens internal controls, directly impacting compliance and audit processes amid CSSF's focus on robust PFS supervision.
Sectors:
Topics:
All FirmsFintechPayment Provider
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...
Sectors:
Topics:
BankWealth ManagerFintech
Circular CSSF 25/902
Repeal of Circular CSSF 19/731 regarding the documents to be submitted on an annual basis by credit institutions.
AI Analysis
Circular CSSF 25/902 repeals Circular CSSF 19/731 (as amended by Circular CSSF 19/710), which previously detailed annual document submission requirements for credit institutions, shifting to a dynamic list published on the CSSF website. This matters because it streamlines compliance by centralizing and updating requirements online, reducing reliance on static circulars while maintaining submission obligations. Credit institutions must transition to the new process to avoid disruptions in prudential reporting.
Sectors:
Topics:
Bank
Circular CSSF 24/850 (as amended by Circular CSSF 25/903) (Updated)
Practical rules concerning the descriptive report and the self-assessment questionnaire to be submitted on an annual basis by support PFS.Engagement of the réviseurs d’entreprises agréés (approved statutory auditors) of support PFS and practical rules concerning the management letter and the separate report to be drawn up on an annual basis.
AI Analysis
Circular CSSF 24/850, as amended by Circular CSSF 25/903, establishes practical rules for support Professional of the Financial Sector (support PFS) in Luxembourg to submit annual descriptive reports and self-assessment questionnaires, while also defining the roles of approved statutory auditors (réviseurs d’entreprises agréés) in issuing management letters and separate reports. This guidance standardizes supervisory reporting and audit processes to enhance oversight of support PFS, which provide essential back-office services to authorized PFS. It matters because non-compliance risks supervisory sanctions, reputational damage, and operational disruptions for entities reliant on support PFS structures.
Sectors:
Topics:
BankWealth ManagerAll Firms
Michael Selig Sworn In as 16th CFTC Chairman
No description available.
Sectors:
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BankBroker DealerCrypto Exchange
Acting Chairman Caroline D. Pham Announces Departure from CFTC
No description available.
Sectors:
Topics:
BankBroker DealerCrypto Exchange
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.
Sectors:
Topics:
BankAsset 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...
Sectors:
Topics:
BankFintechAll Firms
flatexDEGIRO Bank AG: BaFin imposes administrative fines
On 16 December 2025, BaFin imposed two administrative fines amounting to €560,000 on flatexDEGIRO Bank AG. The company had contravened obligations under the German Securities Trading Act (Wertpapierhandelsgesetz - WpHG). At the beginning of 2022, flatexDEGIRO Bank AG advertised free investment services on two of its websites without clearly indicating that a processing fee would be charged on a regular basis. flatexDEGIRO Bank AG adapted its practices to comply with the legal requirements in ...
AI Analysis
BaFin imposed €560,000 in administrative fines on flatexDEGIRO Bank AG on December 16, 2025, for misleading marketing of investment services that advertised free offerings without clearly disclosing mandatory processing fees. This enforcement action underscores BaFin's strict interpretation of fair and transparent marketing requirements under the German Securities Trading Act (WpHG) and demonstrates that even corrective action taken by firms does not eliminate regulatory penalties for past violations.
Sectors:
Topics:
Broker DealerBankFintech
CFTC Awards Two Whistleblowers More Than $1.8M
No description available.
Sectors:
Topics:
BankBroker DealerCrypto Exchange
Asset Purchase Facility: Gilt Sales – Market Notice 19 December 2025
This Market Notice sets out the schedule for sales in Q1 2026 of gilts held in the Asset Purchase Facility (APF) for monetary policy purposes.
Sectors:
Topics:
BankBroker DealerAsset Manager
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...
Sectors:
Topics:
Wealth ManagerBroker DealerAll Firms
Minutes of the Money Market Committee meeting – December 2025
The Money Markets Committee is a forum for market participants and authorities to discuss the UK unsecured deposits and funding market and securities lending and repo markets.
Sectors:
Topics:
BankBroker DealerAsset Manager
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
UAE Sustainable Finance Working Group Publishes Fourth Statement During Abu…
19 DEC 2025, 10:55 AM UAE Sustainable Finance Working Group Publishes Fourth Statement During Abu…
Sectors:
Topics:
BankAsset ManagerAll Firms
Profit and loss account of credit institutions as at 30 September 2025
Press release 25/20
Sectors:
Topics:
Bank
LIAF03/25 – Low Impact Amendments Finalisation December 2025
The PRA has published LIAF03/25, a collection of final low impact rule amendments.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Economics Winter Workshop 2025: Opening Remarks by Governor Gabriel Makhlouf
Economics Winter Workshop 2025: Opening Remarks by Governor Gabriel Makhlouf
Sectors:
Topics:
BankAsset ManagerWealth Manager
“The Year That Was and Will Be”
In this, his final blog for 2025, Governor Gabriel Makhlouf reflects on Ireland and the euro area’s economic performance and looks ahead to 2026, drawing on the Quarterly Bulletin and latest eurosystem staff projections published this week.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Greater flexibility to be given for setting future contactless limits
People could find it easier to pay using contactless, thanks to greater flexibility and the removal of red tape by the FCA. Banks and payment providers with strong fraud controls will be able to set their own limit for contactless payments, allowing them to better respond to changing consumer demands, inflation and new technology. They are also being encouraged to let customers set their own limit, or turn contactless off altogether, as many high street banks already do. People are using cont...
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Topics:
BankPayment Provider
List of supervised entities - cut-off date 1 November 2025
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
BaFin warns consumers about series of platforms
The Federal Financial Supervisory Authority (BaFin) warns customers about online trading platforms that use the slogan “[...] invest your money in the world of cryptocurrencies with [...]”. BaFin suspects the unknown operators of offering consumers cryptoasset services without the required authorisation. The websites have the same text design and layout.
Sectors:
Topics:
Crypto ExchangeFintech
ECB launches fast-track assessments for capital and securitisation
No description available.
Sectors:
Topics:
Bank
Guide on the notification of significant risk transfer and implicit support for securitisations
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Quarterly Bulletin 2025:4 Prudent ambition needed as multinational investment underpins more positive growth outlook
MDD is projected to grow by just below 4 per cent in 2025. From 2026 to 2028, MDD is forecast to grow at an annual average rate of 2.9 per cent per annum. More positive momentum in MNE investment amid lower uncertainty contrasts with slower pace of growth in domestic sectors and cooling of the labour market as drag from capacity constraints becomes evident. Outlook for slightly higher overall inflation, as underlying services price growth more persistent at a higher rate than pre-pandemic. Th...
Sectors:
Topics:
BankAsset ManagerWealth Manager
CFTC Approves Final Rule to Revise Swap Dealer Business Conduct and Swap Documentation Requirements
No description available.
AI Analysis
The CFTC approved a final rule on December 18, 2025, that codifies existing staff no-action positions and eliminates duplicative business conduct and documentation requirements for swap dealers and major swap participants. This rule resolves over a decade of regulatory uncertainty, reduces operational costs, and harmonizes CFTC requirements with SEC and Municipal Securities Rulemaking Board standards.
Sectors:
Topics:
Broker DealerBank
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
Artificial Intelligence Consortium minutes – October 2025
The Artificial Intelligence Consortium (AIC) aims to provide a platform for public-private engagement to further dialogue on the capabilities, development, deployment, use, and potential risks of artificial intelligence (AI) in UK financial services.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Exchange of letters between the Governor and the Chancellor regarding CPI Inflation - December 2025
Exchange of letters between the Governor and the Chancellor
Sectors:
Topics:
BankAsset ManagerWealth Manager
Monetary Policy Committee dates for 2027
Provisional dates for Monetary Policy Committee (MPC) announcements on Bank Rate and publication of MPC meeting minutes and the quarterly Monetary Policy Report.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Bank Rate reduced to 3.75% - December 2025 Monetary Policy Summary and Minutes
The Bank of England’s Monetary Policy Committee is responsible for making decisions about Bank Rate.
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Topics:
BankWealth ManagerAsset 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
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
ECB proposes to extend Frank Elderson’s term as Vice-Chair of the Supervisory Board
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Index-linked Treasury Stock
Index-linked treasury stocks are gilts issued by the UK Government. They pay out twice a year, with the amount indexed to the Retail Prices Index.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Issue 9 2025
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
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
Supervisory Banking Statistics for significant institutions - Third quarter 2025
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Open banking: a year of progress
Open banking in the UK is growing rapidly. Latest industry figures show there are more than 16 million users now benefiting from the service. The number of open banking payments has soared by 53% year on year, reflecting a significant shift in how consumers and businesses manage their finances.See the API performance statsA key driver of this transformation is the rise of variable recurring payments (VRPs), which now account for 16% of all open banking transactions. VRPs allow consumers and b...
Sectors:
Topics:
BankFintechPayment Provider
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 on Financial Institution Incident Reporting
This circular provides guidance on how financial institutions should report incidents to MAS under the various acts, regulations, notices, circulars and guidelines.
AI Analysis
This MAS circular updates the incident reporting process for financial institutions (FIs), mandating use of a revised template on the MAS-Tx platform for reportable incidents starting 1 February 2026. It standardizes initial notifications and follow-up submissions under applicable regulations, enhancing supervisory efficiency amid rising technology risks. Compliance is critical as it aligns with MAS's focus on operational resilience, with non-adherence risking enforcement actions seen in recent AML/CFT penalties.
Sectors:
Topics:
BankInsurancePayment Provider
Totalrevision der Verordnung über Massnahmen gegenüber der Islamischen Republik Iran
Der Bundesrat hat am 12. Dezember 2025 beschlossen, die Iran-Sanktionen dem Stand von vor dem Abschluss des Wiener Abkommens über das iranische Atomprogramm anzupassen. Dazu hat er die Verordnung über Massnahmen gegenüber der Islamischen Republik Iran einer Totalrevision unterzogen. Die neue Verordnung (SR 946.231.143.6) trat am 12. Dezember 2025 in Kraft.
AI Analysis
Switzerland has completely revised its Iran sanctions regulations effective December 12, 2025, restoring sanctions to pre-2015 levels following the automatic reinstatement of UN Security Council resolutions on September 28, 2025. This comprehensive overhaul requires Swiss financial institutions and businesses to immediately implement expanded asset freezes, trade restrictions, and sectoral prohibitions affecting Iran-related transactions and designated persons.
Sectors:
Topics:
BankPayment ProviderAll Firms
FCA sets out plans to help build mortgage market of the future
First-time buyers and the self-employed could get a step-up onto the housing ladder, under new plans from the FCA. Its priorities for reforms to the mortgage market also include helping homeowners unlock housing wealth for a more comfortable later life.The FCA will focus on 4 areas:First-time buyers & underserved consumers: Simplifying mortgage rules to allow more flexible products that reflect different working patterns and income levels at different stages of life.Later-life lending: Review...
Sectors:
Topics:
BankFintech
Remarks by Acting Chairman Caroline D. Pham before the Financial Stability Oversight Council
No description available.
Sectors:
Topics:
BankBroker DealerCrypto Exchange
The AMF examines the transparency of executive succession plans as part of its 2025 Corporate Governance Report
Governance Annual report Executive & other private individuals Journalists Listed companies and issuers The AMF examines the transparency of executive succession plans as part of its 2025 Corporate Governance Report
Sectors:
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BankAsset ManagerWealth Manager
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
Statistical Notice 2025/06 - Bank of England Statistics Taxonomy 1.3.1 release note
Statistical Notices update the definitions and guidance contained in the Banking Statistics Yellow Folder
AI Analysis
This Statistical Notice 2025/06 announces the release of Bank of England Statistics Taxonomy version 1.3.1, which updates definitions and guidance in the Banking Statistics Yellow Folder, including upgrades from XBRL 2.3.0 to 3.0, validation fixes, and data point model changes. It matters for compliance teams at reporting firms as it ensures accurate submission of statistical data to the BoE, supporting monetary policy, financial stability monitoring, and national accounts under the Bank of England Act 1998.
Sectors:
Topics:
Bank
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
ECB to assess banks’ stress testing capabilities to capture geopolitical risk
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
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
Notice of Amendments to Legislation: December 2025
11 DEC 2025, 05:55 PM Notice of Amendments to Legislation: December 2025
Sectors:
Topics:
BankWealth ManagerAsset Manager
Issue 8 2025
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
David Roberts reappointed as Chair of the Bank of England’s Court of Directors and Dame Anne Glover and Diana Noble reappointed as Non‑Executive Directors
David Roberts has been reappointed as Chair of the Court of the Bank of England by His Majesty the King
Sectors:
Topics:
BankWealth Manager
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
Governing Council proposes simplification of EU banking rules
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Streamlining supervision, safeguarding resilience: the ECB’s agenda for more effective, efficient and risk-based European banking supervision
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Aktualisierte Sanktionsmeldung: Republik Irak
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung des Anhangs der Verordnung vom 7. August 1990 über Wirtschaftsmassnahmen gegenüber der Republik Irak (SR 946.206) publiziert.
AI Analysis
This FINMA publication announces a SECO update to the annex of the Ordinance on Economic Measures against the Republic of Iraq (SR 946.206), reflecting UN Sanctions Committee amendments to the list of sanctioned individuals, companies, and organizations made on December 9, 2025. It matters because these changes are directly applicable in Switzerland, requiring financial intermediaries to immediately block affected assets and report business relationships to SECO to ensure compliance with UN sanctions. Failure to act risks enforcement by FINMA under its supervisory mandate.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Economic Resilience: What Next? – Speech by Governor Gabriel Makhlouf at The Royal Irish Academy
Good evening. Thank you for the invitation to join you today. This evening I want to talk about economic resilience, what it is and whether we have enough of it. I spoke about economic resilience in my first speech as Governor – 6 years ago – and wrote to the Minister for Finance about it in early February this year. After everything that’s happened since February, it feels timely to take stock of where we are. My conclusion is that we need to give it greater focus. Let me start by setting ou...
Sectors:
Topics:
BankAsset ManagerWealth Manager
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
PRA letter to the Prime Minister - December 2025
The Prudential Regulation Authority’s (PRA) update to the Prime Minister on work to support economic growth.
Sectors:
Topics:
BankAsset ManagerWealth Manager
CFTC Obtains Over $2M Restitution for Victims of Precious Metals, Foreign Currency Pool Fraud
No description available.
Sectors:
Topics:
Broker DealerAsset ManagerBank
Circular CSSF 25/899
Application of the Guidelines of the European Banking Authority on Acquisition, Development, and Construction (ADC) exposures to residential property under Article 126a of Regulation (EU) 575/2013 (EBA/GL/2025/03)
AI Analysis
Circular CSSF 25/899 mandates the application of EBA Guidelines (EBA/GL/2025/03) on Acquisition, Development, and Construction (ADC) exposures to residential property under Article 126a of Regulation (EU) 575/2013 (CRR), specifying conditions for reducing the risk weight from 150% to 100% on qualifying exposures. This matters for Luxembourg credit institutions as it directly impacts capital requirements for real estate lending, promoting safer lending practices while aligning with Basel III standards via CRR3 implementation.
Sectors:
Topics:
Bank
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
On December 9, 2025, Switzerland's State Secretariat for Economic Affairs (SECO) updated Annex 2 of the Sudan Sanctions Ordinance (SR 946.231.18), requiring Swiss financial intermediaries to implement changes to their sanctions screening and compliance procedures. This update reflects ongoing international coordination on Sudan sanctions enforcement and requires immediate implementation by all Swiss-regulated financial institutions.
Sectors:
Topics:
BankPayment ProviderWealth Manager
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
Claudia Buch: Evidence-based supervision: addressing evolving risks, maintaining resilience
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Minutes of the London FXJSC Operations Sub-Committee Meeting – 18 September 2025
The Bank of England chairs the London Foreign Exchange Joint Standing Committee (FXJSC) Operations Sub-Committee. The FXJSC is made up of market participants, infrastructure providers and the UK financial regulators.
Sectors:
Topics:
BankBroker DealerPayment Provider
Minutes of the London FXJSC Legal Sub-committee Meeting – 17 September 2025
The Bank of England chairs the London Foreign Exchange Joint Standing Committee (FXJSC) Legal Sub-Committee. The FXJSC is made up of market participants, infrastructure providers and the UK financial regulators.
Sectors:
Topics:
BankBroker DealerFintech
Minutes of the London FXJSC Main Committee Meeting – 25 September 2025
The Bank of England chairs the London Foreign Exchange Joint Standing Committee (FXJSC), which is a forum for discussion of the wholesale foreign exchange market. The FXJSC is made up of market participants, infrastructure providers and the UK financial regulators.
Sectors:
Topics:
BankBroker DealerPayment Provider
PS27/25 – Future banking data review: Deletion of banking reporting templates
Policy statement 27/25
AI Analysis
PS27/25 finalizes the PRA's policy to delete 37 redundant banking regulatory reporting templates (34 FINREP, 2 COREP, and PRA109) as the first phase of the Future Banking Data (FBD) programme, aiming to reduce reporting burdens while maintaining supervisory data quality. This matters for PRA-regulated banks as it delivers immediate cost savings and signals broader regulatory simplification, aligning with the PRA's secondary competitiveness and growth objective.
Sectors:
Topics:
Bank
Update to lending and deposit spread of the Operational Standing Facility – Market Notice 8 December 2025
In line with the Bank's transition to a repo-led, demand-driven operational framework for providing reserves, the Bank is today announcing a reduction in the spread to Bank Rate of the Operational Standing Facility (OSF). This Market Notice confirms the new, recalibrated spread of the OSF at Bank Rate +15bps for the lending facility and Bank Rate -15bps for the deposit facility. As with all SMF facilities, the OSFs are 'open for business' and should be used by SMF participants for the purpose...
Sectors:
Topics:
BankWealth ManagerAsset Manager
Remarks at the Climate Risk and Sustainable Finance Forum – Governor Gabriel Makhlouf
Good morning and welcome everyone. I am delighted to address the eighth meeting of this Forum. When the Forum was established three years ago, the goal was to bring together participants from across Ireland to build a shared approach to understanding and managing the systemic risks that climate change poses, while supporting the orderly transition of households and businesses to the net zero objective that we’re all familiar with. The Forum has come a long way in those three years. We have es...
Sectors:
Topics:
BankAsset ManagerWealth Manager
Read more
08 Dec 2025 Read more
Sectors:
Topics:
BankAsset ManagerBroker Dealer
ECB concludes asset quality review of Raiffeisen-Holding Niederösterreich-Wien
No description available.
Sectors:
Topics:
Bank
The Digital Euro: shaping the future while preserving trust
In this blog, Governor Gabriel Makhlouf writes about the development of the Digital Euro and how central banks foster trust and safety in the financial system and in the implementation of projects like the Digital Euro.
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BankFintechCrypto Exchange
Notice of Amendments to Legislation December 2025
05 DEC 2025, 02:37 PM Notice of Amendments to Legislation December 2025
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BankAsset ManagerBroker Dealer
SEC Announces Agenda and Panelists for Roundtable on Financial Surveillance and Privacy
The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its rescheduled Roundtable on Financial Surveillance and Privacy.“New technologies give us a fresh opportunity to recalibrate financial surveillance…
Sectors:
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BankBroker DealerCrypto Exchange
Central Bank of Ireland launches Access to Cash consultation
The Central Bank of Ireland has today (5 December) launched a public consultation on the implementation of our new Access to Cash responsibilities. Deputy Governor Vasileios Madouros said: “Amid a rapidly evolving payments landscape, the Central Bank of Ireland is committed to making sure that cash continues to be readily available as a means of payment. Today’s consultation is an important step towards the implementation of the Central Bank’s new responsibilities under the Access to Cash leg...
AI Analysis
The Central Bank of Ireland has launched a public consultation on implementing new **Access to Cash** responsibilities under the Finance (Provision of Access to Cash Infrastructure) Act 2025, which commenced on 30 June 2025. This consultation addresses two critical areas: identifying local deficiencies in cash infrastructure and establishing minimum ATM service standards. The initiative reflects regulatory commitment to ensuring cash remains readily available as payment preferences shift toward digital channels.
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BankPayment Provider
EPC Finance Limited - Central Bank of Ireland Issues Warning on Unauthorised Firm
EPC Finance Limited - Central Bank of Ireland Issues Warning on Unauthorised Firm
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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).
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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
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BankWealth ManagerAll Firms
PS26/25 – Discontinuing SS20/15: Supervising building societies’ treasury and lending activities
Policy statement 26/25
AI Analysis
The Prudential Regulation Authority (PRA) has issued PS26/25, finalizing the withdrawal of Supervisory Statement (SS) 20/15, which previously set prescriptive expectations for building societies' treasury and lending activities, effective immediately upon publication on 5 December 2025. This deregulatory move reduces administrative burdens, enhances proportionality across deposit takers, and promotes competition by aligning building societies more closely with banks, while relying on existing tools like the PRA Rulebook, SMCR, and routine supervision for risk management. It matters for compliance teams as it eliminates specific guidance often misinterpreted as binding requirements, freeing firms to tailor risk frameworks but requiring vigilance on broader prudential expectations.
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Bank
Mutuals landscape report
This report has been informed by the PRA and FCA’s ongoing regulation and supervision of mutuals and by direct engagement with mutuals and their trade associations in sessions around the country throughout 2025.
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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
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BankBroker DealerAsset Manager
Bank of England launches system-wide exploratory scenario exercise focused on private markets
The Bank of England (the Bank) has today launched its second system-wide exploratory scenario (SWES) exercise. This will focus on how the private markets ecosystem operates under stress and the potential implications for UK financial stability and the UK real economy.
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BankAsset ManagerWealth Manager
Rémi Bouchez, the new Ombudsman of the Autorité des Marchés Financiers
Mediation Appointment Institutional Other professionals Executive & other private individuals Retail investors Journalists Investment services providers Investment management companies Listed companies and issuers ...
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Asset ManagerBroker DealerWealth Manager
Removing Frictions − speech by Nathanaël Benjamin
Given at Womble Bond Dickinson, Newcastle, hosted by the North East Chamber of Commerce
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BankWealth ManagerFintech
Basel 3.1: Market Risk − speech by Phil Evans
Given at the ISDA Conference on Trading Book Capital
Sectors:
Topics:
BankBroker Dealer
PS25/25 – Enhancing banks’ and insurers’ approaches to managing climate-related risks – Update to SS3/19
Policy statement 25/25
AI Analysis
PS25/25 is the PRA's policy statement providing feedback on CP10/25 and issuing updated Supervisory Statement SS5/25, which replaces SS3/19 to enhance banks' and insurers' management of climate-related financial risks through strengthened governance, risk management, scenario analysis, data quality, and disclosures. It matters because it sets a higher regulatory bar for embedding climate risks proportionately into core processes like ICAAP, ILAAP, ORSA, and financial reporting, promoting resilience and strategic decision-making amid evolving climate threats.
Sectors:
Topics:
BankInsurance
SS5/25 – Enhancing banks’ and insurers’ approaches to managing climate-related risks
Supervisory statement 5/25
AI Analysis
SS5/25 is the PRA's updated supervisory statement, published on 3 December 2025, replacing SS3/19 and setting enhanced expectations for banks and insurers to manage climate-related risks through governance, risk management, scenario analysis, data quality, and disclosures. It matters because it represents a step change from awareness-raising to embedding robust, proportionate practices that integrate climate risks into core prudential processes like ICAAP, ILAAP, ORSA, and capital planning, aligning with the PRA's objectives for firm safety and soundness amid evolving physical and transition risks.
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Topics:
BankInsurance
Financial Policy Committee Record - December 2025
Our Financial Policy Committee (FPC) meets to identify risks to financial stability and agree policy actions aimed at safeguarding the resilience of the UK financial system.
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Topics:
BankAsset ManagerWealth Manager
Statistical Notice 2025/05 - Confidentiality Permission Review 2026
Statistical Notices update the definitions and guidance contained in the Banking Statistics Yellow Folder
AI Analysis
The Bank of England's Statistical Notice 2025/05 requires all reporting institutions to confirm their confidentiality permissions for publishing aggregate statistical data during the 2026 reporting year. This mandatory review streamlines data publication processes by seeking prior consent for aggregate data where firms are among fewer than three contributors, reducing administrative burden while maintaining data integrity.
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BankAll Firms
Remit and recommendations for the Financial Policy Committee – November 2025
Exchange of letters between the Governor and the Chancellor
Sectors:
Topics:
BankAsset ManagerWealth Manager
PRA Regulatory Digest - November 2025
The PRA Regulatory Digest is for people working in the UK financial services industry and highlights key regulatory news and publications delivered for the month.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Supply-chain attack using NPM packages
Press release 25/18
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BankFintechAll Firms
Other systemically important institutions (O-SII) buffer rates for ring-fenced banks, large domestic banks, and large building societies
The PRA has set the 2025 O-SII buffer rates for ring-fenced banks, large domestic firms, and large building societies
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Bank
2025 list of UK headquartered Globally Systemically Important Institutions (G-SIIs)
The PRA disclosure of UK headquartered G-SIIs for 2025.
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BankWealth ManagerAsset Manager
2025 list of UK firms designated as Other Systemically Important Institutions (O-SIIs)
The PRA has published the list of designated O-SIIs for 2025
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BankWealth ManagerAll Firms
Prudential Regulation Authority (PRA) annual assessment of the Credit Union sector
This letter sets out the key findings from our annual assessment and the actions we expect you to take.
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Bank
Deep, liquid, and transparent (DLT) assessment for January 2026 implementation
The table below shows the outcomes of the annual DLT assessment for PRA relevant currencies, which will be effective from 1 January 2026.
Effective Date: 1 January 2026
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BankAsset ManagerWealth Manager
Patrick Montagner: Supervision in uncertain times: vigilance, governance and the case for effective supervision
No description available.
Sectors:
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BankAsset ManagerWealth Manager
Swiss Takeover Board: Beat Fellmann’s term of office extended by one year
The Board of Directors of the Swiss Financial Market Supervisory Authority FINMA has extended Beat Fellmann’s term of office by one year until the end of 2026.
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BankWealth Manager
New DFSA Thematic Review: Continuing Professional Development for Money…
27 NOV 2025, 10:25 AM New DFSA Thematic Review: Continuing Professional Development for Money…
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Asset ManagerWealth ManagerBank
PS23/25 – Margin requirements for non-centrally cleared derivatives: Amendments to BTS 2016/2251
Policy statement 23/25
AI Analysis
PS23/25 from the PRA and FCA finalizes amendments to Binding Technical Standards (BTS) 2016/2251 under UK EMIR, introducing an indefinite exemption for single-stock equity options and index options from bilateral margin requirements, removing IM obligations on legacy contracts for firms falling below thresholds, and allowing alignment with third-country jurisdictions' timelines for IM assessments. These changes reduce operational burdens and enhance competitiveness for UK firms trading non-centrally cleared derivatives, following feedback from CP5/25, while maintaining prudential standards.
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BankBroker DealerAsset Manager
DFSA and HKMA co-host second Joint Climate Finance Conference, showcasing…
26 NOV 2025, 03:15 PM DFSA and HKMA co-host second Joint Climate Finance Conference, showcasing…
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Topics:
BankAsset ManagerFintech
Remit for the Monetary Policy Committee - November 2025
Letter from the Chancellor to the Governor
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BankWealth ManagerAsset Manager
Issue 7 2025
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
Ex-post evaluation of Circular 2019/2 “Interest rate risks – banks”
The Swiss Financial Market Supervisory Authority FINMA is today publishing its ex-post evaluation report on the requirements for interest rate risk management in the banking book. The evaluation has shown that the supervisory practice has essentially been successful and that the objectives have been achieved. Specific improvements will be made as part of a partial revision of Circular 2019/2, which is planned from 2026. The interest rate shock scenarios updated by the Basel Committee on Banki...
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BankAsset ManagerWealth Manager
The Macrofinancial effects of climate change in Ireland: What have we learned? – Speech by Deputy Governor Vasileios Madouros
Good morning everyone. 1 I am delighted to join you here today for this year’s Climate Finance week. “The scientific evidence that climate change is a serious and urgent issue is […] compelling.” “The benefits of strong, early action on climate change outweigh the costs.” And “the choices made in the next 10-20 years […] will affect greenhouse gas emissions for the next half-century.” These are not my words. And they are not recent words. They are key conclusions from the Stern Review on the ...
Sectors:
Topics:
BankAsset ManagerInsurance
FCA recognises the revised FX Global Code and UK Money Markets Code
The Bank of England welcomes the Financial Conduct Authority (FCA) recognition of the 2024 versions of the FX Global Code and UK Money Markets Code under its code recognition scheme.
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BankBroker DealerPayment Provider
The PRA holds model risk management roundtable on artificial intelligence and machine learning technologies
The PRA held roundtable meetings on artificial intelligence and machine learning (AI and ML) in the context of Supervisory Statement (SS)1/23 ‘Model risk management principles for banks’
AI Analysis
The Prudential Regulation Authority (PRA) held roundtable sessions on 20 and 22 October 2025 with 21 regulated firms to discuss AI and machine learning (AI/ML) adoption under Supervisory Statement SS1/23 on model risk management (MRM) principles for banks. This matters because it highlights PRA's strategic supervisory focus on AI/ML model risks, urging firms to enhance governance, risk appetite, monitoring, and validation to mitigate opacity, overfitting, and rapid performance degradation in these models. https://www.bankofengland.co.uk/prudential-regulation/publication/2025/november/pra-holds-model-risk-management-roundtable-on-ai | https://www.bankofengland.co.uk/-/media/boe/files/prudential-regulation/publication/2025/november/ai-roundtable-oct-2025.pdf
Sectors:
Topics:
BankAll Firms
SEC Announces New Date and Time for Roundtable on Financial Surveillance and Privacy
The Securities and Exchange Commission’s Crypto Task Force has rescheduled its Financial Surveillance and Privacy Roundtable, previously scheduled for October, to Monday, Dec. 15, 2025.“I am looking forward to getting this event back on the calendar…
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Topics:
BankBroker DealerCrypto Exchange
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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BankFintechPayment Provider
Pedro Machado: Fireside chat
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Statement on the Bank’s Black Heritage Sponsored Internship
Statement from the Bank of England
Sectors:
Topics:
BankWealth ManagerAsset Manager
TIBER-EU guide - How to implement the TIBER-EU framework for the DORA TLPT of significant institutions
No description available.
Sectors:
Topics:
BankFintechCrypto Exchange
DFSA hosts 2025 Annual Outreach for over 500 industry leaders – addressing…
19 NOV 2025, 02:00 PM DFSA hosts 2025 Annual Outreach for over 500 industry leaders – addressing…
Sectors:
Topics:
BankWealth ManagerFintech
Claudia Buch: The evidence is in: resilient banks build Europe’s growth on solid ground
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
ECB appoints three Directors General for banking supervision
No description available.
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Topics:
Bank
Federal Council appoints new member to FINMA’s Board of Directors
The Federal Council has appointed Katia Villard to the Board of Directors of the Swiss Financial Market Supervisory Authority FINMA. A professor of criminal law, Ms Villard will succeed Ursula Cassani Bossy who is stepping down from FINMA's Board of Directors at the end of the year.
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Topics:
BankWealth Manager
Unpacking the puzzle of income growth and weak consumption in the UK and other mysteries - slides by Swati Dhingra
Slides by Swati Dhingra
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Topics:
BankWealth ManagerFintech
Anneli Tuominen: Improving banks’ resilience to hybrid threats
No description available.
Sectors:
Topics:
BankWealth ManagerAll Firms
New DFSA-HKMA report reveals that labelled sustainable debt issuance in MENA and…
18 NOV 2025, 12:00 PM New DFSA-HKMA report reveals that labelled sustainable debt issuance in MENA and…
Sectors:
Topics:
BankAsset ManagerAll Firms
Claudia Buch: Introductory statement
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
ECB keeps capital requirements broadly stable for 2026 amid persisting global challenges
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Supervisory priorities 2026-28
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
PRA confirms FSCS deposit limit to be increased to £120,000 from 1 December
From the start of December, UK bank customers will benefit from an increase to the maximum amount they would be reimbursed for if their bank were to fail
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Topics:
BankWealth Manager
PS24/25 – Depositor protection
Policy statement 24/25
AI Analysis
The PRA's PS24/25 finalizes rules increasing Financial Services Compensation Scheme (FSCS) depositor protection limits from £85,000 to £120,000 and temporary high balances (THB) from £1 million to £1.4 million for firm failures on or after 1 December 2025, responding to consultation feedback in CP4/25. This matters for PRA-authorized deposit-takers as it enhances consumer protection amid inflation but requires urgent system and disclosure updates to avoid FSCS payout delays or regulatory breaches. Firms must prioritize single customer view (SCV) readiness and phased disclosure revisions to comply efficiently.
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Topics:
Bank
FINMA Risk Monitor 2025: accentuated geopolitical risks – cyber and real estate risks continue to grow
In its new 2025 Risk Monitor, FINMA reveals where it sees the greatest risks for the Swiss financial centre. It warns of an increase in geopolitical and technological risks and calls for more robust controls over the outsourcing of critical functions. The climate risk report is also part of the Risk Monitor for the first time.
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BankAsset ManagerWealth Manager
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...
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Asset ManagerWealth ManagerBank
Frank Elderson: Resilient banks through effective supervision: a pillar of Europe’s competitiveness
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Megan Greene reappointed as external member of the Monetary Policy Committee
Megan Greene has been reappointed as an external member of the Monetary Policy Committee by the Chancellor of the Exchequer, Rachel Reeves
Sectors:
Topics:
BankAsset ManagerWealth Manager
Circular CSSF-CPDI 25/48 (track changes)
Fonds de garantie des dépôts Luxembourg (FGDL) – Method for calculating the ex-ante contributions pursuant to Article 182 of the Law of 18 December 2015 on the failure of credit institutions and of certain investment firms
AI Analysis
Circular CSSF-CPDI 25/48, published on 13 November 2025, updates the methodology for calculating ex-ante contributions to the Fonds de garantie des dépôts Luxembourg (FGDL), Luxembourg's deposit guarantee scheme, by aligning risk adjustments with EBA Guidelines and introducing a zero floor for certain calculation components. This matters for Luxembourg credit institutions as it refines risk-sensitive contributions to meet DGSD target levels for two compartments (0.8% and an additional 0.8% of covered deposits), ensuring financial stability while promoting supervisory convergence across the EU.
Sectors:
Topics:
Bank
Bank of England, Monetary Authority of Singapore, and Bank of Thailand to explore synchronised FX settlement across borders
The Bank of England, the Monetary Authority of Singapore, and the Bank of Thailand announced a collaboration to explore the technical and policy implications of settling foreign exchange (FX) transactions using synchronised settlement mechanisms.
Sectors:
Topics:
BankBroker DealerFintech
Circular CSSF-CPDI 25/48
Fonds de garantie des dépôts Luxembourg (FGDL) – Method for calculating the ex-ante contributions pursuant to Article 182 of the Law of 18 December 2015 on the failure of credit institutions and of certain investment firms
AI Analysis
Circular CSSF-CPDI 25/48 updates the methodology for calculating ex-ante annual contributions to the Fonds de garantie des dépôts Luxembourg (FGDL), Luxembourg's deposit guarantee scheme, specifically for the target levels in Articles 179 and 180 of the Law of 18 December 2015 on the failure of credit institutions and certain investment firms. This matters because it introduces a risk-adjusted contribution model aligned with EBA Guidelines, shifting from purely deposit-based calculations to ones incorporating institution-specific risk factors, potentially increasing contributions for higher-risk banks while promoting stability in the scheme's funding.
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Bank
Minutes of the Market Participants Group meeting – 12 November 2025
This was the first meeting of the Market Participants Group (MPG), a senior-level forum for financial market participants to share their views on relevant themes and narratives in financial markets with members of the Bank of England’s Monetary Policy Committee.
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BankBroker DealerPayment Provider
Written overview for the exchange of views of the Chair of the Supervisory Board of the ECB with the Eurogroup on 12 Nocember 2025
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Minutes of the CBDC Engagement Forum - February 2025
Meeting of the CBDC Engagement Forum
Sectors:
Topics:
BankFintechCrypto Exchange
Strengthening market resilience: navigating evolving dynamics in sovereign markets − speech by Lee Foulger
Given at AFME's 20th Annual European Government Bond Conference
Sectors:
Topics:
BankBroker DealerAsset Manager
PS22/25 – Leverage Ratio: Changes to the retail deposits threshold for application of the requirement
Policy statement 22/25
AI Analysis
The PRA's PS22/25 finalizes an increase in the retail deposits threshold for the leverage ratio requirement from £50 billion to £75 billion, introducing a three-year averaging mechanism for calculations, effective 1 January 2026. This adjustment reflects nominal UK GDP growth since 2016 to maintain the Financial Policy Committee's original risk appetite while smoothing cliff-edge effects for firms like building societies. It matters for major UK banks and similar firms as it alters capital planning and leverage ratio applicability, potentially reducing immediate compliance burdens for those nearing the old threshold.
Sectors:
Topics:
BankPayment ProviderAll Firms
New DFSA AI survey: Generative AI adoption has nearly tripled within the DIFC in…
12 NOV 2025, 10:00 AM New DFSA AI survey: Generative AI adoption has nearly tripled within the DIFC in…
Sectors:
Topics:
BankWealth ManagerFintech
Exchange of letters between the Governor and the Chancellor on the Asset Purchase Facility - November 2025
Exchange of letters between the Governor and the Chancellor
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Minutes of the Money Market Committee meeting – September 2025
The Money Markets Committee is a forum for market participants and authorities to discuss the UK unsecured deposits and funding market and securities lending and repo markets.
Sectors:
Topics:
BankBroker DealerAsset Manager
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
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung der Verordnung vom 21. März 2025 über Massnahmen gegenüber Personen und Organisationen, die mit den Organisationen ISIL (Da'esh) und Al-Kaida in Verbindung stehen (SR 946.231.08) publiziert.
Sectors:
Topics:
BankWealth ManagerAll Firms
Minutes of the SONIA Stakeholder Advisory Group - 22 October 2025
The SONIA Stakeholder Advisory Group supports the Bank’s administration of SONIA by providing advice and technical input to the Bank and the SONIA Oversight Committee
Sectors:
Topics:
BankAsset ManagerBroker Dealer
The evolving liquidity landscape − speech by Victoria Saporta
Elaborates on points made at the market panel of the ECB Conference on Money Markets 2025
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Update to Level A pricing in the Indexed Long-Term Repo Operation - Market Notice 7 November 2025
This Market Notice confirms that the previously announced increase to the minimum spread over Bank Rate on bids against Level A collateral in the Indexed Long-Term Repo (ILTR) operation will take effect from 17 November 2025.
Sectors:
Topics:
BankBroker Dealer
Bank Rate maintained at 4% - November 2025 Monetary Policy Summary and Minutes
Find out more about the Monetary Policy Committee’s latest decision
Sectors:
Topics:
BankWealth ManagerAll Firms
Minutes of the CBDC Engagement Forum - May 2025
Meeting of the CBDC Engagement Forum
Sectors:
Topics:
BankFintechCrypto Exchange
Individual investors remain active on the markets in the 3rd quarter of 2025
Shares ETF Fixed income Individual investors remain active on the markets in the 3rd quarter of 2025
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
UK Berne Financial Services Agreement (BFSA) Guidelines
Guidelines to assist firms considering providing services under the Berne Financial Services Agreement.
Sectors:
Topics:
BankWealth ManagerAsset Manager
PRA Regulatory Digest - October 2025
The PRA Regulatory Digest is for people working in the UK financial services industry and highlights key regulatory news and publications delivered for the month.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Circular CSSF 25/897
Update of Circular CSSF 22/821 on the Long Form Report, as amended by Circulars CSSF 23/845 and CSSF 24/865
AI Analysis
Circular CSSF 25/897 updates Circular CSSF 22/821 on the Long Form Report (LFR) for credit institutions, further aligning the self-assessment questionnaire (SAQ) with current supervisory priorities such as ML/FT risks and organizational aspects. This matters because it refines reporting to reduce redundancies, enhance transparency in REA assessments, and reflect evolving prudential focuses since prior amendments via Circulars CSSF 23/845 and 24/865, ensuring institutions' reports better support CSSF oversight.
Sectors:
Topics:
Bank
Circular CSSF 22/821 (as amended by Circulars CSSF 24/865, CSSF 23/845 and CSSF 25/897) (Updated)
Long Form ReportPractical rules concerning the self-assessment questionnaire to be submitted by institutionsMission and related reports of the statutory auditors (réviseurs d’entreprises agréés)
AI Analysis
**Circular CSSF 22/821** (as amended) fundamentally restructures how Luxembourg credit institutions report to the Commission de Surveillance du Secteur Financier (CSSF) by replacing the traditional Long Form Report with a digital **self-assessment questionnaire (SAQ)**, complemented by auditor-prepared reports. This shift represents a significant operational change that requires institutions to directly participate in prudential self-assessment while maintaining robust external audit oversight, making it essential for compliance and operational teams to understand new submission requirements and digital workflows.
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Topics:
Bank
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.
Sectors:
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.
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Topics:
BankBroker DealerAsset Manager
Minutes of the Meeting of the Court of Directors held on 19 September 2025
The Bank's Court of Directors acts as a unitary board, setting the organisation's strategy and budget and taking key decisions on resourcing and appointments. Required to meet a minimum seven times per year, it has five executive members from the Bank and up to nine non-executive members.
Sectors:
Topics:
BankAsset ManagerWealth Manager
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.
Sectors:
Topics:
BankPayment ProviderAll Firms
Aktualisierte Sanktionsmeldung: Russland
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 im Zusammenhang mit der Situation in der Ukraine (SR 946.231.176.72) geändert.
AI Analysis
On October 29, 2025, the Swiss Federal Council (Bundesrat) adopted comprehensive sanctions measures aligned with the EU's 18th sanctions package against Russia and additional measures against Belarus, effective October 30, 2025. This enforcement action significantly expands financial transaction prohibitions, export restrictions, and asset freezes, requiring Swiss financial intermediaries to immediately implement new compliance obligations across banking, goods trade, and energy sectors.
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BankPayment ProviderAll Firms
FPC’s welcoming statement for policy statement (PS) 20/25 – The Strong and Simple Framework: The simplified capital regime for Small Domestic Deposit Takers (SDDTs) – near final
The Financial Policy Committee (FPC) welcomes today the Prudential Regulation Authority’s (PRA’s) policy statement 20/25 – The Strong and Simple Framework: The simplified capital regime for Small Domestic Deposit Takers (SDDTs) – near-final.
AI Analysis
The Financial Policy Committee (FPC) welcomes the Prudential Regulation Authority's (PRA) Policy Statement (PS) 20/25, which finalizes the second phase of the "Strong and Simple Framework" by introducing a simplified capital regime for Small Domestic Deposit Takers (SDDTs), alongside liquidity simplifications. This matters because it reduces regulatory burdens, enhances competition among smaller UK banks and building societies, and maintains resilience without full Basel 3.1 standards, with implementation on 1 January 2027.
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BankFintech
PS19/25 – Restatement of CRR requirements – 2027 implementation – near-final
Policy statement 19/25
AI Analysis
**PS19/25** is the PRA's near-final policy statement finalizing how remaining Capital Requirements Regulation (CRR) provisions will be restated into the PRA Rulebook, effective January 1, 2027. This represents a critical step in the UK's transition away from assimilated EU law, giving the PRA expanded rule-making authority over UK banks, building societies, and investment firms while introducing targeted policy changes to securitisation, credit risk treatment, and ECAI mapping.
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BankBroker Dealer
PS18/25 – Retiring the refined methodology to Pillar 2A – near–final
Policy statement 18/25
AI Analysis
PS18/25, published by the PRA on 28 October 2025, retires the "refined methodology" for Pillar 2A capital calculations, replacing it with reliance on the Basel 3.1 Credit Risk Standardised Approach (CR SA) for greater risk sensitivity, transparency, and proportionality. This near-final policy simplifies the Pillar 2A framework, reduces administrative burdens, and aligns with broader Basel 3.1 implementation and the Strong and Simple regime for Small Domestic Deposit Takers (SDDTs), promoting safety, soundness, and competition. It matters because it directly impacts credit risk capital add-ons for affected firms, requiring updates to ICAAP/SREP processes ahead of Basel 3.1 timelines.
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Bank
SoP5/15 – The PRA's methodologies for setting Pillar 2 capital
Statement of Policy 5/15
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BankAsset ManagerWealth Manager
SS31/15 - The Internal Capital Adequacy Assessment Process (ICAAP) and the Supervisory Review and Evaluation Process (SREP)
Supervisory statement 31/15
AI Analysis
SS31/15 is the PRA's foundational supervisory statement establishing expectations for how UK-regulated banks and large investment firms must conduct their Internal Capital Adequacy Assessment Process (ICAAP) and how the PRA will evaluate these assessments through its Supervisory Review and Evaluation Process (SREP). This guidance is critical because it directly determines the capital requirements firms must maintain and establishes the supervisory framework through which the PRA assesses whether firms hold sufficient capital to cover material risks.
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BankBroker 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
SoP8/25 – The PRA’s approach to the exercise of powers referred to in Articles 244(3)(b), 245(3)(b), 254(4) and 258(2) of the Securitisation (CRR) Part of the PRA Rulebook
Statement of policy 8/25
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BankAll Firms
SoP6/25 – The PRA’s approach to Internal Model Method (IMM) permission under the Counterparty Credit Risk (CRR) Part
Statement of policy 6/25
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Bank
SoP7/25 – The PRA’s approach to waivers and permissions under the Securitisation (CRR) Part of the PRA Rulebook
Statement of policy 7/25
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BankAll Firms
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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Crypto ExchangeBankFintech
The SCA and DFSA strengthen regulatory cooperation with Memorandum of…
27 OCT 2025, 10:00 AM The SCA and DFSA strengthen regulatory cooperation with Memorandum of…
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BankBroker DealerWealth Manager
Issue 6 2025
No description available.
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Asset ManagerBankWealth Manager
List of supervised entities - Cut-off date 1 September 2025
No description available.
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BankAsset ManagerWealth Manager
Corporate sustainability reporting: AMF draws listed companies' attention to ESMA's 2025 recommendations
Periodic & ongoing disclosures Sustainable Finance Corporate sustainability reporting: AMF draws listed companies' attention to ESMA's 2025 recommendations
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Asset ManagerBankBroker Dealer
Financial stability and growth: The Financial Policy Committee’s mandate and the question of balance − speech by Jonathan Hall
Given at the Confederation of British Industry
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BankAsset ManagerWealth Manager
Tariffed with the same brush: confronting today’s challenges to trade − speech by Swati Dhingra
Given at central Bank of Ireland ninth annual workshop of the ESCB research cluster 2
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BankAsset ManagerWealth Manager
Acclimatised − speech by Sam Woods
Given at Mansion House
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BankWealth ManagerFintech
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung der Verordnung vom 21. März 2025 über Massnahmen gegenüber Personen und Organisationen, die mit den Organisationen ISIL (Da'esh) und Al-Kaida in Verbindung stehen (SR 946.231.08) publiziert.
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BankWealth ManagerAll Firms
Aktualisierte Sanktionsmeldung: Haiti
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung des Anhangs der Verordnung vom 16. Dezember 2022 über Massnahmen betreffend Haiti publiziert.
AI Analysis
The Swiss Federal Department of Economic Affairs, Education and Research (WBF, under which SECO operates) has published an update to the Annex of the Ordinance of 16 December 2022 on measures concerning Haiti, reflecting UN Security Council amendments to the sanctions list. This matters for Swiss financial institutions as it triggers immediate asset freeze checks and reporting obligations to ensure compliance with Switzerland's implementation of UN sanctions via FINMA and SECO oversight, avoiding enforcement risks amid Haiti's ongoing instability. The update aligns with global renewals of Haiti sanctions, emphasizing asset freezes on newly designated individuals and entities involved in destabilizing activities.
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BankWealth ManagerAll Firms
Aktualisierte Sanktionsmeldung: Nicaragua
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung des Anhangs der Verordnung vom 24. Juni 2020 über Massnahmen gegenüber Nicaragua (SR 946.231.158.5) publiziert.
AI Analysis
The Swiss Federal Department of Economic Affairs, Education and Research (WBF/EAER) amended the annex of the Ordinance on Measures against Nicaragua (SR 946.231.158.5) on 20 October 2025, modifying entries for two individuals, with measures entering into force immediately thereafter. This update requires Swiss financial intermediaries to promptly screen and adjust sanctions compliance programs to reflect the revised designations, ensuring no prohibited dealings with the updated list. It matters because failure to implement could trigger FINMA enforcement, asset blocking obligations, and reporting requirements under Switzerland's Embargo Act (EmbG).
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BankAsset ManagerWealth Manager
Aktualisierte Sanktionsmeldung: Islamischen Republik Iran
Am 20. Oktober 2025 hat das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF die Liste der in diesem Kontext sanktionierten Personen, Unternehmen und Organisationen geändert. Das WBF hat die für die Schweiz massgebliche Sanktionsdatenbank SESAM (SECO Sanctions Management) angepasst und die Anpassung auf seiner Internetseite dringlich veröffentlicht. Die Änderung tritt am 21. Oktober 2025 23:00 Uhr in Kraft. Die Finanzintermediäre werden gemäss den Vorschriften der Verordnu...
AI Analysis
This FINMA publication notifies Swiss financial intermediaries of updates to the Swiss sanctions list against the Islamic Republic of Iran, as amended by the Federal Department of Economic Affairs, Education and Research (WBF) on October 20, 2025, via the SESAM sanctions database. It matters because financial firms must immediately screen clients, freeze assets, and report matches to comply with Swiss sanction ordinances, amid escalating global Iran sanctions following UN snapback mechanisms. Failure to act risks enforcement by FINMA or SECO.
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BankAll Firms
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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BankFintechCrypto Exchange
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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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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BankAsset ManagerBroker Dealer
Effective practices: Cyber response and recovery capabilities
Publication from the Bank, PRA and FCA to firms and financial market infrastructures highlighting observed effective practices of cyber response and recovery capabilities.
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BankFintechPayment Provider
Global Economic Outlook Panel – panel remarks by Andrew Bailey
Given at the Group of Thirty’s 40th International Banking Seminar 2025, Washington DC
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BankAsset ManagerWealth Manager
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung der Verordnung vom 21. März 2025 über Massnahmen gegenüber Personen und Organisationen, die mit den Organisationen ISIL (Da'esh) und Al-Kaida in Verbindung stehen (SR 946.231.08) publiziert.
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BankWealth ManagerAll Firms
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
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BankFintechCrypto Exchange
Evolving UK monetary policy in an evolving world − speech by Huw Pill
Speech at the Institute of Chartered Accountants of England and Wales annual conference Thriving in Transformation, London
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BankAsset ManagerWealth Manager
LIAC02/25 – Low Impact Amendments Consultation October 2025
The PRA has published LIAC02/25, a consultation on proposed low impact amendments to rules and policy.
AI Analysis
The PRA's LIAC02/25 consultation, published on 16 October 2025, proposes low-impact amendments to its Rulebook and policy materials, including technical fixes, conditional disapplications, and miscellaneous corrections to enhance accuracy and align with prior policies. These changes matter for PRA-regulated firms as they ensure regulatory consistency with minimal operational burden, with most taking effect in late 2025 or early 2026 following the consultation period.
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InsuranceBankAll Firms
LIAF02/25 – Low Impact Amendments Finalisation October 2025
The PRA has published LIAF02/25, a collection of final low impact rule amendments.
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BankAsset ManagerWealth Manager
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
PRA and FCA announce changes to banker bonuses for 2025
The PRA and FCA have today confirmed plans to increase flexibility around senior banker pay, alongside changes to create better links between bonus awards and responsible risk-taking.
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BankWealth Manager
PS21/25 – Remuneration Reform
Policy statement 21/25
AI Analysis
PS21/25 implements reforms to PRA remuneration rules for banks, building societies, and PRA-designated investment firms, simplifying Material Risk Taker (MRT) identification, aligning deferral periods with international standards (4 years for non-SMF MRTs and 5 years for SMFs), and enhancing links to individual accountability under the Senior Managers Regime (SMR). These changes matter as they reduce regulatory burden, increase flexibility in bonus structures (e.g., marginal deferral rates and cash payments), and promote competitiveness while maintaining risk alignment, potentially reversing trends toward higher fixed pay.
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BankAsset ManagerAll Firms
FINMA to appeal partial decision of the Federal Administrative Court concerning AT1
The Swiss Financial Market Supervisory Authority FINMA takes note of the Federal Administrative Court’s partial decision concerning the write-down of AT1 capital instruments. FINMA will contest the judgment of 1 October 2025 and appeal to the Federal Supreme Court.
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Bank
Diversion ahead − speech by Alan Taylor
Given at King’s College, Cambridge
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BankWealth ManagerAsset Manager
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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BankWealth ManagerFintech
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung der Verordnung vom 21. März 2025 über Massnahmen gegenüber Personen und Organisationen, die mit den Organisationen ISIL (Da'esh) und Al-Kaida in Verbindung stehen (SR 946.231.08) publiziert.
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Topics:
BankWealth ManagerAll Firms
Minutes of the Securities Lending Committee meeting – September 2025
The Securities Lending Committee is a forum for market participants and authorities to discuss the UK securities lending market.
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Asset ManagerBankBroker Dealer
DFSA and HKMA to co-host second Climate Finance Conference to strengthen…
09 OCT 2025, 12:00 PM DFSA and HKMA to co-host second Climate Finance Conference to strengthen…
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BankAsset ManagerFintech
PS16/25 – Markets in Financial Instruments Directive Organisational Regulation (MiFID Org Reg)
Policy statement 16/25
AI Analysis
PS16/25 is the PRA's policy statement restating firm-facing organisational requirements from the MiFID Org Reg (e.g., outsourcing, record-keeping, risk management, compliance, internal audit, and governance) into the PRA Rulebook, with no material changes, to align with HMT's revocation of the EU regulation under FSMA 2023. This matters because it ensures continuity of prudential oversight for PRA-authorised firms post-revocation, preventing enforcement gaps in systems and controls while adapting provisions (e.g., supervisory function) to UK governance structures.
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BankBroker DealerAll Firms
Explaining the consumption gap - speech by Catherine L Mann
Given at the Resolution Foundation
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BankWealth ManagerAsset Manager
FINMA publishes guidance on the extension of the transitional period for exchange of collateral in certain OTC derivatives transactions
The Swiss Financial Market Supervisory Authority FINMA today published guidance on the extension of the transitional period for exchange of collateral in certain OTC derivatives transactions. The current transitional period runs until 1 January 2026 and will be extended by a further three years.
AI Analysis
FINMA extended the transitional period for collateral exchange requirements in non-centrally cleared OTC derivatives from January 1, 2026 to January 1, 2029, providing Swiss market participants with three additional years of relief from mandatory collateral posting obligations on certain equity derivatives. This extension aligns Swiss regulation with the EU's indefinite exemption introduced in December 2024, preventing competitive disadvantages for Swiss derivatives traders while a permanent regulatory framework is developed.
Deadline: 1 January 2026
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Broker DealerBankAsset Manager
Uncertainty, structural change and monetary policy strategy - speech by Huw Pill
The Maxwell Fry Lecture of the Money, Macro and Finance Society given at the University of Birmingham
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BankAsset ManagerWealth Manager
From new ideas to new market structures, how innovation is reshaping the financial system − speech by Sasha Mills
Given at AFME OPTIC Conference, Amsterdam
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BankFintechCrypto Exchange
Minutes of the London FXJSC Main Committee Meeting - 26 June 2025
The Bank of England chairs the London Foreign Exchange Joint Standing Committee (FXJSC), which is a forum for discussion of the wholesale foreign exchange market. The FXJSC is made up of market participants, infrastructure providers and the UK financial regulators.
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BankBroker DealerPayment Provider
Minutes of the London FXJSC Legal Sub-Committee Meeting - 24 June 2025
The Bank of England chairs the London Foreign Exchange Joint Standing Committee (FXJSC) Legal Sub-Committee. The FXJSC is made up of market participants, infrastructure providers and the UK financial regulators.
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BankBroker DealerFintech
Minutes of the London FXJSC Operations Sub-Committee Meeting - 18 June 2025
The Bank of England chairs the London Foreign Exchange Joint Standing Committee (FXJSC) Operations Sub-Committee. The FXJSC is made up of market participants, infrastructure providers and the UK financial regulators.
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BankBroker DealerPayment Provider
Financial Policy Committee Record – October 2025
Our Financial Policy Committee (FPC) meets to identify risks to financial stability and agree policy actions aimed at safeguarding the resilience of the UK financial system.
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BankAsset ManagerBroker Dealer
Foreign Currency Reserves 2025 – Market Notice 7 October 2025
Not for distribution, directly or indirectly, in or into the United States, Canada, Australia, Japan or any other jurisdiction where it is unlawful to distribute this announcement.
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BankAsset ManagerWealth Manager
Corporate sustainability reporting: AMF’s response to EFRAG’s consultation on the simplification of European standards
Sustainable Finance Periodic & ongoing disclosures Corporate sustainability reporting: AMF’s response to EFRAG’s consultation on the simplification of European standards
AI Analysis
The Autorité des Marchés Financiers (AMF), France's financial markets regulator, responded to EFRAG's July 31, 2025, public consultation on simplified European Sustainability Reporting Standards (ESRS) under the CSRD, welcoming a 57% reduction in mandatory datapoints and 55% shorter standards while urging refinements in materiality, climate reporting, and financial effects disclosure. This matters for compliance professionals as it signals upcoming proportionate ESRS revisions that could ease reporting burdens for large listed companies starting voluntarily in 2026, enhancing investor usability without diluting key sustainability insights.
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Asset ManagerBankAll Firms
Minutes: CBDC Academic Advisory Group - June 2025
Meeting of the CBDC Academic Advisory Group
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BankFintechCrypto Exchange
Aktualisierte Sanktionsmeldung: Burundi
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung des Anhangs der Verordnung über Massnahmen gegenüber Burundi (SR 946.231.121.8) publiziert.
AI Analysis
The Swiss Federal Department of Economic Affairs, Education and Research (WBF/DEFR) has updated the annex to the Ordinance on Measures against Burundi (SR 946.231.121.8), modifying the list of sanctioned persons, companies, and organizations in the SESAM database. This matters for Swiss financial institutions as it imposes immediate asset freeze and transaction restrictions, aligning with FINMA's heightened focus on sanctions risks amid geopolitical tensions.
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BankAsset ManagerWealth Manager
Sanktionsmeldung: Guinea-Bissau
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung (WBF) hat eine Änderung des Anhangs 1 der Verordnung vom 1. Juni 2012 über Massnahmen gegenüber Guinea-Bissau (SR 946.231.138.3) publiziert.
AI Analysis
The Swiss Federal Department of Economic Affairs, Education and Research (WBF) published an amendment to Annex 1 of the Ordinance on Measures against Guinea-Bissau (SR 946.231.138.3) on October 7, 2025, updating the sanctions list maintained in the SESAM database. This change, effective October 8, 2025, requires Swiss financial intermediaries to immediately screen clients, freeze assets of listed individuals, and report to SECO, reinforcing compliance with UN Security Council Resolution 2048 (2012) and EU measures following the 2012 military coup. It matters for preventing sanctions evasion and ensuring adherence to Switzerland's Embargogesetz (EmbG), with non-compliance risking FINMA enforcement.
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BankWealth ManagerAll Firms
Aktualisierte Sanktionsmeldung: Syrien
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung des Anhangs 7 der Verordnung vom 8. Juni 2012 über Massnahmen gegenüber Syrien (SR 946.231.172.7) publiziert.
AI Analysis
The Swiss Federal Department of Economic Affairs, Education and Research (WBF) updated Annex 7 of the Ordinance on Measures against Syria (SR 946.231.172.7) on October 6, 2025, modifying the list of sanctioned persons, companies, and organizations, effective October 8, 2025. This change requires Swiss financial intermediaries to immediately implement asset freezes and report affected relationships to SECO, amid broader Swiss alignment with EU and US easing of Syria sanctions earlier in 2025. It matters for compliance as it mandates swift screening updates to avoid violations of ongoing targeted financial sanctions.
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BankWealth ManagerAll Firms
Investment in Scotland - speech by Andrew Bailey
Given at the Scotland Global Investment Summit 2025
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Asset ManagerBankWealth Manager
Circular CSSF-CPDI 25/47
Survey on the amount of covered deposits held on 30 September 2025
AI Analysis
Circular CSSF-CPDI 25/47 mandates a regular survey by Luxembourg credit institutions on the amount of covered deposits as of **30 September 2025**, focusing on eligible and covered deposits under the Law of 18 December 2015 on deposit guarantee schemes. It matters because it ensures accurate reporting to the Conseil de protection des déposants et des investisseurs (CPDI) for FGDL (Fonds de garantie des dépôts Luxembourg) compliance, with detailed field-by-field instructions for complex accounts like omnibus and trusts.
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Bank
Challenges to financial stability - speech by Andrew Bailey
Given at the Klaas Knot Farewell Symposium
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BankAsset ManagerBroker Dealer
The Banque de France, the ACPR and the AMF launch a first system-wide stress test on interconnections within the financial system
Stress-testing Markets Asset management Journalists Investment services providers Investment management companies The Banque de France, the ACPR and the AMF launch a first system-wide stress test on interconnections within the financial system
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Topics:
BankAsset ManagerBroker Dealer
PRA Regulatory Digest - September 2025
The PRA Regulatory Digest is for people working in the UK financial services industry and highlights key regulatory news and publications delivered for the month.
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BankAsset ManagerWealth Manager
Aktualisierte Sanktionsmeldung: Russland
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat Änderungen des Anhangs 8 der Verordnung vom 4. März 2022 über Massnahmen im Zusammenhang mit der Situation in der Ukraine (SR 946.231.176.72) publiziert.
AI Analysis
The publication announces updates by the Swiss Federal Department for Economic Affairs, Education and Research (WBF) to Annex 8 of the Ordinance on Measures in Connection with the Situation in Ukraine (SR 946.231.176.72), aligning Swiss sanctions against Russia with ongoing international restrictions. This matters for Swiss financial intermediaries as it imposes immediate obligations to block assets, report relationships, and conduct AML checks, amid escalating sanctions that heighten compliance risks and enforcement scrutiny from FINMA.
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BankPayment ProviderAll Firms
Election Notice - 1/10/2025
Election Notice - 1/10/2025
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Broker DealerAsset ManagerAll Firms
AMF announces resumption of trading in Mexedia shares
Savings protection Warning Retail investors Journalists Listed companies and issuers AMF announces resumption of trading in Mexedia shares
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Topics:
Broker DealerWealth ManagerAll Firms
SEC Continues Efforts to Assist Market Participants During Implementation of Treasury Clearing Rules
The Securities and Exchange Commission today enhanced its efforts to assist broker-dealers and other market participants on the path to central clearing of U.S. Treasury securities, developing a one-stop webpage that puts the latest status updates, staff…
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Broker DealerBank
Bumps in the road? − speech by Sarah Breeden
Given at Cardiff Business School
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BankAsset ManagerWealth Manager
Profit and loss account of credit institutions as at 30 June 2025
Press release 25/15
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Bank
Letter from David Bailey ‘Thematic feedback on accounting for IFRS 9 expected credit losses (ECL)’
Letter to chief financial officers of selected PRA-regulated deposit-takers which provides thematic feedback from the PRA’s review of written auditor reports received in 2025 covering IFRS 9 expected credit loss accounting (ECL) and accounting for climate risk.
AI Analysis
The PRA's Dear CFO Letter, issued on 30 September 2025 by David Bailey, provides thematic feedback to selected PRA-regulated deposit-takers based on its 2025 review of auditor reports on IFRS 9 expected credit loss (ECL) accounting and climate risk integration. It matters because it highlights persistent supervisory concerns around timely credit risk recognition, model limitations, recovery assumptions, and climate impacts amid economic uncertainty, urging firms to strengthen ECL processes to ensure safety and soundness.
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Bank
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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Topics:
BankBroker DealerCrypto Exchange
Circular CSSF-CODERES 25/21
Single Resolution Fund – Information request by the Single Resolution Board for the calculation of the 2026 contribution according to Articles 4 and 14 of Commission Delegated Regulation (EU) 2015/63
AI Analysis
Circular CSSF-CODERES 25/21, issued by the CSSF on 29 September 2025, mandates Luxembourg credit institutions to submit specific data via XBRL-formatted Data Reporting Forms (DRFs) to enable the Single Resolution Board (SRB) to calculate 2026 ex-ante contributions to the Single Resolution Fund (SRF) under Articles 4 and 14 of Commission Delegated Regulation (EU) 2015/63. This matters because non-compliance risks SRB using estimates, applying the highest risk multiplier, or penalties, ensuring the financial sector funds resolution costs without taxpayer burden.
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Bank
SEC Seeks Public Comment to Improve Rules on Residential Mortgage-Backed Securities and Asset-Backed Securities
The Securities and Exchange Commission today published a concept release soliciting public comment on how to improve current SEC rules governing residential mortgage-backed securities (RMBS) and certain aspects of asset-backed securities (ABS) generally…
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BankBroker DealerAll Firms
CFTC Obtains Order for Over $5.5M Restitution for Victims in Commodity Pool Fraud by Tennessee Couple
No description available.
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Asset ManagerBroker DealerBank
UBS resolution report
The Swiss Financial Market Supervisory Authority FINMA has identified further progress in UBS’s resolvability and continues to view a resolution as feasible. However, there is a need for greater optionality, which will also require legislative changes. UBS’s emergency plan largely fulfils the current statutory requirements. However, it needs to be better integrated in the resolution plan in the future and thus cannot currently be regarded as executable. As in 2024, FINMA’s review of the recov...
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BankWealth Manager
SEC Announces Departure of Chief Operating Officer Ken Johnson
The Securities and Exchange Commission today announced that Ken Johnson, who has been serving as Chief Operating Officer (COO) since December 2017, will retire from the agency in December. “Ken has been an integral leader at the SEC for more than two…
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BankAsset ManagerBroker Dealer
The supply side demands more attention − speech by Megan Greene
Given at the Adam Smith Business School, University of Glasgow
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Topics:
BankAsset ManagerWealth Manager
On QT − remarks by Huw Pill
Given at the Inaugural Pictet Research Institute Symposium 2025
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Topics:
BankAsset ManagerWealth Manager
The Autorité des marchés financiers (AMF) is warning professionals about the extensive fraudulent and malicious use of its name engaging people into running a malicious computer program.
Warning Identity theft The Autorité des marchés financiers (AMF) is warning professionals about the extensive fraudulent and malicious use of its name engaging people into running a malicious computer program.
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BankWealth ManagerFintech
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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Topics:
BankAsset ManagerInsurance
CP21/25 – Future banking data review: Deletion of banking reporting templates
Consultation paper 21/25
AI Analysis
The PRA's CP21/25 proposes deletion of 37 banking regulatory reporting templates—primarily 34 FINREP templates representing approximately one-third of all FINREP collections—as the first phase of its Future Banking Data (FBD) programme. This initiative aims to reduce annual reporting burden by approximately £26 million while maintaining supervisory effectiveness by eliminating duplicative, outdated, or low-value data collections.
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Topics:
Bank
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
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
A systemic risk perspective on operational resilience − speech by Liz Oakes
Given at the Cross Market Operational Resilience Group (CMORG) conference
Sectors:
Topics:
BankAsset ManagerWealth Manager
Funded realignment: balancing innovation and risk − speech by Vicky White
Given at the 30th Annual Bank of America Financials CEO Conference
Sectors:
Topics:
BankAsset ManagerBroker Dealer
CFTC Obtains $1.2M for Fraud Victims, $2.8M Overall From Florida Commodity Firm, Owner
No description available.
Sectors:
Topics:
Broker DealerCrypto ExchangeAll Firms
Supervisory Banking Statistics for significant institutions - Second quarter 2025
No description available.
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Topics:
BankAsset ManagerWealth Manager
CFTC Obtains $6.9M Restitution Order Against Three Individuals, Three Florida Firms in Metals Fraud Case
No description available.
Sectors:
Topics:
Broker DealerCrypto ExchangeAll Firms
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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Topics:
Bank
Issue 5 2025
No description available.
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Asset ManagerBankWealth Manager
Withdrawal of KOREGRAF's authorisation as a crowdfunding service provider
Savings protection Withdrawal of KOREGRAF's authorisation as a crowdfunding service provider
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
FINMA publishes guidance on the disclosure of cryptobased assets in the annual financial statements of banks and securities firms
The Swiss Financial Market Supervisory Authority FINMA is today publishing guidance on the disclosure of cryptobased assets in the annual financial statements of banks and securities firms. It is thereby addressing ambiguities that have arisen since the DLT Act entered into force. FINMA emphasises that the existing duties of disclosure must continue to be complied with and provides clarifications.
Sectors:
Topics:
BankCrypto Exchange
Acting Chairman Pham Statement on Spring 2025 Unified Agenda
No description available.
Sectors:
Topics:
BankBroker DealerCrypto Exchange
FINMA publishes consolidated ordinance covering the insolvency proceedings at financial market institutions
The Swiss Financial Market Supervisory Authority FINMA is transferring the FINMA Banking Insolvency Ordinance, FINMA Insurance Bankruptcy Ordinance and FINMA Collective Investment Schemes Bankruptcy Ordinance to a new consolidated FINMA Insolvency Ordinance. The existing regulations have been revised and adapted where necessary – based on findings from practical experience and academia. In addition, the FINMA Insolvency Ordinance implements the amendments made necessary by the revisions to th...
Sectors:
Topics:
BankAsset ManagerWealth Manager
DFSA publishes FAQ on the annual AML Return and reminds Firms of 30 September…
03 SEP 2025, 03:20 PM DFSA publishes FAQ on the annual AML Return and reminds Firms of 30 September…
Sectors:
Topics:
BankAsset ManagerWealth Manager
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
Sectors:
Topics:
BankFintechCrypto Exchange
Letter from Claudia Buch, Chair of the Supervisory Board, to Mr Markus Ferber, MEP, on banking supervision
No description available.
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Topics:
BankWealth ManagerAsset Manager
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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Topics:
BankWealth 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
Sectors:
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
Sectors:
Topics:
Broker DealerWealth ManagerFintech
FINMA assesses the emergency and recovery plans for PostFinance, Raiffeisen and Zürcher Kantonalbank
The Swiss Financial Market Supervisory Authority FINMA has completed its annual assessment of the emergency and recovery plans for the domestic systemically important banks. The emergency plans for Zürcher Kantonalbank and Raiffeisen fulfil the regulatory requirements. The emergency plan for PostFinance is still not ready to implement. The recovery plans for all institutions were approved.
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Topics:
Bank
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
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
Five ‘C’s for Central Bank Research − speech by Catherine L. Mann
Given at The Future of Central Banking conference on the occasion of the 100th Anniversary, Banco de México
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Topics:
BankAsset ManagerWealth Manager
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung der Verordnung vom 21. März 2025 über Massnahmen gegenüber Personen und Organisationen, die mit den Organisationen ISIL (Da'esh) und Al-Kaida in Verbindung stehen (SR 946.231.08) publiziert.
Sectors:
Topics:
BankWealth ManagerAll Firms
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
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
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
Aktualisierte Sanktionsmeldung: Islamischen Republik Iran
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung des Anhangs 7 der Verordnung vom 11. November 2015 über Massnahmen gegenüber der Islamischen Republik Iran (SR 946.231.143.6) publiziert.
AI Analysis
On August 18, 2025, the Swiss State Secretariat for Economic Affairs (WBF) published an updated sanctions notification regarding Iran, specifically modifying Annex 7 of the Ordinance on Measures against the Islamic Republic of Iran (SR 946.231.143.6). This update is critical for Swiss financial institutions and businesses because it reflects the evolving sanctions landscape following the automatic reinstatement of UN Security Council resolutions on Iran's nuclear program in September 2025.
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Topics:
BankAsset ManagerPayment Provider
Aktualisierte Sanktionsmeldung: Lybien
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung der Liste der sanktionierten natürlichen Personen, Unternehmen und Organisationen der Verordnung vom 30. März 2011 über Massnahmen gegenüber Libyen (SR 946.231.149.82) publiziert.
AI Analysis
This FINMA publication announces an update by Switzerland's State Secretariat for Economic Affairs (SECO) to the sanctions list under the Ordinance of 30 March 2011 on Measures against Libya (SR 946.231.149.82), aligning Swiss sanctions with changes in the UN Libya sanctions regime. It matters for Swiss financial institutions as it triggers immediate screening and compliance obligations to avoid violations of asset freeze and related restrictions on designated persons, entities, or organizations. Failure to act promptly risks enforcement by FINMA.
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Topics:
BankWealth ManagerPayment Provider
Aktualisierte Sanktionsmeldung: Südsudan
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung des Anhangs 2 der Verordnung vom 12. August 2015 über Massnahmen gegenüber der Republik Südsudan (SR 946.231.169.9) publiziert.
AI Analysis
FINMA has published an update notifying financial intermediaries of changes to Annex 2 of the Ordinance on Measures against the Republic of South Sudan (SR 946.231.169.9), as announced by SECO on August 18, 2025, effective August 20, 2025. This matters because it imposes immediate asset freeze and transaction ban obligations on Swiss financial institutions with exposure to newly or modified sanctioned entities, aligning with UN Security Council Resolution 2206 (2015) and EU measures to address South Sudan's ethnic conflict, human rights violations, and humanitarian crisis. Compliance failure risks enforcement actions under the Embargo Act (EmbG) and AML regulations (GwG).
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Topics:
BankAll 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 of Economic Affairs, Education and Research (WBF) has amended Annex 2 of the Ordinance of May 25, 2005, on Measures against Sudan (SR 946.231.18), updating Switzerland's sanctions list in alignment with the SESAM database managed by SECO. This change, effective immediately on a urgent basis, requires Swiss financial intermediaries to implement updated asset freezes and transaction restrictions without delay, heightening compliance risks amid ongoing international sanctions escalation on Sudan-related actors. It matters because non-compliance exposes firms to FINMA enforcement, reputational damage, and penalties under anti-money laundering and sanctions regimes.
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BankWealth ManagerAll Firms
Circular CSSF 25/896
Adoption of the EBA Guidelines on internal policies, procedures and controls to ensure the implementation of Union and national restrictive measures (sanctions)
AI Analysis
Circular CSSF 25/896 adopts the EBA Guidelines EBA/GL/2024/14 and EBA/GL/2024/15, mandating Luxembourg financial institutions to establish robust internal policies, procedures, and controls for complying with EU and national restrictive measures (sanctions). This matters because it sets binding EU-wide standards to prevent sanctions violations and circumvention, with absolute obligations for immediate asset freezing and reporting, amid escalating geopolitical tensions.
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BankPayment ProviderCrypto Exchange
List of supervised entities – cut-off date 1 July 2025
No description available.
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Topics:
BankAsset ManagerWealth Manager
Sanktionen: Harmonisierung von Sanktionsverordnungen
No description available.
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Topics:
BankWealth ManagerAsset Manager
Aktualisierte Sanktionsmeldung: Republik Irak
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung des Anhangs der Verordnung vom 7. August 1990 über Wirtschaftsmassnahmen gegenüber der Republik Irak (SR 946.206) publiziert.
AI Analysis
The Swiss State Secretariat for Economic Affairs (SECO) published an updated sanctions notification on August 13, 2025, reflecting modifications to the UN sanctions list targeting Iraq under the Ordinance of August 7, 1990 (SR 946.206). This update is automatically applicable in Switzerland and requires immediate compliance by all financial institutions and regulated entities, as Switzerland implements UN Security Council sanctions lists without delay through its automatic application framework.
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Topics:
BankPayment ProviderAll Firms
Aktualisierte Sanktionsmeldung: Belarus
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung der Anhänge 5, 13, 14 und 15 der Verordnung über Massnahmen gegenüber Belarus (SR 946.231.116.9) publiziert.
AI Analysis
The Swiss Federal Department of Economic Affairs, Education and Research (WBF) published updates to Annexes 5, 13, 14, and 15 of the Ordinance on Measures against Belarus (SR 946.231.116.9), aligning Switzerland with additional EU sanctions imposed on July 18, 2025, in response to Belarus's involvement in Russia's war against Ukraine. This matters for Swiss financial institutions as it expands asset freezes, reporting obligations, and prohibitions, strengthening sanctions parity with Russia to prevent circumvention and enhance enforcement effectiveness.
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Topics:
BankWealth ManagerPayment Provider
Aktualisierte Sanktionsmeldung: Moldau
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung des Anhangs der Verordnung vom 28. Juni 2023 über Massnahmen betreffend Moldau (SR 946.231.156.5) publiziert.
AI Analysis
The Swiss Federal Department of Economic Affairs, Education and Research (WBF) published an update to Annex of the Ordinance on Measures concerning Moldova (SR 946.231.156.5) on August 11, 2025, expanding the sanctions list for Moldova-related destabilizing activities. This matters for Swiss financial intermediaries as it imposes immediate asset freeze and reporting obligations under the Embargo Act (EmbG) and Anti-Money Laundering Act (GwG), aligning Switzerland with EU measures to counter threats to Moldova's sovereignty amid regional instability.
Sectors:
Topics:
BankAsset ManagerAll Firms
Aktualisierte Sanktionsmeldung: Russland
Das Departement für Wirtschaft, Bildung und Forschung (WBF) hat die Erweiterung der Sanktionslisten betreffend Russland publiziert. Die Schweiz hat damit diverse Änderungen übernommen, welche die EU im Rahmen ihres 18. Sanktionspakets beschlossen hatte.
AI Analysis
This FINMA publication announces Switzerland's adoption of the EU's 18th sanctions package against Russia, expanding the sanctions lists with new designations and restrictions via the Swiss State Secretariat for Economic Affairs (SECO/WBF). It matters because Swiss financial institutions must immediately screen and freeze assets of newly listed parties, aligning with heightened FINMA enforcement on Russia sanctions risks amid ongoing geopolitical tensions. Compliance teams face elevated legal, reputational, and secondary sanctions exposure from US/EU measures.
Sectors:
Topics:
BankWealth ManagerAll Firms
Supervisory Banking Statistics for significant institutions - First quarter 2025
No description available.
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Topics:
BankAsset ManagerWealth Manager
Methodological note for the publication of aggregated Supervisory Banking Statistics
No description available.
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Topics:
BankAsset ManagerWealth Manager
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
Spreadsheet: High-level individual results for banks not included in the EBA sample
No description available.
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Topics:
BankAsset ManagerWealth Manager
Counterparty credit risk exploratory scenario exercise
No description available.
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Topics:
BankAsset ManagerBroker Dealer
Verordnung vom 7. März 2025 über die Sperrung von Vermögenswerten im Zusammenhang mit Syrien (Anpassung des Anhangs)
No description available.
AI Analysis
On July 31, 2025, Switzerland's State Secretariat for Economic Affairs (SECO) amended the annex to the Syria Asset Freezing Ordinance (SR 196.127.27), originally enacted March 7, 2025, to update the list of designated individuals subject to comprehensive asset freezes. This amendment reflects Switzerland's ongoing implementation of targeted financial sanctions against politically exposed persons connected to the former Assad regime, requiring immediate compliance from all financial intermediaries and asset holders operating in Swiss jurisdiction.
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BankWealth ManagerAsset Manager
Press release regarding BGL BNP Paribas
Press release 25/13
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Topics:
Bank
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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BankAsset ManagerBroker Dealer
The AMF Enforcement Committee fines a Danish investment bank for breaches of professional obligations committed by a French branch
Sanctions & settlements professional obligations Disclosure Obligations Other professionals Journalists The AMF Enforcement Committee fines a Danish investment bank for breaches of professional obligations committed by a French branch
AI Analysis
The AMF Enforcement Committee imposed a €300,000 fine on Saxo Bank A/S on 16 July 2025 for multiple breaches of professional obligations committed through its French branch, including failures to properly inform clients about significant changes to derivatives procedures, margin calculations, and securities transaction incidents, as well as deficiencies in equity savings plan (PEA) transfers. This enforcement action demonstrates the AMF's active oversight of cross-border investment banks operating in France and highlights critical gaps in client disclosure practices that compliance teams must address.
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Broker DealerBank
Election Notice - 7/18/2025
Election Notice - 7/18/2025
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Topics:
Broker DealerAsset ManagerAll Firms
The AMF and the AFA call for vigilance of the risk of private corruption by criminal networks of natural persons with access to inside information
MAR Financial disclosures & corporate financing Shares The AMF and the AFA call for vigilance of the risk of private corruption by criminal networks of natural persons with access to inside information
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Topics:
BankAsset ManagerBroker Dealer
Getting liquidity where it is needed − speech by Nathanaël Benjamin
Given at OMFIF Economic and Monetary Policy Institute
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Topics:
BankAsset ManagerWealth Manager
The future of the multilateral economic system, and some news on the UK payments infrastructure - speech by Andrew Bailey
Given at the Financial and Professional Services Dinner, Mansion House
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Topics:
BankPayment Provider
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
Weathering the storm: stability in a changing climate - speech by Sarah Breeden
Based on remarks given at the Chapman-Barrigan lecture
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Topics:
BankAsset ManagerWealth Manager
Aktualisierte Sanktionsmeldung: Haiti
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung des Anhangs der Verordnung vom 16. Dezember 2022 über Massnahmen betreffend Haiti (SR 946.231.139.4) 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 Haiti (SR 946.231.139.4), dated December 16, 2022, aligning Switzerland's sanctions regime with recent UN Security Council decisions. This matters for Swiss financial institutions as it mandates immediate screening against potentially updated lists of designated persons and entities, reinforcing asset freezes, travel bans, and an expanded arms embargo to address Haiti's instability. Non-compliance risks FINMA enforcement actions under anti-money laundering and sanctions frameworks.
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Topics:
BankPayment ProviderAll Firms
The end of the road − speech by Alan Taylor
Given at the London School of Economics and Political Science
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Topics:
BankWealth ManagerAsset Manager
Notice of Consultation Paper Release: CP 167
04 JUL 2025, 11:40 AM Notice of Consultation Paper Release: CP 167
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Topics:
BankAsset ManagerBroker Dealer
The meaning of reserve currency − remarks by Andrew Bailey
Given at the Andrew Crockett Memorial Lecture
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Topics:
BankWealth ManagerAsset Manager
FINMA launches consultations on the ordinances concerning risk diversification and liquidity for banks and securities firms
On 3 July 2025, the Swiss Financial Market Supervisory Authority FINMA launched the consultations on the new Ordinances on the Risk Diversification of Banks and Securities Firms and on the Liquidity of Banks and Securities Firms. The consultations will go on until 29 September 2025.
Deadline: 29 September 2025
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Topics:
BankBroker DealerAsset Manager
Unexpected curves − remarks by Alan Taylor
Given at the ECB Forum on Central Banking in Sintra, Portugal
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Topics:
BankAsset ManagerWealth Manager
Building tomorrow’s markets: the digitalisation of finance − speech by Sasha Mills
Given at City Week 2025
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Topics:
BankFintechAsset Manager
Synchronisation and beyond: enabling the next wave of financial innovation − speech by Victoria Cleland
Given at the 15th annual edition of City Week
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Topics:
BankFintechPayment Provider
New DFSA report explores regulatory insights into cybersecurity, Artificial…
30 JUN 2025, 03:18 PM New DFSA report explores regulatory insights into cybersecurity, Artificial…
Sectors:
Topics:
BankFintechAsset Manager
The UK economy in an unpredictable world – speech by Andrew Bailey
Given at British Chamber of Commerce 2025 Global Annual Conference
Sectors:
Topics:
BankAsset ManagerWealth Manager
From trading floors to policy calls: the value and evolution of our interactions with financial markets − speech by Andrea Rosen
Given at the Centre for Central Banking Studies 'Transforming monetary policy’ conference
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Topics:
BankBroker DealerCrypto Exchange
Profit and loss account of credit institutions as at 31 March 2025
Press release 25/10
Sectors:
Topics:
Bank
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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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.
Sectors:
Topics:
BankWealth Manager
RTGS 2: a launchpad for innovation − speech by Victoria Cleland
Given at UK Finance Digital Innovation Summit 2025
Sectors:
Topics:
BankFintechCrypto Exchange
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
Navigating an uncertain outlook: the signals from the labour market − speech by Dave Ramsden
Given at the Barclays-CEPR Monetary Policy Forum 2025
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Topics:
BankAsset ManagerWealth Manager
A feature not a bug − speech by Megan Greene
Speech given at the National Institute of Economic and Social Research
Sectors:
Topics:
BankWealth ManagerFintech
Revisiting the Norman Conquest of $4.86. Thoughts for the world today - speech by Andrew Bailey
Given at Britain’s Return to the Gold Standard in 1925 Revisited, Bank of England
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Topics:
BankWealth ManagerAll Firms
Central Banking in extreme adversity - speech by Andrew Bailey
Given at the 9th NBU-NBP Annual Research Conference, Kyiv
Sectors:
Topics:
BankAsset ManagerWealth Manager
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung der Verordnung vom 21. März 2025 über Massnahmen gegenüber Personen und Organisationen, die mit den Organisationen ISIL (Da'esh) und Al-Kaida in Verbindung stehen (SR 946.231.08) publiziert.
Sectors:
Topics:
BankWealth ManagerAll Firms
The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment has published its 2024 Annual Report
Annual report Savings protection Marketing Retail investors Journalists The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment has published its 2024 Annual Report
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Topics:
BankAsset ManagerInsurance
Innovation and regulation - striking the balance - speech by David Bailey
Given at Risk Live Europe
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Topics:
BankFintechAsset Manager
Financial stability in light of new global challenges: global shocks, interconnections and central counterparties − speech by Randy Kroszner
Given at FIA International Derivative Expo
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Topics:
BankBroker DealerCrypto Exchange
The stock market investor journey: the AMF analyses the mobile applications of 14 institutions
Marketing Long term investment Other professionals Retail investors Journalists The stock market investor journey: the AMF analyses the mobile applications of 14 institutions
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Topics:
Asset ManagerBroker DealerWealth Manager
Learning by doing − speech by Victoria Saporta
Given at Bank of Finland & SUERF Conference, Helsinki
Sectors:
Topics:
BankAsset ManagerWealth Manager
Second thematic review on the use of Artificial Intelligence in the Luxembourg financial sector
Press release 25/08
Sectors:
Topics:
BankAsset ManagerWealth Manager
Election Notice - 5/15/2025
Election Notice - 5/15/2025
Sectors:
Topics:
Broker DealerAsset ManagerAll Firms
Issue 4 2025
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
Women on Boards Directive: the AMF is now the competent authority for analysing and monitoring gender balance among the directors of listed companies
Governance Journalists Listed companies and issuers Women on Boards Directive: the AMF is now the competent authority for analysing and monitoring gender balance among the directors of listed companies
Sectors:
Topics:
Asset ManagerWealth ManagerBank
AMF Household Savings Newsletter: financial investment fees continue their downward trend
Fees Shares Collective investments AMF Household Savings Newsletter: financial investment fees continue their downward trend
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF applies ESMA's guidelines on updating stress scenario parameters, in accordance with Article 28 of the Money Market Funds Regulation
Asset management MMF The AMF applies ESMA's guidelines on updating stress scenario parameters, in accordance with Article 28 of the Money Market Funds Regulation
Sectors:
Topics:
Asset ManagerBankBroker Dealer
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
Sectors:
Topics:
BankAsset ManagerWealth Manager
Issue 3 2025
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
Anti-money laundering and countering the financing of terrorism: the AMF applies the guidelines of the European Banking Authority on restrictive measures for crypto-asset service providers
Anti-money Laundering Asset management Crypto-assets Anti-money laundering and countering the financing of terrorism: the AMF applies the guidelines of the European Banking Authority on restrictive measures for crypto-asset service providers
Sectors:
Topics:
Crypto ExchangeBankAsset Manager
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
Issue 2 2025
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF and ACPR Joint Unit publishes its analysis of the French structured product market
Marketing Derivatives or structured products Executive & other private individuals Journalists Listed companies and issuers The AMF and ACPR Joint Unit publishes its analysis of the French structured product market
Sectors:
Topics:
BankBroker DealerAsset Manager
Internal Auditors Committee Mandate and Audit Charter for the Eurosystem/ESCB and the Single Supervisory Mechanism
No description available.
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Topics:
BankAsset ManagerWealth Manager
Profit and loss account of credit institutions as at 31 December 2024
Press release 25/05
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Topics:
BankAsset ManagerWealth Manager
Financial stability, artificial intelligence, data quality and financial education at the heart of the discussions at the AMF 2025 international seminar for securities regulators
Europe & international Cooperation Financial stability, artificial intelligence, data quality and financial education at the heart of the discussions at the AMF 2025 international seminar for securities regulators
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Topics:
Asset ManagerBankBroker Dealer
Warning about loan scams on social media
Press release 25/04
Sectors:
Topics:
BankFintechAll Firms
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
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Employee savings: a high level of satisfaction but a persistent need for support
Employee savings scheme Employee savings: a high level of satisfaction but a persistent need for support
Sectors:
Topics:
Asset ManagerWealth ManagerBank
AMF invites financial market participants to take part in the EBA consultation on draft AML/CFT implementing standards
Anti-money Laundering Asset management AMF invites financial market participants to take part in the EBA consultation on draft AML/CFT implementing standards
AI Analysis
The AMF is urging French financial market participants to engage in the EBA's consultation launched on March 6, 2025, on draft Regulatory Technical Standards (RTS) for AML/CFT implementing standards under AMLD6 and AMLR, focusing on harmonized risk assessment methodologies for supervisors and obliged entities. This matters because it signals a shift to uniform EU-wide AML/CFT supervision via AMLA (post-EBA handover on January 1, 2026), requiring firms to adapt to standardized risk indicators, data reporting, and enforcement, with new CDD rules applying from July 2027. Participation ensures firms influence final standards amid the transition to a single EU AML rulebook.
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Asset ManagerBankAll Firms
Issue 1 2025
No description available.
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Asset ManagerBankWealth 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
Operational resilience – The AMF applies the Joint Guidelines on the oversight cooperation and information exchange under the Digital Operational Resilience Act (DORA)
Europe & international Innovation Financial services providers Operational resilience – The AMF applies the Joint Guidelines on the oversight cooperation and information exchange under the Digital Operational Resilience Act (DORA)
Sectors:
Topics:
BankAsset ManagerWealth Manager
The AMF 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 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
Sectors:
Topics:
Broker DealerWealth ManagerFintech
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
Sectors:
Topics:
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
Sectors:
Topics:
Asset ManagerBroker DealerBank
Combating money laundering and terrorist financing: the AMF applies the guidelines issued by the European Banking Authority regarding certain transfers of crypto-assets
Asset management Anti-money Laundering Crypto-assets Combating money laundering and terrorist financing: the AMF applies the guidelines issued by the European Banking Authority regarding certain transfers of crypto-assets
Sectors:
Topics:
Asset ManagerBankCrypto Exchange
Closing of the 2024 accounts: The AMF publishes recommendations and the results of its examinations of financial statements
Financial disclosures & corporate financing Periodic & ongoing disclosures Reporting ESEF Closing of the 2024 accounts: The AMF publishes recommendations and the results of its examinations of financial statements
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Topics:
Asset ManagerBankBroker Dealer
ECB Interest Rates
At our meeting yesterday, the ECB’s Governing Council cut our three policy rates by 25 basis points (or, one quarter of a percent). The disinflation process remains on track, allowing us to reduce rates. However, with some components of inflation still too high for comfort – notably, services inflation – I continue to favour a gradual reduction in rates over large moves. As policy rates fall, we should see a reduction in the costs of borrowing for households and firms. We are already seeing s...
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Topics:
BankAsset ManagerWealth Manager
Issue 13 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
Faced with dense and complex information, the AMF is encouraging financial institutions to continue their efforts to improve the transparency of their Taxonomy reporting
Sustainable Finance Periodic & ongoing disclosures Journalists Listed companies and issuers Faced with dense and complex information, the AMF is encouraging financial institutions to continue their efforts to improve the transparency of their Taxonomy reporting
Sectors:
Topics:
Asset ManagerBankWealth 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
Sectors:
Topics:
BankBroker DealerAsset Manager
Issue 12 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
The tangle of ageing populations and productivity growth - Governor Gabriel Makhlouf at Society of Professional Economists
Governor of the Central Bank of Ireland Gabriel Makhlouf today (25 November) addressed the UK Society of Professional Economists annual dinner . Speaking this evening, Governor Makhlouf said: “Europe is at a pivotal moment in its economic development. The tangle of ageing populations with weak productivity growth raise questions about the long-term growth outlook. The need to build economic resilience to both short-term shocks and longer-term transitions become self-evident by the day. Produc...
Sectors:
Topics:
BankWealth ManagerAsset Manager
Issue 11 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF Enforcement Committee fines a financial investment advisor, two asset management companies and their directors, and a credit institution a total of €5,670,000
Sanctions & settlements professional obligations Journalists Investment management companies The AMF Enforcement Committee fines a financial investment advisor, two asset management companies and their directors, and a credit institution a total of €5,670,000
AI Analysis
The AMF Enforcement Committee imposed total fines of €5,670,000 on a financial investment advisor (FIA), two asset management companies (AMCs), their directors, and a credit institution for breaches of professional obligations. This enforcement action underscores the AMF's rigorous scrutiny of operational controls, due diligence, and governance in investment services, serving as a critical reminder for firms to maintain robust procedures to avoid similar sanctions. It matters because it highlights personal liability for directors and escalating fines for systemic failures, potentially influencing peer reviews and audit priorities.
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Asset ManagerWealth ManagerBank
Issue 10 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
Publication of the first CSRD sustainability statements: AMF draws issuers’ attention to ESMA's 2024 recommendations
Periodic & ongoing disclosures Sustainable Finance Publication of the first CSRD sustainability statements: AMF draws issuers’ attention to ESMA's 2024 recommendations
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Topics:
Asset ManagerBankBroker Dealer
The AMF and the AMMC are strengthening their cooperation
Cooperation Markets Executive & other private individuals Professional investors Journalists Investment services providers Investment management companies Listed companies and issuers The AMF and the AMMC are strengthening their...
Sectors:
Topics:
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 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
Issue 9 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
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
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Central Bank publishes Flood Protection Gap Report
The Central Bank of Ireland has today (Monday 14 October) published its Flood Protection Gap Report . Some homes and businesses in Ireland are unable to obtain flood cover. This means that when a flood occurs, there can be a shortfall between the actual cost of the flood and the portion of that cost that is covered by insurance. This is the flood protection gap. The occurrence of severe flooding could and does leave households and business with high levels of uninsured losses, and may create ...
Sectors:
Topics:
BankInsuranceAll Firms
ESMA’s communications to support the implementation and supervision of corporate sustainability reporting
Sustainable Finance Periodic & ongoing disclosures ESMA’s communications to support the implementation and supervision of corporate sustainability reporting
Sectors:
Topics:
Asset ManagerBankBroker Dealer
Corporate Sustainability Reporting directive (CSRD): EFRAG and the European Commission publish implementation guidance and FAQs
Sustainable Finance Periodic & ongoing disclosures Corporate Sustainability Reporting directive (CSRD): EFRAG and the European Commission publish implementation guidance and FAQs
AI Analysis
The AMF publication announces implementation guidance and FAQs on the Corporate Sustainability Reporting Directive (CSRD) released by EFRAG and the European Commission, aimed at clarifying reporting standards under the European Sustainability Reporting Standards (ESRS). This matters for compliance professionals as it provides actionable tools to meet expanded sustainability disclosure requirements, ensuring audit-ready reporting amid phased rollouts and third-party assurance mandates. It supports harmonized EU-wide compliance for nearly 50,000 companies, enhancing data comparability and investor transparency.
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Topics:
Asset ManagerBankInsurance
Issue 8 2024
No description available.
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Topics:
Asset ManagerBankWealth Manager
Issue 7 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
The Autorité des Marchés Financiers (AMF) signs #JamaisSansElles Charter
Institutional Organisational rules Journalists The Autorité des Marchés Financiers (AMF) signs #JamaisSansElles Charter
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Asset ManagerBroker DealerWealth Manager
The AMF publishes its 2023 CSR Report
AMF activity Institutional The AMF publishes its 2023 CSR Report
Sectors:
Topics:
Asset ManagerBankWealth 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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Topics:
Crypto ExchangeFintechAll Firms
AMF and Banque de France call for a well-anticipated move to T+1 Settlement Cycle
Regulatory developments Post-trading infrastructures Market infrastructures Cooperation Journalists AMF and Banque de France call for a well-anticipated move to T+1 Settlement Cycle
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Topics:
BankBroker DealerAsset Manager
The AMF proposes a methodology for calibrating the thresholds determining the transparency regime applicable to corporate bond transactions.
MIFID Fixed income The AMF proposes a methodology for calibrating the thresholds determining the transparency regime applicable to corporate bond transactions.
Sectors:
Topics:
BankBroker Dealer
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 launches its "innovation workshops"
Innovation Artificial intelligence AMF launches its "innovation workshops"
Sectors:
Topics:
BankAsset ManagerFintech
Artificial intelligence: the AMF encourages market stakeholders to take part in two European Commission initiatives on issues specific to the financial sector
Artificial intelligence Innovation Financial products Financial services providers Artificial intelligence: the AMF encourages market stakeholders to take part in two European Commission initiatives on issues specific to the financial sector
Sectors:
Topics:
Asset ManagerBankFintech
The AMF and the ACPR have published their report on the monitoring and assessment of the climate commitments made by Paris financial centre participants
Sustainable Finance Governance Financing the economy Other professionals Journalists Investment management companies Listed companies and issuers The AMF and the ACPR have published their report on the monitoring and assessment of the climate...
Sectors:
Topics:
Asset ManagerBankBroker Dealer
AMF Chair Marie-Anne Barbat-Layani meets with CSRC Vice Chairman, Fang Xinghai
Institutional Europe & international Cooperation AMF Chair Marie-Anne Barbat-Layani meets with CSRC Vice Chairman, Fang Xinghai
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Issue 6 2024
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment has published its 2023 Annual Report
Annual report Savings protection Marketing Retail investors Journalists The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment has published its 2023 Annual Report
Sectors:
Topics:
BankAsset ManagerInsurance
Mystery shopping visits to bank branches: the collection of client sustainability preferences remains fragmented
Sustainable Finance Investment advice Long term investment Retail investors Journalists Mystery shopping visits to bank branches: the collection of client sustainability preferences remains fragmented
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Topics:
BankWealth ManagerAsset Manager
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
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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
Issue 5 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
Issue 4 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
Austrian, French, Italian and Spanish financial market authorities give their key priorities for a macro-prudential approach to asset management
Asset management Europe & international Journalists Investment management companies Austrian, French, Italian and Spanish financial market authorities give their key priorities for a macro-prudential approach to asset management
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Topics:
Asset ManagerBankBroker Dealer
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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Topics:
Asset ManagerBroker DealerBank
Pauline Briand joins the Autorité des Marchés Financiers (AMF) as Head of Communications
Appointment AMF activity Journalists Pauline Briand joins the Autorité des Marchés Financiers (AMF) as Head of Communications
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Topics:
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
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
Sectors:
Topics:
Asset ManagerBankWealth Manager
Issue 3 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
Issue 2 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth 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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Topics:
Asset ManagerBroker DealerBank
EMIR Refit: Update of the AMF website on notifications forms
Derivatives or structured products EMIR Refit: Update of the AMF website on notifications forms
Sectors:
Topics:
Asset ManagerBroker DealerBank
The European single access point for financial and non-financial information on European entities (ESAP) enters its implementation phase
Europe & international Periodic & ongoing disclosures The European single access point for financial and non-financial information on European entities (ESAP) enters its implementation phase
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Topics:
Asset ManagerBankBroker Dealer
Issue 1 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
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
The Autorité des marchés financiers (AMF) is warning professionals about the extensive fraudulent and malicious use of its name, with links to various websites that could trick people into running a malicious computer program
Warning Identity theft Savings protection Warning The Autorité des marchés financiers (AMF) is warning professionals about the extensive fraudulent and malicious use of its name, with links to various websites that could trick people into running a malicious computer program
Sectors:
Topics:
BankWealth 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 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
The AMF releases a research paper on French bond funds' flow-performance relationship
Asset management UCIT The AMF releases a research paper on French bond funds' flow-performance relationship
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Topics:
Asset ManagerBankBroker Dealer
Issue 10 2023
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
The ACPR and AMF encourage financial institutions to continue their efforts to take account of the vulnerability of ageing clients
Marketing Savings protection Retail investors Professional investors Journalists The ACPR and AMF encourage financial institutions to continue their efforts to take account of the vulnerability of ageing clients
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Topics:
BankWealth ManagerAll Firms
Issue 9 2023
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
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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Topics:
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
Sectors:
Topics:
BankWealth ManagerAll Firms
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
Issue 8 2023
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
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
MiFID II product governance requirements: the AMF applies the updated ESMA guidelines
Asset management MIFID Financial services providers MiFID II product governance requirements: the AMF applies the updated ESMA guidelines
Sectors:
Topics:
Asset ManagerBroker DealerBank
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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Topics:
Asset ManagerFintechCrypto Exchange
The AMF publishes a study on the margins applied by brokers in the French bond market
Fixed income Markets Financial services providers The AMF publishes a study on the margins applied by brokers in the French bond market
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Topics:
Broker DealerBank
The AMF pays tribute to Jacques Delmas-Marsalet
Institutional AMF activity Journalists The AMF pays tribute to Jacques Delmas-Marsalet
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Topics:
BankWealth ManagerAsset Manager
Market infrastuctures on blockchain technology: adaptation of the French securities laws
Crypto-assets Innovation Market infrastructures Post-trading infrastructures Market infrastuctures on blockchain technology: adaptation of the French securities laws
Sectors:
Topics:
BankFintechCrypto Exchange
Anti-money laundering and combating the financing of terrorism: the AMF applies the guidelines of the European Banking Authority
Anti-money Laundering Asset management Anti-money laundering and combating the financing of terrorism: the AMF applies the guidelines of the European Banking Authority
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF reinforces the visibility of its blacklists through Open Data
Innovation Savings protection AMF activity The AMF reinforces the visibility of its blacklists through Open Data
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF responds to the European Commission’s public consultation on the draft European sustainability reporting standards
Periodic & ongoing disclosures Sustainable Finance Regulatory developments The AMF responds to the European Commission’s public consultation on the draft European sustainability reporting standards
AI Analysis
The AMF's response to the European Commission's public consultation advocates for simplified European Sustainability Reporting Standards (ESRS) under the CSRD, emphasizing retained quality in climate reporting, interoperability with ISSB standards, and proportionality while opposing overly complex materiality assessments. This matters for compliance professionals as it signals upcoming ESRS revisions that could reduce reporting burdens but maintain investor-focused disclosures, influencing 2026-2028 sustainability statements for listed firms and financial institutions. https://www.amf-france.org/en/news-publications/news/amf-responds-european-commissions-public-consultation-draft-european-sustainability-reporting
Sectors:
Topics:
Asset ManagerBankAll Firms
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
Sectors:
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
Sectors:
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
Sectors:
Topics:
Crypto ExchangeFintech
The AMF supports issuers in implementing new sustainability reporting obligations
Periodic & ongoing disclosures Sustainable Finance The AMF supports issuers in implementing new sustainability reporting obligations
Sectors:
Topics:
Asset ManagerBankAll Firms
European Crowdfunding Services Providers: the AMF publishes a position on marketing communications
Financial services providers Asset management Marketing European Crowdfunding Services Providers: the AMF publishes a position on marketing communications
Sectors:
Topics:
Asset ManagerBroker DealerFintech
Slight recovery of retail investor activity in the stock market
Long term investment Equity Savings Plan Retail investors Journalists Slight recovery of retail investor activity in the stock market
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
The AMF makes available to listed companies the English version of its recommendations and the results of its examination work of the financial statements
Financial disclosures & corporate financing The AMF makes available to listed companies the English version of its recommendations and the results of its examination work of the financial statements
Sectors:
Topics:
BankBroker DealerAsset Manager
The AMF 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
Laure Tertrais is appointed Head of the AMF Chair’s Executive Office with effect from 1 April 2023
Appointment AMF activity Institutional Journalists Laure Tertrais is appointed Head of the AMF Chair’s Executive Office with effect from 1 April 2023
Sectors:
Topics:
Asset ManagerBankAll Firms
Sustainable Finance Disclosure Regulation: the AMF publishes a study on classifications and fossil fuel exposure in the French funds universe
Sustainable Finance Asset management Sustainable Finance Disclosure Regulation: the AMF publishes a study on classifications and fossil fuel exposure in the French funds universe
Sectors:
Topics:
Asset ManagerBankBroker Dealer
“Review of the Consumer Protection Code: securing customers’ interests” - Remarks by Gerry Cross, Director of Financial Regulation – Policy & Risk at Insurance Ireland - KPMG Briefing Session
“Review of the Consumer Protection Code: securing customers’ interests” - Remarks by Gerry Cross, Director of Financial Regulation – Policy & Risk, Central Bank of Ireland at Insurance Ireland - KPMG Briefing Session: CBI Review of the Consumer Protection Code
Sectors:
Topics:
BankInsurance
Publication by the Climate and Sustainable Finance Commission: climate resolutions
Sustainable Finance Publication by the Climate and Sustainable Finance Commission: climate resolutions
Sectors:
Topics:
Asset ManagerBankWealth Manager
Shareholder dialogue on environmental and climate issues
Sustainable Finance Executive & other private individuals Journalists Listed companies and issuers Shareholder dialogue on environmental and climate issues
Sectors:
Topics:
Asset ManagerBankBroker Dealer
Mystery shopping campaign to bank branches: progress made in the questioning to client, improvements needed in the information provided
MIFID Supervision Retail investors Journalists Mystery shopping campaign to bank branches: progress made in the questioning to client, improvements needed in the information provided
Sectors:
Topics:
BankWealth Manager
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
Sectors:
Topics:
Broker DealerWealth ManagerFintech
AI enthusiasts, the AMF challenges you
Innovation Markets AI enthusiasts, the AMF challenges you
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
Anti-money laundering and combating the financing of terrorism: the AMF applies the guidelines of the European Banking Authority
Asset management Anti-money Laundering Anti-money laundering and combating the financing of terrorism: the AMF applies the guidelines of the European Banking Authority
Sectors:
Topics:
Asset ManagerBankWealth Manager
Termination of membership towards Indian central counterparties: a transition period planned for the French credit institutions
EMIR Termination of membership towards Indian central counterparties: a transition period planned for the French credit institutions
Sectors:
Topics:
Bank
Marketing of financial products to ageing populations: publication of an independent academic research report on customer relations and sales processes
Savings protection Marketing Marketing of financial products to ageing populations: publication of an independent academic research report on customer relations and sales processes
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Publication of the new directive on corporate sustainability reporting (CSRD)
Sustainable Finance Periodic & ongoing disclosures Publication of the new directive on corporate sustainability reporting (CSRD)
Sectors:
Topics:
Asset ManagerBankBroker Dealer
The AMF warns the public about calls from fraudsters claiming to help recover funds
Warning Warning Savings protection The AMF warns the public about calls from fraudsters claiming to help recover funds
Sectors:
Topics:
BankWealth Manager
Artificial intelligence, towards new contributions for regulators
Artificial intelligence Financial disclosures & corporate financing Innovation Prospectus Artificial intelligence, towards new contributions for regulators
Sectors:
Topics:
Asset ManagerBroker DealerFintech
The AMF 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 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.
Sectors:
Topics:
BankAsset ManagerFintech
Social and environmental responsibility, the focus of the AMF's 2022 report on corporate governance and executive compensation of listed companies
Governance Sustainable Finance Executive & other private individuals Journalists Listed companies and issuers Social and environmental responsibility, the focus of the AMF's 2022 report on corporate governance and executive compensation of listed companies
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF 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
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF publishes two analyses of the information provided by listed companies under Taxonomy reporting and concerning the effects of climate risk in financial statements
Sustainable Finance Periodic & ongoing disclosures Executive & other private individuals Journalists Listed companies and issuers The AMF publishes two analyses of the information provided by listed companies under Taxonomy reporting and concerning the effects of...
Sectors:
Topics:
Asset ManagerBank
Marie-Anne Barbat-Layani appointed Chair of the Autorité des Marchés Financiers
Appointment Institutional AMF activity Other professionals Executive & other private individuals Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services...
Sectors:
Topics:
BankAsset ManagerWealth Manager
The Autorité des marchés financiers (AMF) has requested the resumption of listing of ORPEA’s securities today
Markets Financial disclosures & corporate financing The Autorité des marchés financiers (AMF) has requested the resumption of listing of ORPEA’s securities today
Sectors:
Topics:
Asset ManagerBroker DealerBank
The AMF and the ACPR publish their third report on the monitoring and assessment of the climate commitments of Paris financial centre actors
Sustainable Finance Governance Financing the economy Other professionals Executive & other private individuals Fintech Market Infrastructures Professional investors Journalists Investment services providers ...
Sectors:
Topics:
Asset ManagerBankBroker Dealer
The AMF calls on investment fund depositaries to strengthen their arrangements for the onboarding and monitoring of asset management companies
Supervision UCIT Asset management Journalists Investment management companies The AMF calls on investment fund depositaries to strengthen their arrangements for the onboarding and monitoring of asset management companies
Sectors:
Topics:
Asset ManagerBank
The AMF 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
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.
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Call for candidates: renewal of the members of the Climate and Sustainable Finance Commission
Sustainable Finance AMF activity Journalists Call for candidates: renewal of the members of the Climate and Sustainable Finance Commission
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF calls for vigilance against fraudulent sites usurping its name
Warning Savings protection Warning The AMF calls for vigilance against fraudulent sites usurping its name
Sectors:
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
Sectors:
Topics:
Asset ManagerBankBroker Dealer
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
AMF's response to the International Sustainability Standards Board’s consultation on the exposure drafts on international sustainability disclosures
Regulatory developments Europe & international Sustainable Finance Periodic & ongoing disclosures AMF's response to the International Sustainability Standards Board’s consultation on the exposure drafts on international sustainability disclosures
AI Analysis
The Autorité des Marchés Financiers (AMF), France's financial markets regulator, issued a position paper on July 27, 2022, responding to the International Sustainability Standards Board's (ISSB) consultation on exposure drafts for international sustainability disclosure standards (IFRS S1 and S2). This matters for compliance professionals as it signals France's push for global-EU interoperability in ESG reporting, influencing how firms align ISSB "investor-focused" standards with Europe's double-materiality CSRD/ESRS framework to avoid dual reporting burdens. https://www.amf-france.org/en/news-publications/amfs-eu-positions/amf-response-issb-consultation-exposure-drafts-sustainability-disclosure-standards; https://www.amf-france.org/sites/institutionnel/files/private/2022-07/Position%20paper%20ISSB%20AMF%20-%20July%202022_0.pdf
Sectors:
Topics:
Asset ManagerBankAll Firms
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.
Sectors:
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
The AMF reviews the key issues raised by the Veolia-Suez public offer
Bids Financial disclosures & corporate financing The AMF reviews the key issues raised by the Veolia-Suez public offer
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Grégoire Vuarlot is appointed coordinator of the ACPR and AMF Joint Unit starting 1st July 2022
AMF activity Appointment Journalists Grégoire Vuarlot is appointed coordinator of the ACPR and AMF Joint Unit starting 1st July 2022
Sectors:
Topics:
BankWealth ManagerAsset Manager
The AMF 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.
Sectors:
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
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
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
Review of the central clearing framework in the EU: the AMF publishes a position paper
Market infrastructures Post-trading infrastructures Review of the central clearing framework in the EU: the AMF publishes a position paper
Sectors:
Topics:
BankBroker DealerAsset Manager
The AMF publishes a summary of its SPOT inspections on post-trade transparency in the bond market
Supervision Fixed income Journalists Investment services providers The AMF publishes a summary of its SPOT inspections on post-trade transparency in the bond market
Sectors:
Topics:
Broker DealerBank
The AMF 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
Consequences of the Ukrainian crisis: the AMF alerts asset management companies
Asset management Consequences of the Ukrainian crisis: the AMF alerts asset management companies
Sectors:
Topics:
Asset ManagerBankWealth 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.
Sectors:
Topics:
Asset ManagerBroker DealerAll Firms
Closing of the 2021 financial statements: the AMF publishes its recommendations and the results of its recent work examining financial statements
Financial disclosures & corporate financing Covid-19 Closing of the 2021 financial statements: the AMF publishes its recommendations and the results of its recent work examining financial statements
Sectors:
Topics:
Asset ManagerBankBroker Dealer
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
Central Bank publishes three Behind the Data papers examining the international activities of the Irish financial sector
Recent increase in cross-border financial assets is largely due to migration of assets from UK banks to subsidiaries in Ireland, to continue to serve EU clients after Brexit. Paper examining the strength of the connectedness of Irish insurance sector and investment funds finds insurers primarily hold shares in equity, bond, and mixed funds. The Irish non-bank financial intermediation sector – as measured using a Financial Stability Board framework - is the fifth largest in the world. The Cent...
AI Analysis
The Central Bank of Ireland (CBI) published three "Behind the Data" papers on 20 January 2022 analyzing the international activities of Ireland's banking, insurance, investment funds, and non-bank financial intermediation (NBFI) sectors, highlighting post-Brexit asset migrations, insurer exposures via funds, and Ireland's fifth-largest global NBFI sector per FSB metrics. This matters for compliance professionals as it signals heightened CBI scrutiny on cross-border exposures, interconnectedness, and data granularity needs, potentially informing future supervisory expectations, macro-prudential policies, and reporting enhancements without imposing immediate rules.
Sectors:
Topics:
BankAsset ManagerInsurance
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 ACPR and AMF publish their report on climate-related commitments of French financial institutions
Sustainable Finance Journalists Investment services providers Investment management companies Listed companies and issuers The ACPR and AMF publish their report on climate-related commitments of French financial institutions
Sectors:
Topics:
Asset ManagerBankWealth Manager
Settlement discipline: supervisory approach on the implementation of the CSDR provisions
CSDR Supervision Settlement discipline: supervisory approach on the implementation of the CSDR provisions
Sectors:
Topics:
BankBroker DealerAsset Manager
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
Money laundering and terrorist financing: the AMF applies EBA guidelines on risk factors
Asset management Anti-money Laundering Money laundering and terrorist financing: the AMF applies EBA guidelines on risk factors
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF 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
The AMF and the Banque de France publish an update of the inventory of liquidity management tools in French funds
Asset management Prospectus The AMF and the Banque de France publish an update of the inventory of liquidity management tools in French funds
Sectors:
Topics:
Asset ManagerBankWealth Manager
Market Data: the AMF applies ESMA Guidelines
MIFID Market Data: the AMF applies ESMA Guidelines
Sectors:
Topics:
Asset ManagerBroker DealerBank
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
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 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
Taxonomy Article 8: The AMF informs issuers about the phased application of reporting requirements
Sustainable Finance Annual report Disclosure Obligations Taxonomy Article 8: The AMF informs issuers about the phased application of reporting requirements
Sectors:
Topics:
Asset ManagerBankAll Firms
The AMF publishes a study about potential explanatory variables for the record outflows that French MMFs faced in March 2020
MMF The AMF publishes a study about potential explanatory variables for the record outflows that French MMFs faced in March 2020
Sectors:
Topics:
Asset ManagerBankBroker Dealer
The AMF emphasises the importance of independence in financial analysis
Financial analysis The AMF emphasises the importance of independence in financial analysis
Sectors:
Topics:
Asset ManagerBroker DealerBank
The AMF 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 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, 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
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Application Form – Third country auditors and audit entities
No description available.
Sectors:
Topics:
BankWealth Manager
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
Sectors:
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 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
List of notifications received
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
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
Sectors:
Topics:
BankWealth ManagerBroker Dealer
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
Sectors:
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 AMF and the ACPR warn the public of the risks of scams in the context of the coronavirus epidemic
Warning Covid-19 Savings protection Financial Scams The AMF and the ACPR warn the public of the risks of scams in the context of the coronavirus epidemic
Sectors:
Topics:
BankWealth ManagerAll Firms
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
Sectors:
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:
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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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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 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 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 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) 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
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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:
Topics:
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 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) 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) 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) 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
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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
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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
AMF warns investors about MTL Index
Warning Savings protection AMF warns investors about MTL Index
Sectors:
Topics:
Asset ManagerWealth ManagerBank
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 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
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
Sectors:
Topics:
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:
Topics:
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:
BankBroker DealerWealth Manager
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
Sectors:
Topics:
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:
Topics:
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
Sectors:
Topics:
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.
Sectors:
Topics:
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
Sectors:
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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
Sectors:
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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
Sectors:
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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.
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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 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:
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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 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
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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 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 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
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Broker DealerFintechAll Firms
Address by Professor Cormac O'Grada, School of Economics, UCD, to the Central Bank Whitaker Lecture
Five Crises Ábhar mór bróid dom an léacht seo a thabhairt in onóir an Dochtúra T.K. Whitaker. Agus mar bharr ar sin, é bheith i láthair anocht. It is a great honour to be asked to deliver this lecture in honour of Dr. Ken Whitaker, all the more so in his presence. Go maire sé an céad! Or even better, as the Yiddish saying goes, ‘biz hundert un tsvantsik’. Economic crises often prompt us to look backwards and, perhaps, to seek solace in parallels and precedents in the past. Just as rising unem...
AI Analysis
This 2011 Whitaker Lecture by Professor Cormac O'Grada, hosted by the Central Bank of Ireland (CBI), is an academic speech analyzing five historical economic crises in Ireland, including the Economic War, WWII Emergency, 1950s downturn, and others, to contextualize the post-2008 financial crisis. It lacks any regulatory changes, enforcement actions, or compliance mandates, serving instead as reflective economic history rather than a binding publication. Compliance professionals need not action it directly, but it offers historical perspective on crisis resilience relevant to risk management and governance discussions.
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