Muzinich Co. Opens Adgm Office To Strengthen Middle East Presence
Muzinich Co. Opens Adgm Office To Strengthen Middle East Presence
Sectors:
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Asset ManagerBankWealth Manager
Consumer Protection / Conduct
Conduct of business rules, treating customers fairly, product governance, and consumer duty requirements.
Shojin Financial Services Limited enters administration
Shojin Financial Services Limited (Shojin) is a crowdfunding platform authorised and regulated by the FCA. Shojin allowed customers to make investments that were used to fund loans toward property developments. On 23 March 2026, Shojin went into administration. Simon Carvill-Biggs and Ian Corfield of FRP Trading Advisory Limited were appointed as Joint Administrators.The Joint Administrators are responsible for acting in the best interests of the people who are owed money by Shojin, and they ...
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FintechWealth Manager
Walnut Planet GmbH: evidence indicates no prospectus published
The Federal Financial Supervisory Authority (BaFin) has evidence indicating that Walnut Planet GmbH, which has its registered office in Pfäffikon (Schwyz), Switzerland, is offering a capital investment that falls within the definition of “other investments” under section 1 (2) no. 7 of the German Capital Investment Act (Vermögensanlagengesetz - VermAnlG) to the public in Germany. The investment on offer consists of combined lease and service agreements relating to the cultivation of walnuts i...
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Asset ManagerWealth ManagerBank
Central Bank of Ireland launches commemorative coin honouring playwright Seán O'Casey
Central Bank of Ireland today launched a commemorative coin celebrating the life and work of renowned Irish playwright Seán O'Casey, on what would have been his 146 th birthday. It marks the 100th anniversary of the inaugural performance of his masterpiece The Plough and the Stars at the Abbey Theatre. The silver proof coin will go on sale today (Monday 30 March 2026) at 1pm on www.collectorcoins.ie . Designed by PJ Lynch, there are just 3,000 coins available, and they will retail at €90. Gov...
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BankWealth ManagerAll Firms
FMSB signs Consultation Agreement with Autorité des Marchés Financiers
Markets Europe & international Cooperation FMSB signs Consultation Agreement with Autorité des Marchés Financiers
AI Analysis
The Autorité des Marchés Financiers (AMF) and Financial Markets Standards Board (FMSB) have signed a Consultation Agreement to enhance collaboration on developing guidance for wholesale Fixed Income, Currencies, and Commodities (FICC) markets, allowing AMF to provide expertise on FMSB drafts. This matters for compliance professionals as it signals regulatory endorsement of FMSB's non-binding standards, potentially elevating their influence on market conduct expectations in France and Europe, particularly as Paris grows as a trading hub. https://www.amf-france.org/en/news-publications/news/fmsb-signs-consultation-agreement-autorite-des-marches-financiers
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Broker DealerBank
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
Former Venture Egg, Reilly Financial and Interprac adviser Nicholas Hogan banned for four years
Former Venture Egg, Reilly Financial and Interprac adviser Nicholas Hogan banned for four years
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Topics:
Wealth Manager
Delivering on the Insurer’s Promise - Keynote speech by Mr Marcus Lim, Assistant Managing Director, Monetary Authority of Singapore, at the Life Insurance Association, Singapore (LIA) Annual Luncheon on 30 March 2026
At the Life Insurance Association, Singapore (LIA) Annual Luncheon on 30 March 2026, Mr Marcus Lim, Assistant Managing Director, Monetary Authority of Singapore, delivered a keynote speech highlighting three key roles played by insurers.
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Insurance
Investment trust votes, conflicts of interest, and our role
On 3 March 2026, we said we’d bring forward our planned review of the UK Listing Rules for Investment entities, including how they apply to board independence and related party provisions.Since then, there has been substantial debate over our role in relation to investment trusts, including calls for us to ‘get to grips’ with voting rules ‘that allow a minority shareholder to repeatedly attack an investment trust’.Much of this debate suggests there are misunderstandings about how investment t...
AI Analysis
This FCA blog post announces an accelerated review of UK Listing Rules for investment entities, focusing on board independence, related party provisions, conflicts of interest, and shareholder rights amid debates over activist minority shareholders targeting investment trusts. It matters because it clarifies the FCA's limited role (rules apply to issuers, not shareholders), reinforces Companies Act protections, and signals upcoming proposals to ensure rules fit novel scenarios like concentrated ownership, potentially impacting governance and listing compliance for investment trusts.[FCA blog]
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Asset ManagerAll Firms
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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Topics:
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
TD ICAV (CLONES) - Central Bank of Ireland Issues Warning on Unauthorised Firm
TD ICAV (CLONES) - Central Bank of Ireland Issues Warning on Unauthorised Firm
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Asset ManagerWealth Manager
Castleforbes Wealth (CLONE)– Central Bank of Ireland issues warning about unauthorised firm
Castleforbes Wealth (CLONE)– Central Bank of Ireland issues warning about unauthorised firm
Sectors:
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Wealth Manager
The stock market attracted a record number of retail investors in 2025
Long term investment Shares ETF Retail investors Journalists The stock market attracted a record number of retail investors in 2025
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Asset ManagerBroker DealerWealth Manager
BaFin warns consumers about the websites renvio(.)icu and renvio(.)pro
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the websites renvio(.)icu and renvio(.)pro. BaFin has information that these websites are being used to offer financial, investment and cryptoasset services without the required authorisation.
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BankFintechCrypto Exchange
ASIC applies to wind up 12 companies associated with NSW accountant and former solicitor Christopher Malcolm Edwards
ASIC applies to wind up 12 companies associated with NSW accountant and former solicitor Christopher Malcolm Edwards
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Asset ManagerWealth ManagerBank
Binance Australia Derivatives ordered to pay $10 million penalty for onboarding failures causing millions in client trading losses
Binance Australia Derivatives ordered to pay $10 million penalty for onboarding failures causing millions in client trading losses
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Crypto Exchange
Singapore Sets out Key Focus Areas to Develop Singapore as a Gold Trading Centre
MAS and the Singapore Bullion Market Association (SBMA) set out key focus areas to strengthen Singapore’s position as a trusted gold trading centre serving the Asia-Pacific region. This will meet the growing interest among investors to vault and trade gold in Singapore. The key focus areas were developed by a Gold Market Development Working Group that MAS and SBMA established in January 2026, building on detailed discussions and studies with industry participants in 2025.
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BankWealth ManagerFamily Office
Stopping for gas − speech by Alan Taylor
Given at the Exante Data 10 Year Anniversary Conference, New York
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BankWealth ManagerFintech
Crypto-assets: The AMF applies ESMA guidelines on the knowledge and competence of staff of crypto-asset service providers under MiCA
Crypto-assets MiCA Crypto-assets: The AMF applies ESMA guidelines on the knowledge and competence of staff of crypto-asset service providers under MiCA
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Crypto ExchangeFintech
FCA responds to Complaint Commissioner’s report on the British Steel Pension Scheme
We sympathise with former members of the British Steel Pension Scheme (BSPS) who lost money after they were given unsuitable advice from people they trusted. Complaints are a valuable source of feedback which help us improve and learn. There have also been 4 independent reports into the BSPS since 2018, which have helped us learn lessons. We have accepted several of their recommendations and implemented improvements, including those below.We now have much closer collaboration between the FCA,...
AI Analysis
The FCA's response to the Complaint Commissioner's report on the British Steel Pension Scheme addresses systemic failures in pension transfer advice that affected approximately 7,700 members, with 47% receiving unsuitable advice. This statement demonstrates the FCA's acknowledgment of regulatory shortcomings and outlines remedial measures implemented to prevent similar harm, including enhanced inter-agency collaboration, stricter product governance rules, and a £106 million redress scheme now benefiting 1,870 affected members.
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Wealth ManagerAsset ManagerAll Firms
Equity for Growth (Securities) Limited enters liquidation
On 25 March 2026, following a petition filed by the FCA, the High Court ordered that Equity for Growth (Securities) Limited (EFG) be wound up. EFG is a corporate finance firm. EFG was also a principal for a number of appointed representatives between 2015 and 2020, including Amyma Ltd and Osborne Baldwin Ltd, which traded as Hunter Jones.An appointed representative carries on regulated activity under the responsibility of an authorised firm, known as 'the principal'. Find more information on ...
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Asset ManagerWealth ManagerBroker Dealer
West Invest Bank - Central Bank of Ireland Issues Warning on Unauthorised Firm
West Invest Bank - Central Bank of Ireland Issues Warning on Unauthorised Firm
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Bank
Walsh Trust Bank - Central Bank of Ireland Issues Warning on Unauthorised Firm
Walsh Trust Bank - Central Bank of Ireland Issues Warning on Unauthorised Firm
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Bank
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
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
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
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
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
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
SFC bans Lui Pak Tong for life and fines him $17.43 million for misconduct
No description available.
AI Analysis
The SFC has imposed a **lifetime ban and $17.43 million fine** on Lui Pak Tong for orchestrating a scheme where he exploited a fund under his control by directing $22.5 million in unsecured loans to a company he owned, while concealing conflicts of interest and diverting loan proceeds to himself and associates. This enforcement action demonstrates the SFC's aggressive stance on fiduciary breaches, undisclosed conflicts of interest, and self-dealing by licensed representatives, with direct implications for fund governance, investment committee oversight, and compliance with the Code of Conduct.
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Asset ManagerWealth ManagerBroker Dealer
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
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
Publication,FSA Weekly Review No.680 March 23, 2026
No description available.
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BankAsset ManagerInsurance
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
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
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
Federal Court declares Macquarie contravened the Corporations Act in relation to Shield Master Fund
Federal Court declares Macquarie contravened the Corporations Act in relation to Shield Master Fund
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Asset ManagerWealth ManagerBank
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
EU Bonds - Central Bank of Ireland Issues Warning on Unauthorised Firm
EU Bonds - Central Bank of Ireland Issues Warning on Unauthorised Firm
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All Firms
Suisse Equity- Central Bank of Ireland Issues Warning on Unauthorised Firm
Suisse Equity- Central Bank of Ireland Issues Warning on Unauthorised Firm
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Wealth Manager
Elarem Limited - Central Bank of Ireland Issues Warning on Unauthorised Firm
Elarem Limited - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
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Wealth ManagerFintech
Callanor -Central Bank of Ireland Issues Warning on Unauthorised Firm
Callanor - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
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Wealth ManagerFintech
High Performance Battery Holding AG: grounds to suspect shares being offered to the public without the required securities prospectus
The Federal Financial Supervisory Authority (BaFin) has sufficient grounds to suspect that High Performance Battery Holding AG, Switzerland, is offering securities in the form of company shares to the public in Germany without the required prospectus. There are no indications that the conditions for exemption from the prospectus requirement are met.
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BankAsset ManagerBroker Dealer
Strategic innovation drives growth of Hong Kong’s listing and digital asset markets: SFC Quarterly Report
No description available.
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Topics:
Asset ManagerBroker DealerCrypto Exchange
Legal department - Consumer protection / financial crime (Updated)
Out-of-court consumer complaint resolution
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Topics:
BankWealth ManagerFintech
Crowdfunding: the AMF reminds platforms of their complaint handling obligations
Asset management Crowdfunding: the AMF reminds platforms of their complaint handling obligations
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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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Topics:
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
Private Client Trustees Limited (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Private Client Trustees Limited (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Wealth ManagerAll Firms
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
Sectors:
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All Firms
Michael S. Selig, Chairman: 9th Annual DC Blockchain Summit
No description available.
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BankFintechCrypto Exchange
Warning concerning the website www.smtbeurope.com
No description available.
Sectors:
Topics:
BankWealth Manager
Publication,FSA Weekly Review No.679 March 17, 2026
No description available.
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BankFintechPayment Provider
SEC Proposes Amendments to Exchange Act Rule 15c2-11
The Securities and Exchange Commission today proposed amendments to Exchange Act Rule 15c2-11, which sets out certain information gathering and review requirements for broker-dealers that publish quotations for, or maintain a continuous quoted market in…
AI Analysis
The SEC is proposing amendments to Exchange Act Rule 15c2-11, which governs broker-dealer quotation requirements in OTC markets outside national securities exchanges, aiming to update information review standards for enhanced investor protection. This matters for compliance professionals as it could impose stricter due diligence on broker-dealers quoting OTC securities, building on 2020 amendments amid ongoing fixed income implementation challenges, potentially reducing fraud in retail-heavy OTC markets. https://www.sec.gov/newsroom/press-releases/2026-28-sec-proposes-amendments-exchange-act-rule-15c2-11
Sectors:
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Broker 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...
Sectors:
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BankFintechCrypto Exchange
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
Sectors:
Topics:
BankFintechCrypto Exchange
CFTC Secures Judgement Against New York Companies to Pay Over $2.4 Million in Restitution, Penalties for Forex Fraud
No description available.
AI Analysis
The CFTC secured a default judgment on March 13, 2026, against New York-based Safety Capital Management Inc. and GNS Capital Inc. (d/b/a ForexnPower) for retail forex fraud, fraud as commodity pool operators (CPOs) and commodity trading advisors (CTAs), and related violations of the Commodity Exchange Act (CEA), ordering over $2.4 million in restitution and penalties. This enforcement action underscores the CFTC's aggressive pursuit of fraud targeting vulnerable retail investors, with permanent injunctions against future violations, serving as a stark reminder for firms in forex, CPO, and CTA spaces to prioritize robust compliance programs.
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Asset ManagerBroker Dealer
Warning concerning the website www.vivid-money.lu
No description available.
Sectors:
Topics:
FintechPayment Provider
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (March 6, 2026)
No description available.
Sectors:
Topics:
Crypto ExchangeFintechPayment Provider
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services(2) (March 3, 2026)
No description available.
Sectors:
Topics:
Crypto ExchangeAll Firms
AMF requests extension to the RAPID NUTRITION share suspension
Warning Savings protection MAR Retail investors Professional investors Journalists AMF requests extension to the RAPID NUTRITION share suspension
AI Analysis
The AMF has requested Euronext to extend the trading suspension of RAPID NUTRITION shares until April 10, 2026, due to ongoing suspicions of "pump and dump" market abuse under Article L. 420-10 of the Monetary and Financial Code. This enforcement action underscores the AMF's proactive market surveillance and highlights risks of unauthorized investment recommendations, urging investors to report evidence. Compliance professionals should note this as a signal of heightened scrutiny on manipulative practices in small-cap stocks like those on Euronext Growth.
Sectors:
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Broker DealerAll Firms
BaFin warns consumers about the series of platforms with the slogan “Smarter trading with zero spreads”
The Federal Financial Supervisory Authority (BaFin) warns consumers about a series of almost identical websites. According to information available to BaFin, the operators use these websites to conduct banking business and/or provide financial services without the required authorisation. The operators of the websites are not supervised by BaFin.
Sectors:
Topics:
BankCrypto ExchangeFintech
FCA bans Kasim Garipoglu from working in UK financial services
KasimGaripoglu has been banned from working in UK financial services. The FCA found he is not fit and proper because of his lack of honesty and integrity. Mr Garipoglu is the owner of a firm that provided online trading of foreign exchange and contracts.Between April 2012 and December 2022, including when Mr Garipoglu was the chief executive and director at the firm and an approved person, he repeatedly demonstrated a disregard for regulatory requirements, undermined compliance and anti‑money...
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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
New speech by Kelvin Wong: Remarks at The Hong Kong Independent Non-Executive Director Association’s Spring Luncheon 2026
No description available.
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Asset ManagerWealth Manager
Identity fraud: BaFin warns consumers about the website alijz(.)com, the app alijzspro and offers in WhatsApp groups
The Federal Financial Supervisory Authority (BaFin) warns consumers about the website alijz(.)com and WhatsApp groups operated under the company name AL Konzept GmbH & Co. KG. In these WhatsApp groups, consumers are encouraged to use an app called alijzspro to invest in financial instruments. BaFin suspects the unknown operators of offering consumers financial services without the required authorisation.
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BankFintechPayment Provider
BaFin warns consumers about the Gainorex Investment app
The Federal Financial Supervisory Authority (BaFin) warns consumers about the Börsenblick A-001 WhatsApp group. In the WhatsApp group, consumers are encouraged to use the Gainorex Investment app to trade in financial instruments. BaFin suspects the unknown operators of offering consumers banking business and/or financial services without the required authorisation. The operators are not supervised by BaFin.
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BankFintechAll Firms
Equity Research Ventures PTE. LTD. („AlleAktien“): evidence indicates no prospectus published
The Federal Financial Supervisory Authority (BaFin) has evidence indicating that Equity Research Ventures PTE. LTD., purportedly domiciled in Singapore, is offering capital investments under the name “Co-Investment AlleAktien Wealth x SpaceX” to the public in Germany without the required prospectus. These capital investments are being offered in the form of “other capital investments” within the meaning of section 1 (2) no. 7 of the German Capital Investment Act (Vermögensanlagengesetz - Verm...
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Asset ManagerWealth ManagerBroker Dealer
ASIC disqualifies Victorian director for maximum 5-year period
ASIC disqualifies Victorian director for maximum 5-year period
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BankWealth ManagerFintech
ESMA sets out actions to simplify the retail investor journey and make investing more accessible
ESMA sets out actions to simplify the retail investor journey and make investing more accessible 12 March 2026 Investor protection Press Releases The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has published its takeaways from the 2025 Call for Evidence (CfE) on the retail investor journey. Taking into account the input from stakeholders, ESMA outlines a number of actions and operational improvements it will take forward to make it ea...
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Asset ManagerWealth ManagerBank
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
VYNEX Trade: BaFin warns against offers in WhatsApp groups and against Lirunex Trading app
The Federal Financial Supervisory Authority BaFin warns against offers in WhatsApp groups, which are operated by alleged company VYNEX Trade. According to information available to BaFin, recommendations for the purchase of financial instruments and cryptocurrencies are offered in various WhatsApp groups, which can allegedly be traded via Lirunex Trading app and the following platforms:
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BankFintechCrypto Exchange
Concept Capital Group update: administrators appointed
On 9 March 2026, the High Court placed Concept Capital Group (CCG) into administration. BTG are the administrators of the company. In July 2025, the FCA announced High Court proceedings against CCG and others over an alleged unauthorised investment scheme. CCG has been under a court order that temporarily froze its assets since then.CCG had promoted investments in static homes. CCG claimed these would be let to social housing tenants placed by local councils. Investors were promised fixed ret...
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Asset ManagerWealth Manager
Mjolnex: BaFin warns against offers on website mjolnex-ltd(.)com
The Federal Financial Supervisory Authority BaFin warns against offers on the website mjolnex-ltd(.)com. According to information available to BaFin, the company Mjolnex, allegedly based in Frankfurt, is offering financial or investment services and crypto asset services without the required authorisation.
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BankCrypto ExchangeFintech
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.
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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
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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...
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BankFintech
Remedy Housing officers sentenced for dishonesty offences
Remedy Housing officers sentenced for dishonesty offences
Sectors:
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BankFintech
Charges discontinued in Capital Mining Limited matter
Charges discontinued in Capital Mining Limited matter
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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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BankPayment 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
Remarks by Gerry Cross, Director of Capital Markets & Funds - CASP Industry Briefing
Introduction Good morning. I am delighted to welcome you to Central Bank of Ireland today as part of our continued engagement with the crypto sector. This time last year we hosted an industry briefing focused on the path to success in the authorisation of Crypto-Asset Service Providers (CASPs). It has been a very active 12 months, and today I see many of you in the room from newly authorised CASPs who have come through the process successfully. This morning’s event is an excellent opportunity...
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Crypto ExchangeFintech
New speech by Julia Leung: Remarks at the Investor and Financial Education Award 2025 Presentation Ceremony
No description available.
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Asset ManagerWealth ManagerAll Firms
New speech by Kelvin Wong: Remarks at the Investor and Financial Education Award 2025 Presentation Ceremony
No description available.
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Asset ManagerWealth ManagerBank
ASIC bans former MWL Financial Services Adviser Raluca Terheci for a period of 6 years
ASIC bans former MWL Financial Services Adviser Raluca Terheci for a period of 6 years
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Wealth Manager
Breakdown according to currency
Situation as at 31 January 2026
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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.
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Asset ManagerBankBroker Dealer
“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.
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BankAsset ManagerInsurance
Brisbane financial advisor and auditor, Sunny Prakash, charged with multiple counts of stealing and fraud
Brisbane financial advisor and auditor, Sunny Prakash, charged with multiple counts of stealing and fraud
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Wealth Manager
ASIC bans former credit and financial services representative Neil Andrew Cato for 5 years
ASIC bans former credit and financial services representative Neil Andrew Cato for 5 years
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BankFintech
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?”.
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BankWealth ManagerFintech
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (February 27, 2026)
No description available.
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BankAsset ManagerWealth Manager
Additional charges brought against financial services company director
Additional charges brought against financial services company director
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Wealth ManagerBankFintech
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
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BankWealth ManagerAll Firms
exomarkets(.)pro: BaFin warns consumers about website and identity theft
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website exomarkets(.)pro. According to information available to BaFin, this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
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BankFintechCrypto Exchange
Warning concerning the websites www.goldingfx.com, www.goldingdigital.com and www.goldingdigital.net
No description available.
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BankWealth ManagerFintech
BaFin warns consumers about the series of platforms with the slogan “Trade Without Limits with 0 Spread Forex Broker”
The Federal Financial Supervisory Authority (BaFin) warns consumers about a series of almost identical websites. According to information available to BaFin, the operators are offering cryptoasset services on these websites without the required authorisation. The operators are not supervised by BaFin.
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BankCrypto Exchange
SEC Investor Advisory Committee to Host March 12 Meeting
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on March 12 at 10 a.m. ET to discuss public company disclosure reform, fund proxy voting, and a potential…
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Asset ManagerBroker DealerWealth Manager
FCA announces senior leadership appointments
We have appointed 2 new senior leaders, further strengthening our capability across key areas of our remit. Chris Knight will join us in July 2026 as director of insurance within our Supervision, Policy and Competition (SPC) division. He joins the FCA from Legal & General, where he has been the group chief risk officer for the last 5 years and member of the Group management committee. Prior to this, he was CEO of Legal & General Retail Retirement for 3 years.David Lymburn joined the Payment S...
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BankInsurance
Impax Stocker (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Impax Stocker (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
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Asset ManagerWealth Manager
FCA warns customers of HDH Investment Services Limited
We're concerned that HDH Investment Services Limited may have given unsuitable financial advice to some of its customers, potentially leading to financial loss. We recently placed restrictions on HDH Investment Services Limited (HDH). From 20 January 2026, HDH agreed to stop carrying out all regulated activities. This now means the firm can't give investment advice.HDH also agreed to write to all customers to explain what these restrictions mean for them. What customers should do nowIf you th...
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Wealth Manager
Regulators launch GenA.I. Sandbox++ to foster A.I. innovation across financial services
No description available.
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BankAsset ManagerFintech
Aurenbridge Alliance: BaFin warns consumers about the website aurenbridge(.)com and offers in WhatsApp groups
The Federal Financial Supervisory Authority (BaFin) warns consumers about the website aurenbridge(.)com and WhatsApp groups operated under the company name Aurenbridge Alliance (e.g. “Aurenbridge Alliance (ABA)”). In these WhatsApp groups, consumers are encouraged to use an app called Cryplus to trade in financial instruments and cryptoassets. BaFin suspects the unknown operators of offering consumers financial, investment and cryptoasset services without the required authorisation.
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BankFintechCrypto Exchange
SFC obtains compensation and disqualification orders against former executive director of Coolpad Group Limited
No description available.
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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.
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FintechCrypto Exchange
Identity fraud: BaFin warns consumers about the website unzerfinanzpro(.)de
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website unzerfinanzpro(.)de. BaFin suspects the unknown operators of the website of conducting banking business without the required authorisation. Specifically, the website advertises loans.
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BankFintechAll Firms
Written reply to Parliamentary Question on NETS' QR System and SGQR
Written reply to Parliamentary Question on NETS' QR System and SGQR
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Payment ProviderAll Firms
Special edition of the AMF Barometer: marked differences between women and men persist in terms of investment
Collective investments Marketing Financial products Other professionals Executive & other private individuals Journalists Investment services providers Investment management companies Listed companies and issuers ...
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Asset ManagerWealth Manager
Warning concerning the website www.parefturn.fund
No description available.
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BankWealth ManagerFintech
Consumer investments priorities: strengthening trust, supporting investors
Speech by Lucy Castledine, director of consumer investments, at the TISA Inclusive Investing Conference 2026. Speaker: Lucy Castledine, director, consumer investmentsEvent: TISA Inclusive Investing Conference 2026Delivered: 4 March 2026Note: this is the speech as drafted and may differ from the delivered version.Reading time: 11 minutesKey points:Consumer investments are a cornerstone of the UK economy, with over 5,000 authorised firms and their representatives, serving 19 million adults – ar...
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Asset ManagerWealth ManagerFintech
Patrick Montagner: Deepening integration, enhancing scale and completing the Single Market
No description available.
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BankAsset ManagerBroker Dealer
Administrative sanction of 8 October 2025
Administrative sanction imposed on an investment firm
AI Analysis
The CSSF imposed an administrative sanction on 8 October 2025 against an unnamed investment firm, as detailed in a publication released on 4 March 2026. This enforcement action underscores CSSF's rigorous oversight of investment firms, particularly in areas like AML/CFT compliance, conduct rules, and organizational requirements, serving as a warning for similar entities to strengthen cooperation and internal controls. It matters because it highlights escalating fines for repeated or material breaches, potentially influencing supervisory expectations across Luxembourg's financial sector.
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Asset ManagerBroker DealerWealth Manager
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.
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BankFintechAll Firms
ASIC cancels Australian credit licence of John Adicho
ASIC cancels Australian credit licence of John Adicho
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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:
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BankWealth ManagerAll Firms
New investment funds drive reduction in costs to investors
New investment funds drive reduction in costs to investors 03 March 2026 Fund Management Press Releases Risk monitoring The European Securities and Markets Authority (ESMA), the EU financial markets regulator and supervisor, today publishes its 2025 market report on the costs and performance of EU retail investment products . This eighth Costs and Performance report shows that ongoing costs in the EU continued to decline in 2024. This is however mostly due to new investment funds entering the...
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Asset ManagerBroker DealerWealth Manager
BaFin warns consumers about the website imc-point(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website imc-point(.)com. According to information available to BaFin, the operators are offering cryptoasset services on this website without the required authorisation. The operators are not supervised by BaFin.
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BankCrypto ExchangeFintech
Optinomic: BaFin warns against offers on the website optinomic(.)co
The Federal Financial Supervisory Authority BaFin warns against offers on the website optinomic(.)co. According to information available to BaFin, the operator is providing financial, investment and crypto asset services without the required authorisation.
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BankCrypto ExchangeFintech
watchvestvermittlung(.)com / wv-vermittlung(.)com: BaFin warns about websites and indicates identity fraud at the expense of Watchvest GmbH
The German Financial Supervisory Authority (BaFin) warns about offers from the websites watchvestvermittlung(.)com and wv-vermittlung(.)com. According to information available to BaFin, the unknown operators of the website are offering banking services, in particular fixed-term deposits, and financial services without the required authorisation. They give the impression that their offers originate from Watchvest GmbH. It is a case of identity fraud. Watchvest GmbH has no connection with the w...
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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
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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.
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BankFintechAll Firms
Regulatory Notice 26-05
Regulatory Notice 26-05
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Broker DealerWealth ManagerBank
Written reply to Parliamentary Questions on Visa and Mastercard Fees
Written reply to Parliamentary Questions on Visa and Mastercard Fees
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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
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 ...
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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.
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BankFintechPayment Provider
Identity fraud: BaFin warns consumers about the website goldingfx(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website goldingfx(.)com. BaFin suspects the unknown operators of the website of offering consumers financial and investment services without the required authorisation. Contrary to the claims on the website, the services offered do not originate from Golding Capital Partners GmbH, which has its registered office in Munich. This is a case of identity fraud.
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Topics:
BankWealth ManagerFintech
BaFin warns consumers about the website viforex(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website viforex(.)com. BaFin has information that this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankFintechCrypto Exchange
Capitalis (Bank): BaFin warns consumers about the website capitalisgroup(.)site
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Capitalis and the services it is offering. BaFin suspects the unknown operators, who purportedly have their registered office in France, of using the website capitalisgroup(.)site to offer loans to consumers and thus conduct banking business without the required authorisation.
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Topics:
BankFintech
Financiamas: BaFin warns consumers about the website financiamas-cs(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Financiamas and the services it is offering. BaFin suspects the unknown operators, who purportedly have their registered office in Madrid, Spain, of using the website financiamas-cs(.)com to offer loans to consumers and thus conduct banking business without the required authorisation.
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Topics:
BankFintech
FCA opens authorisation gateway for targeted support
Firms can now apply for permission to provide targeted support. Targeted support is a once in a generation change that will help millions navigate their financial lives. From 6 April 2026, people’s banks, pension providers, or other financial firms that are authorised for targeted support can provide suggestions designed for groups of consumers with common characteristics. This will help them make important decisions across their pensions and investments.We want authorised firms to be ready t...
Sectors:
Topics:
BankWealth Manager
KPH Advisory Services (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
KPH Advisory Services (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Wealth ManagerAll Firms
Sugon Ventures - Central Bank of Ireland Issues Warning on Unauthorised Firm
Central Bank of Ireland Issues Warning on Unauthorised Firm – Sugon Ventures
Sectors:
Topics:
Fintech
Stalwart Investments Limited (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Stalwart Investments Limited (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankFintechAll Firms
SB Leasing Ireland Limited (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
SB Leasing Ireland Limited (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankFintechAll Firms
Earston Limited t/a Earston Wealth Management (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Earston Limited t/a Earston Wealth Management (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Wealth Manager
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
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.
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Broker DealerWealth ManagerBank
Others,Updated : Japan Weeks 2026
No description available.
Sectors:
Topics:
Asset ManagerBroker Dealer
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.
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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.
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BankPayment Provider
ASIC sues Auto & General alleging policy discount misrepresentations made to millions of consumers in Budget Direct insurance ads
ASIC sues Auto & General alleging policy discount misrepresentations made to millions of consumers in Budget Direct insurance ads
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Insurance
Written reply to Parliamentary Question on New Currency Note Series
Written reply to Parliamentary Question on New Currency Note Series
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BankWealth ManagerAll Firms
The AMF publishes the findings of its inspections on the consideration of client sustainability preferences
Supervision Sustainable Finance Marketing Journalists Investment services providers Investment management companies The AMF publishes the findings of its inspections on the consideration of client sustainability preferences
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Asset ManagerWealth Manager
SEC Announces Roundtable on Private Markets Valuation As Retail Investor Access Accelerates
The Securities and Exchange Commission today announced it will hold a roundtable on March 4 to discuss private market valuations and responsible retailization.The roundtable will be hosted by the Division of Investment Management from 1 p.m. to 3 p.m. ET…
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Asset ManagerBroker DealerFintech
Directive (EU) 2026/470 of the European Parliament and of the Council of 24 February 2026
No description available.
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BankWealth ManagerAsset 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/]
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BankAsset ManagerAll Firms
Smart IT Global Limited: evidence indicates no prospectus published
The Federal Financial Supervisory Authority (BaFin) has evidence indicating that Smart IT Global Limited, Hong Kong, is offering several capital investments to the public in Germany. This includes two forms of profit participation loans, which are being offered under the names “smart it World” and “smart it Sprint”. Furthermore, another investment is currently being marketed that offers the prospect of assets in the form of a cash settlement in return for the temporary provision of money (“sm...
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All Firms
Adams Street Partners: BaFin warns consumers about identity fraud in WhatsApp groups
According to information available to the Federal Financial Supervisory Authority (BaFin), unknown persons purporting to work for Adams Street Partners LLC or its Munich-based subsidiary Adams Street (Europe) GmbH are using WhatsApp groups and chats to contact investors. The groups are purportedly run by a partner of the firm who is described as the “Project Manager of ASP Investment Management Company”. There is no connection whatsoever between these groups and Adams Street Partners LLC, Ada...
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Asset Manager
SFC bans Andy Lau Ka Ho for life
No description available.
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Broker DealerWealth ManagerBank
ASIC disqualifies Victorian property development director Kylie Campbell for 5 years
ASIC disqualifies Victorian property development director Kylie Campbell for 5 years
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Asset ManagerWealth 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
CFTC Enforcement Division Issues Prediction Markets Advisory
No description available.
AI Analysis
The CFTC Enforcement Division issued an advisory on February 25, 2026, detailing two enforcement cases involving illegal trading on prediction markets (event contracts) traded on KalshiEX, a Designated Contract Market. The advisory clarifies that the CFTC maintains full enforcement authority over prediction markets and will prosecute violations including insider trading, market manipulation, and fraud—establishing critical compliance expectations for platforms and traders in this emerging asset class.
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Crypto ExchangeBroker Dealer
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
FCA selects 4 firms to test stablecoin innovation in its Regulatory Sandbox
The FCA has chosen 4 companies to test how their stablecoin services work with proposed regulation in a safe environment. The stablecoins cohort is part of our commitment to supporting growth and innovation in UK financial services. 20 applications were received and the FCA has chosen the following firms:Monee Financial TechnologiesReStabiliseRevolutVVTXThe Regulatory Sandbox programme allows firms to trial stablecoin products in real world conditions with appropriate safeguards. It will help...
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FintechCrypto ExchangePayment Provider
FCA proposes action to close gaps in borrowers’ credit files
Lenders could have access to more comprehensive information to support lending decisions, under new proposals by the FCA. The FCA is consulting on designating certain credit reference agencies (CRAs). If a lender shares credit information with one designated consumer CRA, it would be required to share it with them all.The changes aim to close gaps in consumers’ credit files and ensure these more accurately reflect people’s financial circumstances.Alison Walters, director of consumer finance a...
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BankFintechAll Firms
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
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (February 10, 2026)
No description available.
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Insurance
Misrepresentations Made By A Non Adgm Entity
Misrepresentations Made By A Non Adgm Entity
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BankWealth ManagerFintech
ESMA reminds firms of their obligations under CFD product intervention measures amid rising offerings of perpetual futures
ESMA reminds firms of their obligations under CFD product intervention measures amid rising offerings of perpetual futures 24 February 2026 Investor protection The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has issued a statement reminding firms of their obligation to assess whether newly offered products fall within the scope of existing product intervention measures on contracts for differences (CFDs). The statement responds to the...
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Broker DealerCrypto ExchangeAll Firms
Warning concerning the website www.capman-holding.com
No description available.
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Asset ManagerWealth ManagerBank
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
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
A smarter approach to communicating our regulatory priorities
We've launched our new Regulatory Priorities reports, starting with the insurance sector. This marks a new approach that will help to transform our supervision and streamline regulation.We expect regulated firms to follow the rules and stay informed about any changes. This is important for maintaining a safe and resilient market. Our mission to be a smarter regulator means reducing burden where we can, so that firms can get the information they need as efficiently as possible.Our Regulatory P...
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Insurance
Madison Realty Capital Expands Global Platform With Launch Of Middle East Office
Madison Realty Capital Expands Global Platform With Launch Of Middle East Office
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Asset ManagerWealth ManagerBank
Polygreen Establishes Regional Holding Company In Adgm
Polygreen Establishes Regional Holding Company In Adgm
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BankWealth ManagerFintech
Written reply to Parliamentary Question on Circulation of Five-Cent Coins
Written reply to Parliamentary Question on Circulation of Five-Cent Coins
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BankPayment ProviderAll Firms
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
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
Regulatory Notice 26-04
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
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Broker DealerAll Firms
Influencers fined for issuing unauthorised financial promotions
Seven social media influencers have been sentenced at Southwark Crown Court for their role in the promotion of an unauthorised foreign exchange trading scheme. Biggs Chris, Jamie Clayton, Lauren Goodger, Rebecca Gormley, Yazmin Oukhellou, Scott Timlin and Eva Zapico all pleaded guilty to one count of issuing unauthorised financial promotions.The outcomes were:Lauren Goodger was fined £3,750 and ordered to pay costs of £5,778.18.Biggs Chris was fined £600 and ordered to pay costs of £1,000.Jam...
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Asset ManagerWealth ManagerFintech
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
WhatsApp groups: warns consumers about boamglobal and BlueOcean Asset Management Ltd.
The Federal Financial Supervisory Authority BaFin warns against offers on the websites boamglobal.com and boamglobal-mf.com and against WhatsApp groups lead by “Dr Feldmann” and his assistant “Lina Weiss”. According to information available to BaFin, the operator BlueOcean Asset Management Ltd. is providing financial and investment services without the required authorisation.
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Asset Manager
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
BaFin warns consumers about the website blue-invest(.)org
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website blue-invest(.)org. BaFin has information that the operators are offering banking business and/or financial services on this website without the required authorisation. The operators are not supervised by BaFin.
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FintechCrypto ExchangeAll Firms
The AMF has required the suspension of RAPID NUTRITION shares and calls on investors to be vigilant
Warning Savings protection Retail investors Professional investors Journalists Listed companies and issuers The AMF has required the suspension of RAPID NUTRITION shares and calls on investors to be vigilant
AI Analysis
The AMF has mandated the suspension of trading in RAPID NUTRITION shares (Euronext Growth Paris: ALRPD) from February 19, 2026, until March 13, 2026, due to indicators of "pump and dump" market manipulation, urging investors to exercise extreme caution against unauthorized high-upside recommendations. This enforcement action highlights AMF's proactive surveillance of market abuse in small-cap listings and serves as a reminder for firms to enhance client protection measures against boiler room tactics. It matters for compliance as it underscores heightened scrutiny on retail investor-facing activities amid volatile stock surges, like RAPID NUTRITION's 437% rise since January 1, 2026.[AMF publication]
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Broker DealerAll Firms
SEC Proposes Amendments to Reduce Burdens in Reporting of Fund Portfolio Holdings
No description available.
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Asset ManagerBroker DealerWealth Manager
Warning concerning the website www.qatari.xyz
No description available.
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BankWealth ManagerFintech
Tribunal upholds bans and fines for reckless adviser and fund manager
The Upper Tribunal has upheld the FCA's decisions to ban Stephen Joseph Burdett and James Paul Goodchild from working in financial services. Mr Burdett and Mr Goodchild previously held senior roles at Synergy Wealth Limited (Synergy) and Westbury Private Clients LLP (Westbury), respectively.The FCA banned the pair from working in regulated financial services for recklessly exposing pension holders to unsuitable investments.The Tribunal also found that it was appropriate for the FCA to impose ...
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Asset ManagerWealth ManagerBank
Omenyxgroup(.)com: BaFin warns consumers about website
The German Financial Supervisory Authority (BaFin) warns against the website omenyxgroup(.)com, which entices consumers to trade crypto assets. According to information available to BaFin, the unknown operators of the website are offering crypto asset services without the required authorisation.
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Crypto ExchangeFintech
P&L Invest Holding AG: BaFin warns against offers on website pnl-holding(.)com
The Federal Financial Supervisory Authority BaFin warns against offers on the website pnl-holding(.)com. According to information available to BaFin, P&L Invest Holding AG is providing financial or investment services and crypto asset services without the required authorisation. According to the current state of knowledge, there is no connection to the P&L Invest Holding GmbH. This is likely to be a case of identity fraud.
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All Firms
ICG GEF: BaFin warns against identity fraud in WhatsApp groups
The Federal Financial Supervisory Authority BaFin warns against offers in WhatsApp groups, which are allegedly operated by Intermediate Capital Group (ICG). According to information available to BaFin, recommendations for the purchase of financial instruments and cryptocurrencies, which can allegedly be traded via ICG GEF app, are offered in various WhatsApp groups. The offers do not originate from ICG Europe S.à.r.l. - Frankfurt Branch or any other company belonging to Intermediate Capital G...
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BankFintechCrypto Exchange
Identity theft: BaFin warns against offers from the email address info[at]lgimeu(.)com
The Federal Financial Supervisory Authority BaFin warns against fixed-term deposit offers sent from the email address info[at]lgimeu(.)com. According to information available to BaFin, the unknown providers are conducting banking transactions without the required authorisation. The offers do not originate from LGIM Managers (Europe) Limited. This is a case of identity theft.
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BankAsset ManagerWealth Manager
ASIC commences new review of advice licensees that use lead generation services
ASIC commences new review of advice licensees that use lead generation services
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Asset ManagerWealth ManagerBank
Fundhost pays infringement notice for making misleading representations about Polen Capital Global Growth Fund
Fundhost pays infringement notice for making misleading representations about Polen Capital Global Growth Fund
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Asset ManagerWealth Manager
ASIC cancels AFS licence of Red Panda Future Wealth Pty Ltd
ASIC cancels AFS licence of Red Panda Future Wealth Pty Ltd
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Wealth Manager
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
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
Settlement with Sino Wealth International Limited and Clear Prosper Global Limited in matters relating to Giordano International Limited under The Codes on Takeovers and Mergers and Share Buy-backs
No description available.
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BankWealth Manager
Warning concerning the fraudulent activities carried out by Minea Global Finance SA
No description available.
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BankWealth ManagerFintech
Charge against NSW director dismissed
Charge against NSW director dismissed
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BankWealth ManagerAll Firms
ASIC cancels AFS licence of Pulse Markets for serious and sustained breaches of duties
ASIC cancels AFS licence of Pulse Markets for serious and sustained breaches of duties
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Broker DealerAll Firms
Net assets of UCIs
Situation as at 31 December 2025
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Asset ManagerBankWealth Manager
Breakdown according to currency
Situation as at 31 December 2025
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Asset ManagerBankWealth Manager
List of UCI and SIFs having a sharia-compliant policy (only in French) (Updated)
No description available.
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Asset 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
Written reply to Parliamentary Question on Credit Card Fraud Liability and Dispute Resolution
Written reply to Parliamentary Question on Credit Card Fraud Liability and Dispute Resolution
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BankPayment ProviderAll Firms
Written reply to Parliamentary Question on Insurance Products Distribution through E-commerce Platforms
Written reply to Parliamentary Question on Insurance Products Distribution through E-commerce Platforms
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InsuranceAll Firms
Written reply to Parliamentary Question on alternative verification methods for medically vulnerable customers
Written reply to Parliamentary Question on alternative verification methods for medically vulnerable customers
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BankFintechAll Firms
The DFSA publishes Crypto Token FAQs to support implementation of updated…
The DFSA publishes Crypto Token FAQs to support implementation of updated…
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Crypto ExchangeFintech
Nex (Limited): BaFin warns consumers about the website thenexcap(.)pro
The Federal Financial Supervisory Authority (BaFin) warns consumers about Nex (Limited) and the services it is offering. BaFin suspects the unknown operators of the website thenexcap(.)pro of offering consumers financial, investment and cryptoasset services without the required authorisation.
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Crypto ExchangeFintech
New protections confirmed for Buy Now Pay Later borrowers
Buy Now Pay Later (BNPL) borrowers will benefit from stronger protections from 15 July 2026, following the Government's decision to bring the sector under the FCA's regulation. BNPL will be subject to the Consumer Duty and consumers will benefit from:Clear information: Consumers will get clear, upfront details about their agreement, including when payments will be due, amounts, and what happens if they miss a payment.Affordability checks: Lenders must carry out proportionate checks to make su...
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FintechPayment Provider
SFC launches trading initiatives to boost digital asset market vibrancy in Hong Kong
No description available.
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Crypto ExchangeBroker Dealer
finanzpluss: BaFin warns against offers on the website finanzpluss(.)online
finanzpluss, allegedly based in Frankfurt am Main, offers loans on its website for high fees, without the necessary authorisation, which are not paid out.
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BankFintech
ASIC bans former MWL Financial Services adviser Neil McPherson for 4 years
ASIC bans former MWL Financial Services adviser Neil McPherson for 4 years
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Wealth Manager
SFC cautions against ramp and dump schemes involving impersonation of stock commentators
No description available.
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Asset ManagerBroker DealerBank
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (February 3, 2026)
No description available.
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Insurance
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
FCA takes action against HTX to stop illegal financial promotions
The FCA has begun legal proceedings against global crypto exchange HTX (formerly Huobi) for illegally promoting cryptoasset services to UK consumers. Access documents on this claim on the FCA websiteFirms providing crypto products to UK consumers need to comply with rules which protect consumers from unfair and misleading marketing. Advertising cryptoassets on social media or websites without complying with these rules is a criminal offence.Since the rules came into force in October 2023, the...
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Crypto Exchange
HTX (formerly Huobi): legal proceedings information
FCA v Huobi Global S.A. and Others. On 21 October 2025, the FCA commenced proceedings in the Chancery Division of the High Court against the following parties:HUOBI GLOBAL S.A.(a company incorporated in Panama)PERSONS UNKNOWN (who are the owner of, controller and/or the persons currently in control of all or part of www.htx.com and/or its associated mobile applications (“the HTX Exchange”))PERSONS UNKNOWN (who are the legal and/or natural persons defined as the HTX Operators in the HTX Platfo...
AI Analysis
The FCA has initiated civil proceedings in the High Court against Huobi Global S.A. (HTX, formerly Huobi) and multiple categories of "Persons Unknown" for unlawfully promoting cryptoasset services to UK consumers without authorisation, breaching the financial promotions regime. This action underscores the FCA's aggressive enforcement against unauthorised crypto entities targeting UK retail investors, signaling heightened scrutiny on overseas platforms. Compliance teams must note this as evidence of the regulator's willingness to pursue novel legal strategies like "Persons Unknown" claims to enforce compliance extraterritorially.[https://www.fca.org.uk/news/statements/htx-huobi-legal-proceedings]
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Crypto ExchangeFintech
SFC obtains compensation and disqualification orders against former directors of Arta TechFin Corporation Limited
No description available.
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BankBroker DealerAsset Manager
Former director of NDIS provider charged with dishonesty offences
Former director of NDIS provider charged with dishonesty offences
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BankWealth ManagerFintech
10 Feb 2026 Read more
10 Feb 2026 Read more
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BankWealth ManagerFintech
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
SFC reprimands and fines Kylin International (HK) Co., Limited $9 million for fund management failures
No description available.
AI Analysis
The SFC reprimanded and fined Kylin International (HK) Co., Limited $9 million for systemic failures in managing private sub-funds from August 2018 to July 2021, including unmanaged conflicts of interest, inadequate reconciliations/valuations, weak KYC/suitability controls, AML/CTF record-keeping lapses, and misrepresentations to investors. This enforcement action underscores the SFC's heightened scrutiny of private fund managers, emphasizing senior management accountability and robust systems/controls to protect market integrity. Compliance professionals should note it as a deterrent signal, aligning with recent SFC circulars on escalating penalties for persistent misconduct.
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Asset 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
Privacy Statement
Privacy Statement
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BankWealth ManagerAsset Manager
Disclaimer
Disclaimer
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BankWealth ManagerAll Firms
Service Level Commitments
Service Level Commitments
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Asset ManagerBankWealth Manager
Useful Links
Useful Links
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BankAsset ManagerInsurance
FSP Search
FSP Search
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BankAsset ManagerWealth Manager
Regulated People and Entities
Regulated People and Entities
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BankAsset ManagerInsurance
Procurement
Procurement
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BankWealth ManagerFintech
Curatorships
Curatorships
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Asset ManagerWealth ManagerBank
Language Policy and Services
Language Policy and Services
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BankAsset ManagerInsurance
Financial Services Tribunal
Financial Services Tribunal
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BankAsset ManagerInsurance
PAIA and POPIA Requests
PAIA and POPIA Requests
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BankWealth ManagerAll Firms
Nominee Register
Nominee Register
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BankWealth ManagerAsset Manager
E-Services
E-Services
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Asset ManagerInsurance
Subscriptions
Subscriptions
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Topics:
BankWealth ManagerFintech
FSCA Speech Competition
FSCA Speech Competition
Sectors:
Topics:
All Firms
FSCA Money Smart Week
FSCA Money Smart Week
Sectors:
Topics:
All Firms
FSCA MyMoney
FSCA MyMoney
Sectors:
Topics:
BankFintechAll Firms
Related Websites
Related Websites
Sectors:
Topics:
BankWealth ManagerAsset Manager
Contact Us
Contact Us
Sectors:
Topics:
BankWealth ManagerAll Firms
Enforcement Matters
OVERVIEW
AI Analysis
This FSCA "Enforcement Matters" publication details the regulator's ongoing supervisory enforcement activities, primarily through curatorships imposed on non-compliant financial institutions under South African financial sector laws. It matters for compliance professionals as it exemplifies the FSCA's readiness to escalate to court-ordered curatorships and administrative penalties for serious breaches, signaling a robust enforcement posture to deter misconduct and protect market integrity.
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Topics:
Asset ManagerWealth ManagerAll Firms
Supervisory Information
Supervisory Information
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Topics:
BankAsset ManagerInsurance
Friendly Society
Friendly Society
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Topics:
BankAsset ManagerInsurance
Collective Investment Schemes
Collective Investment Schemes
Sectors:
Topics:
Asset ManagerInsurance
FSCA Levies
FSCA Levies
Sectors:
Topics:
BankAsset ManagerInsurance
Comments Portal
Comments Portal
Sectors:
Topics:
BankWealth ManagerAll Firms
Credit Rating Agencies
Credit Rating Agencies
Sectors:
Topics:
BankAsset ManagerInsurance
Retirement Funds
Retirement Funds
Sectors:
Topics:
Asset ManagerInsurance
Collective Investment Schemes and Hedge Funds
Collective Investment Schemes and Hedge Funds
Sectors:
Topics:
Asset ManagerHedge FundBank
Financial Advisory and Intermediary Services
Financial Advisory and Intermediary Services
Sectors:
Topics:
BankAsset ManagerInsurance
Insurers and Microinsurers
Insurers and Microinsurers
Sectors:
Topics:
InsuranceFintech
Submit an enquiry or complaint
Submit an enquiry or complaint
Sectors:
Topics:
All Firms
Check if a firm is authorised
Check if a firm is authorised
Sectors:
Topics:
BankWealth ManagerAll Firms
Regulated Entities
OVERVIEW
Sectors:
Topics:
BankAsset ManagerInsurance
Contact Us
Contact Us
Sectors:
Topics:
BankWealth ManagerAll Firms
WhatsApp groups and trading app: BaFin warns consumers about identity fraud in connection with the use of the app “IB-Kundendienst”
According to the information available to the Federal Financial Supervisory Authority (BaFin), unknown persons are using WhatsApp groups and chats to contact German investors. The initiators of such WhatsApp groups claim to be Bank of America or its branch in Frankfurt am Main. This is a case of identity fraud misusing names of former employees of the institution.
Sectors:
Topics:
BankFintechAll Firms
A Steady Hand: why the Governing Council held rates at 2 per cent this week
In his latest blog, Governor Gabriel Makhlouf explains why the Governing Council kept its main policy interest rate (the deposit facility rate) unchanged at 2% for the fifth consecutive time since June 2025.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Identity fraud: BaFin warns consumers about the company Tradeshark24
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Tradeshark24 and the services it is offering. BaFin suspects the unknown operators of the website tradeshark24(.)com of offering consumers financial, investment and crypto-asset services without the required authorisation. These offers are not provided by Frankfurt Financial Solutions GmbH & Co. KG, Frankfurt, which has no connection to the website tradeshark24(.)com. This is a case of identity fraud.
Sectors:
Topics:
BankWealth ManagerFintech
BaFin warns consumers about the website hashxcapital(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website hashxcapital(.)com. BaFin has information that the website’s operators are using it to offer banking business and/or financial services without the required authorisation. The operators are not supervised by BaFin.
Sectors:
Topics:
BankFintechCrypto Exchange
SFC convenes third Digital Asset Consultative Panel meeting
No description available.
Sectors:
Topics:
Crypto ExchangeFintech
Gemini Payments UK Ltd and Gemini Intergalactic UK Ltd exit the UK market
From 6 April 2026, Gemini is closing all customer accounts in the UK. Gemini Payments UK, Ltd (GPUK) is authorised by the FCA to issue electronic money (e-money) and provide payment services.Gemini Intergalactic UK, Ltd (GIUK) offers cryptoasset products. These activities are not regulated by the FCA, although we oversee compliance in accordance with UK anti-money laundering regulations. On 5 February 2026, GPUK and GIUK confirmed they plan to exit the UK market. Effective 6 April 2026, Gemin...
Effective Date: 6 April 2026
Sectors:
Topics:
Payment ProviderCrypto Exchange
The AMF awards its 2025 prize for young researchers in economics to Alexandre Madelaine
Institutional Markets Journalists The AMF awards its 2025 prize for young researchers in economics to Alexandre Madelaine
Sectors:
Topics:
Asset ManagerBroker DealerFintech
ASIC cancels AFS and AC licences of Centre Capital Securities for failure to pay industry funding levies
ASIC cancels AFS and AC licences of Centre Capital Securities for failure to pay industry funding levies
Sectors:
Topics:
Broker DealerWealth ManagerAll Firms
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.
Sectors:
Topics:
Broker DealerWealth ManagerBank
Join us for ESMA’s Conference “A new era for EU capital markets” on 21 May 2026
Join us for ESMA’s Conference “A new era for EU capital markets” on 21 May 2026 05 February 2026 About ESMA The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, is organising a high‑level conference “A new era for EU capital markets” on 21 May 2026 in Paris, France. Marking ESMA’s 15-year anniversary, the conference will bring together senior policymakers, regulators, leaders of major market infrastructures and financial institutions, as w...
Sectors:
Topics:
Asset ManagerBroker DealerBank
Online financial frauds and scams in an artificial intelligence world
No description available.
Sectors:
Topics:
BankWealth ManagerFintech
Crypto frauds and scams
No description available.
Sectors:
Topics:
Crypto ExchangeAll Firms
FCA stops Advantage Wealth Management Ltd from carrying out regulated activities and imposes assets restriction
The FCA has imposed restrictions on independent financial adviser Advantage Wealth Management Ltd (AWM), which means it must not dispose of any assets or conduct any regulated activities without the written consent of the FCA. The action follows concerns that AWM is not being managed in a way that ensures that its affairs are conducted in a sound and prudent manner. We issued a First Supervisory Notice (PDF)on 22 December 2025, outlining further details about our concerns and the basis for im...
Sectors:
Topics:
Wealth Manager
ASIC permanently bans former NSW financial adviser David Valvo
ASIC permanently bans former NSW financial adviser David Valvo
Sectors:
Topics:
Wealth ManagerBank
ASIC takes further steps to support Australians impacted by First Guardian and Shield collapse
ASIC takes further steps to support Australians impacted by First Guardian and Shield collapse
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Others,Updated English version of Reference Cases on Suspicious Transactions
No description available.
Sectors:
Topics:
BankInsuranceAll Firms
Warning concerning the website www.castleforbeswealth.com
No description available.
Sectors:
Topics:
Wealth Manager
FCA and SRA issue joint warning to firms representing motor finance commission claims
The FCA and Solicitors Regulation Authority (SRA) have today issued a joint warning to claims management companies (CMCs) and law firms involved in motor finance commission claims to make sure consumers don’t have multiple representatives for the same claim and are not charged excessive termination fees. The regulators are reminding CMCs and law firms that they are expected to have robust checks in place to confirm consumers have not already instructed another representative. The FCA has also...
Sectors:
Topics:
BankFintechAll Firms
FCA and SRA joint message to professional representatives on motor finance commission claims: dealing with multiple representation and excessive termination fees
The FCA and Solicitors Regulation Authority (SRA) are warning claims management companies and law firms (representatives) involved in motor finance claims to make sure clients don’t have multiple representatives for the same claim and are not charged excessive termination fees We have seen some clients with up to 4 different representatives for the same claim. They risk being charged termination fees, which could be deemed excessive, should they try to cancel duplicate agreements.
AI Analysis
The FCA and SRA have issued a joint warning to claims management companies (CMCs) and law firms handling motor finance commission claims, addressing multiple client representations (up to 4 per claim observed) and excessive termination fees, which risk unfair consumer treatment. This matters because regulators are intensifying scrutiny amid a paused complaints-handling period (ending May 2026) and a forthcoming redress scheme, with enforcement actions already underway against non-compliant firms.
Sectors:
Topics:
Payment ProviderAll 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
Director of Warwick Gold and Impact Gold disqualified from managing corporations for four years
Director of Warwick Gold and Impact Gold disqualified from managing corporations for four years
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC permanently bans Patrick Nong from the financial services industry
ASIC permanently bans Patrick Nong from the financial services industry
Sectors:
Topics:
Wealth Manager
Registration form for meetings with UCI Departments of the CSSF (Updated)
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
Written reply to Parliamentary Questions on Buy Now, Pay Later transactions and the maximum purchase limit for those below 21 years old
Written reply to Parliamentary Questions on Buy Now, Pay Later transactions and the maximum purchase limit for those below 21 years old.
Sectors:
Topics:
BankFintechPayment Provider
Written reply to Parliamentary Question on delays and non-receipt of transaction alerts for fraudulent transactions
Written reply to Parliamentary Question on delays and non-receipt of transaction alerts for fraudulent transactions.
Sectors:
Topics:
BankFintechPayment Provider
Written reply to Parliamentary Question on clearer regulatory guidance on assigning liability for fraudulent transactions
Written reply to Parliamentary Question on clearer regulatory guidance on assigning liability for fraudulent transactions.
Sectors:
Topics:
BankFintechPayment Provider
Oral reply to Parliamentary Question on disputes related to health insurance claims
Oral reply to Parliamentary Question on disputes related to health insurance claims.
Sectors:
Topics:
InsuranceAll Firms
The AMF awards its Marie-Josèphe-Vanel thesis prize in law to Vincent Ramonéda
Institutional Regulatory developments Financing the economy Other professionals Journalists Listed companies and issuers The AMF awards its Marie-Josèphe-Vanel thesis prize in law to Vincent Ramonéda
Sectors:
Topics:
Asset ManagerBroker DealerBank
Insurance in the round: Innovation, growth and trust
Speech by Sarah Pritchard, FCA deputy chief executive, at the ABI Annual Conference. IntroductionIt’s hard to think of a more symbolic venue to discuss driving change in the insurance sector than the QEII Centre.Step outside, and you’re in the shadow of both the Houses of Parliament, and Westminster Abbey. Scrutiny, change and serving citizens on one side. Tradition on the other.That’s where insurance sits, too.As an industry, you have to balance the new with the non-negotiables – finding way...
Sectors:
Topics:
Insurance
The AMF publishes a working group study on structured products
Derivatives or structured products Marketing MIFID The AMF publishes a working group study on structured products
Sectors:
Topics:
Asset ManagerBroker Dealer
Regulators announce first firms to join Scale-up Unit
The Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) have announced the first cohort of banks and building societies to benefit from their joint Scale-up Unit. The Scale-up Unit announced last year is designed to build stronger ties and provide tailored support for fast-growing and innovative financial firms, helping them to grow sustainably at pace.The 6 firms that expressed interest and have been accepted to the first cohort are:Allica BankClearBankMonument BankNo...
Sectors:
Topics:
BankFintechAll Firms
Falling cost of premium finance saving consumers around £157m a year
People who pay monthly for their insurance are saving around £157m a year, with over half the firms the FCA reviewed as part of a market study lowering the cost of premium finance. Interest rates for premium finance have fallen by an average 4.1 percentage points since 2022, saving consumers £8 on a typical motor policy and £3 on a typical home policy per year. The changes result from regulatory attention, fair value assessments and base rate reductions. The FCA has seen even more significant...
Sectors:
Topics:
InsuranceAll Firms
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.
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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
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
Buy now, pay later: one in seven people lose track of payments
Buy now, pay later: a common practice in online shopping. A survey by BaFin shows that deferring payments can be risky - especially for young consumers.
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Topics:
FintechPayment Provider
SFC forges stronger industry collaboration to shape a compliant and innovative future
No description available.
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.
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Topics:
BankFintechCrypto Exchange
BaFin warns consumers about the website wefi(.)co
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website wefi(.)co. BaFin has information that this website is being used to offer banking business and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankFintechCrypto Exchange
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
Director of WA tiling business charged with making false statement
Director of WA tiling business charged with making false statement
Sectors:
Topics:
BankFintechAll Firms
PCAM: BaFin warns against offers on the website pc-asset-management[.]com, in the app “PCAU pro,” and in WhatisApp groups
In the WhatsApp groups, investors are recommended by “Harrison T Blake” and “Francesca Müller” to invest in financial instruments that can then be traded via the aforementioned app or the platform pc-asset-management[.]com.
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Topics:
BankWealth ManagerFintech
02 Feb 2026 Read more
02 Feb 2026 Read more
Sectors:
Topics:
BankWealth ManagerFintech
The DFSA fines reinsurance broker USD 455,176 for engaging in misleading and…
The DFSA fines reinsurance broker USD 455,176 for engaging in misleading and…
Sectors:
Topics:
Broker DealerInsurance
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
Federal Court orders Australian Unity Funds Management to pay $7 million penalty for failing to confirm product suitability for investors
Federal Court orders Australian Unity Funds Management to pay $7 million penalty for failing to confirm product suitability for investors
Sectors:
Topics:
Asset ManagerWealth Manager
Media contacts
Media contacts
Sectors:
Topics:
BankWealth ManagerAll Firms
BPS Financial to pay $14 million in penalties over crypto Qoin Wallet
BPS Financial to pay $14 million in penalties over crypto Qoin Wallet
Sectors:
Topics:
Crypto ExchangeFintechPayment Provider
Brendan Gunn pleads guilty to dealing with money reasonably suspected of being proceeds of crime
Brendan Gunn pleads guilty to dealing with money reasonably suspected of being proceeds of crime
Sectors:
Topics:
BankWealth ManagerFintech
ASIC acts against 28 SMSF auditors, flags increased scrutiny on in-house audit breaches
ASIC acts against 28 SMSF auditors, flags increased scrutiny on in-house audit breaches
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Warning concerning the website www.quasir-investments.lu
No description available.
Sectors:
Topics:
Asset ManagerWealth ManagerBank
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
FCA seeks views on how to help close the protection gap
The FCA has called on the insurance industry to help more consumers access products that support them and their families if they become critically ill or die. The interim findings of its competition review of pure protection products found that, for those consumers that have taken out protection insurance, the market mostly works well. There are a wide range of products, most consumers can claim when they need to, and the costs of cover have remained stable in the last few years.But 58% of ad...
Sectors:
Topics:
Insurance
New speech by Kelvin Wong: Speech at the Listing Ceremony of Hang Seng Gold ETF
No description available.
Sectors:
Topics:
Asset ManagerBroker DealerBank
Warning concerning fraudulent activities performed under the name of the Luxembourg company ERSEL GESTION INTERNATIONALE S.A.
No description available.
Sectors:
Topics:
Asset ManagerWealth Manager
28 Jan 2026 Read more
28 Jan 2026 Read more
Sectors:
Topics:
BankWealth ManagerFintech
Press Conference “Risks in BaFin’s Focus”, 28 January 2026
Opening Statement by Mark Branson
Sectors:
Topics:
BankFintechCrypto Exchange
Mills Review to consider how AI will reshape retail financial services
The FCA has launched a review into the implications of advanced AI on consumers, retail financial markets and regulators. The Review will be led by Sheldon Mills and builds on the FCA’s existing work on AI. This includes its AI Discussion Paper, AI Sprint, and AI Lab including AI Live Testing and its groundbreaking Supercharged Sandbox supported by NVIDIA.AI is already embedded across financial services. Rapid advances in generative, agentic and emerging forms of AI mean the next phase of cha...
Sectors:
Topics:
BankWealth ManagerFintech
Guavapay Limited enters compulsory liquidation
On 21 January 2026, Guavapay Limited entered compulsory liquidation. The Official Receiver, an officer of the Insolvency Service, is its liquidator. Guavapay is authorised by the FCA to issue E-money and provide payment services to its customers.On 17 September 2025, Guavapay agreed to a voluntary requirement with the FCA, restricting the activities it can undertake. See details on the Financial Services Register.As liquidator, The Official Receiver is responsible for:Managing customer claims...
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Topics:
Payment Provider
SFC suspends Choi Sau Wai for seven months
No description available.
Sectors:
Topics:
Broker DealerWealth Manager
Equity-Indexed Annuities
Equity-Indexed Annuities
Sectors:
Topics:
Broker DealerWealth ManagerAsset Manager
Engagement
Engagement
Sectors:
Topics:
Broker DealerAsset ManagerWealth Manager
Enforcement Process
Enforcement Process
Sectors:
Topics:
Broker DealerAsset ManagerWealth Manager
Enforcement
Enforcement
Sectors:
Topics:
Broker DealerAsset ManagerWealth Manager
Electronic Fingerprint Processing
Electronic Fingerprint Processing
Sectors:
Topics:
Broker DealerAsset ManagerWealth Manager
Electronic Communications
Electronic Communications
Sectors:
Topics:
Broker DealerAsset ManagerWealth Manager
Direct Participation Programs (DPPs)
Direct Participation Programs (DPPs)
Sectors:
Topics:
Broker DealerAsset ManagerWealth Manager
Digital Experience Transformation (DXT)
Digital Experience Transformation (DXT)
Sectors:
Topics:
Broker DealerAsset ManagerWealth Manager
Department of Labor
Department of Labor
Sectors:
Topics:
Broker DealerAsset ManagerWealth Manager
Deferred Annuities
Deferred Annuities
Sectors:
Topics:
Broker DealerAsset ManagerWealth Manager
Cybersecurity
Cybersecurity
Sectors:
Topics:
Broker DealerAsset ManagerBank
Customer Orders
Customer Orders
Sectors:
Topics:
Broker DealerAsset ManagerWealth Manager
Customer Information Protection
Customer Information Protection
Sectors:
Topics:
Broker DealerAsset ManagerWealth Manager
Customer Account Transfers
Customer Account Transfers
Sectors:
Topics:
Broker DealerAsset ManagerWealth Manager
Customer Account Statements
Customer Account Statements
Sectors:
Topics:
Broker DealerAsset ManagerWealth Manager
Crypto Assets
Crypto Assets
Sectors:
Topics:
Crypto ExchangeBroker DealerAsset Manager
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
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
Capital Acquisition Brokers
Capital Acquisition Brokers
Sectors:
Topics:
Broker DealerWealth ManagerAll Firms
BrokerCheck
BrokerCheck
Sectors:
Topics:
Broker DealerWealth ManagerAll Firms
Broker-Dealer Recruitment Disclosures
Broker-Dealer Recruitment Disclosures
Sectors:
Topics:
Broker DealerWealth ManagerAll Firms
Breakpoints
Breakpoints
Sectors:
Topics:
Broker DealerWealth ManagerAsset Manager
Bond Mutual Fund Volatility/Risk Rating
Bond Mutual Fund Volatility/Risk Rating
Sectors:
Topics:
Asset ManagerBroker Dealer
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
Arbitration and Mediation
Arbitration and Mediation
Sectors:
Topics:
Broker DealerWealth 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
529 Savings Plans
529 Savings Plans
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
Regulatory Notice 25-02
Regulatory Notice 25-02
Sectors:
Topics:
Broker DealerBankAsset Manager
Regulatory Notice 25-04
Regulatory Notice 25-04
Sectors:
Topics:
Broker DealerWealth ManagerFintech
Regulatory Notice 25-05
Regulatory Notice 25-05
Sectors:
Topics:
Broker DealerWealth ManagerAsset Manager
Regulatory Notice 25-07
Regulatory Notice 25-07
Sectors:
Topics:
Broker DealerAsset ManagerFintech
Information Notice - 10/21/25
Information Notice - 10/21/25
AI Analysis
FINRA's Information Notice dated October 21, 2025, reminds member firms of NSCC's amendment to Rule 50, effective October 17, 2025, which removes the "Settle Prep Day" from the ACATS process, shortening full customer account transfers to 3-4 business days. This matters because it aligns with FINRA Rule 11870's requirements to expedite transfers, enhances operational efficiency, reduces risk, and improves client experience amid broader industry shifts like T+1 settlement.[original notice]
Sectors:
Topics:
Broker DealerWealth ManagerAll Firms
Regulatory Notice 25-16
Regulatory Notice 25-16
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
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
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
PS25/22: Supporting consumers’ pensions and investment decisions: rules for targeted support
Policy statements
AI Analysis
The FCA's PS25/22 establishes a new regulatory framework for **targeted support**—a form of financial guidance that allows authorised firms to provide ready-made suggestions to consumer segments without conducting individualised suitability assessments. This framework addresses the UK's "advice gap" by enabling firms to deliver affordable, scalable financial support to an estimated 18 million consumers within a decade, fundamentally shifting how retail investors and pension savers access guidance on investment and retirement decisions.
Sectors:
Topics:
Asset ManagerWealth ManagerAll Firms
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
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 Licenses “Tabby finance” Company to Engage in BNPL Activity
SAMA Licenses “Tabby finance” Company to Engage in BNPL Activity
Sectors:
Topics:
FintechPayment Provider
SAMA Revokes the License of “Fas Finance Company”
SAMA Revokes the License of “Fas Finance Company”
Sectors:
Topics:
BankFintech
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
ASIC acts against ESG investment fund responsible entity alleging governance failures and misleading conduct
ASIC acts against ESG investment fund responsible entity alleging governance failures and misleading conduct
Sectors:
Topics:
Asset ManagerWealth Manager
ASIC cancels Australian financial services licence of Velos Global Markets Pty Ltd
ASIC cancels Australian financial services licence of Velos Global Markets Pty Ltd
Sectors:
Topics:
Broker DealerWealth ManagerAll Firms
ASIC 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
ASIC Annual Forum to focus on the challenges of a rapidly evolving economy as it returns to Melbourne in November
ASIC Annual Forum to focus on the challenges of a rapidly evolving economy as it returns to Melbourne in November
Sectors:
Topics:
BankAsset ManagerBroker Dealer
ASIC’s annual report reveals strong growth in enforcement action and investigations and keen focus on strengthening markets
ASIC’s annual report reveals strong growth in enforcement action and investigations and keen focus on strengthening markets
Sectors:
Topics:
BankBroker DealerAsset Manager
ASIC bans former Lighthouse Partners director Timothy Archibald for 10 years for fees for no service conduct
ASIC bans former Lighthouse Partners director Timothy Archibald for 10 years for fees for no service conduct
Sectors:
Topics:
Wealth ManagerAll Firms
ASIC cancels AFS licence of CPG Research & Advisory for ceasing business operations and unpaid industry funding levies
ASIC cancels AFS licence of CPG Research & Advisory for ceasing business operations and unpaid industry funding levies
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC flags risks in offshore outsourcing after review identifies governance gaps
ASIC flags risks in offshore outsourcing after review identifies governance gaps
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC sends clear message to super trustees amid glaring retirement communications gaps
ASIC sends clear message to super trustees amid glaring retirement communications gaps
Sectors:
Topics:
Asset ManagerWealth ManagerInsurance
Federal Court orders remaining ALAMMC Group companies wound up
Federal Court orders remaining ALAMMC Group companies wound up
Sectors:
Topics:
BankAsset ManagerWealth Manager
Two former Statewide Super executives acquitted on charges of dishonesty offences
Two former Statewide Super executives acquitted on charges of dishonesty offences
Sectors:
Topics:
BankWealth ManagerAsset Manager
Federal Court dismisses ASIC’s claims against former Freedom Insurance director and consultant
Federal Court dismisses ASIC’s claims against former Freedom Insurance director and consultant
Sectors:
Topics:
InsuranceAll Firms
ASIC halts offers of TruePillars Investment Trust
ASIC halts offers of TruePillars Investment Trust
Sectors:
Topics:
Asset ManagerWealth Manager
ASIC permanently bans Noel Northcott from the financial services industry
ASIC permanently bans Noel Northcott from the financial services industry
Sectors:
Topics:
Asset ManagerWealth Manager
Collection agency company director loses appeal against conviction for obtaining a financial advantage by deception
Collection agency company director loses appeal against conviction for obtaining a financial advantage by deception
Sectors:
Topics:
All Firms
ASIC bans MWL financial adviser and investment committee member Wade Spooner for 8 years
ASIC bans MWL financial adviser and investment committee member Wade Spooner for 8 years
Sectors:
Topics:
Wealth ManagerAsset Manager
Queensland director sentenced for making a false or misleading statement to ASIC
Queensland director sentenced for making a false or misleading statement to ASIC
Sectors:
Topics:
BankWealth ManagerAll Firms
ASIC bans former UGC and MWL financial adviser Jovan Videkanic for 7 years
ASIC bans former UGC and MWL financial adviser Jovan Videkanic for 7 years
Sectors:
Topics:
Wealth ManagerAsset Manager
ASIC cancels licence of Wealth Trail Pty Ltd (In Liquidation)
ASIC cancels licence of Wealth Trail Pty Ltd (In Liquidation)
Sectors:
Topics:
Wealth ManagerAll Firms
Auditor of United Global Capital and related entities cancelled by Companies Auditors Disciplinary Board
Auditor of United Global Capital and related entities cancelled by Companies Auditors Disciplinary Board
Sectors:
Topics:
Asset ManagerWealth Manager
RAMS penalised $20 million for widespread compliance failings regarding home loans
RAMS penalised $20 million for widespread compliance failings regarding home loans
Sectors:
Topics:
BankFintech
ASIC secures interim court orders barring Ferras Merhi from financial services activities
ASIC secures interim court orders barring Ferras Merhi from financial services activities
Sectors:
Topics:
Wealth ManagerAsset ManagerBank
Updated ASIC guidance supports digital asset innovation and boosts investor protection
Updated ASIC guidance supports digital asset innovation and boosts investor protection
Sectors:
Topics:
Crypto ExchangeFintech
ASIC bans former Crown Wealth Group director Brendan Rodwell for failing to report fees for no service conduct
ASIC bans former Crown Wealth Group director Brendan Rodwell for failing to report fees for no service conduct
Sectors:
Topics:
Wealth ManagerBank
Construction industry director charged with breach of director’s duties and providing false and misleading documents
Construction industry director charged with breach of director’s duties and providing false and misleading documents
Sectors:
Topics:
BankWealth ManagerAsset Manager
ASIC statement - Clime entities
ASIC statement - Clime entities
Sectors:
Topics:
Asset ManagerWealth Manager
Perth fraudster Chris Marco sentenced to 14 years imprisonment
Perth fraudster Chris Marco sentenced to 14 years imprisonment
Sectors:
Topics:
BankWealth ManagerAsset Manager
ASIC 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
Former CEO of AI marketing company Metigy pleads guilty to misleading investors and dishonestly using his position
Former CEO of AI marketing company Metigy pleads guilty to misleading investors and dishonestly using his position
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
Prime Super pays ASIC infringement notice alleging misleading statements about tobacco investments
Prime Super pays ASIC infringement notice alleging misleading statements about tobacco investments
Sectors:
Topics:
Asset ManagerWealth ManagerInsurance
HESTA pays ASIC infringement notices alleging misleading statements about carbon emissions
HESTA pays ASIC infringement notices alleging misleading statements about carbon emissions
Sectors:
Topics:
Asset ManagerInsurance
ASIC review raises fresh concerns over risks to retirement savings from poor SMSF advice
ASIC review raises fresh concerns over risks to retirement savings from poor SMSF advice
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC successfully defends special leave application to the High Court by Cigno Australia director Mark Swanepoel and BSF Solutions director Brenton Harrison
ASIC successfully defends special leave application to the High Court by Cigno Australia director Mark Swanepoel and BSF Solutions director Brenton Harrison
Sectors:
Topics:
FintechAll Firms
ASIC drives car finance providers to improve consumer outcomes
ASIC drives car finance providers to improve consumer outcomes
Sectors:
Topics:
BankFintech
Mansa Group director sentenced to imprisonment for more than four years for forgery and dishonesty offences
Mansa Group director sentenced to imprisonment for more than four years for forgery and dishonesty offences
Sectors:
Topics:
BankWealth ManagerAsset Manager
ASIC disqualifies NSW hospitality director for five years
ASIC disqualifies NSW hospitality director for five years
Sectors:
Topics:
BankFintechAll Firms
ASIC announces 2026 enforcement priorities
ASIC announces 2026 enforcement priorities
Sectors:
Topics:
BankAsset ManagerInsurance
ASIC takes action against MWL Financial Services, former director Nicholas Maikousis, and Imperial Capital Group Australia over alleged Shield advice failures
ASIC takes action against MWL Financial Services, former director Nicholas Maikousis, and Imperial Capital Group Australia over alleged Shield advice failures
Sectors:
Topics:
Asset ManagerWealth Manager
ASIC sues SQM Research alleging misleading reports related to Shield
ASIC sues SQM Research alleging misleading reports related to Shield
Sectors:
Topics:
Asset ManagerWealth Manager
ASIC sues Interprac over alleged Shield and First Guardian licensee failures
ASIC sues Interprac over alleged Shield and First Guardian licensee failures
Sectors:
Topics:
Wealth ManagerAsset Manager
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
ASIC imposes additional conditions on Learn To Trade to address compliance failures
ASIC imposes additional conditions on Learn To Trade to address compliance failures
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
Cbus ordered to pay $23.5 million penalty for serious failures in processing members death benefits and insurance claims
Cbus ordered to pay $23.5 million penalty for serious failures in processing members death benefits and insurance claims
Sectors:
Topics:
Asset ManagerInsurance
Super trustees urged to accelerate progress on retirement support for members
Super trustees urged to accelerate progress on retirement support for members
Sectors:
Topics:
Asset ManagerWealth ManagerInsurance
ASIC takes contempt action against David McWilliams and Laura Fullarton over alleged freezing order breaches
ASIC takes contempt action against David McWilliams and Laura Fullarton over alleged freezing order breaches
Sectors:
Topics:
BankWealth ManagerFintech
ASIC calls for feedback on stamp duty and portfolio holdings disclosure requirements for super funds
ASIC calls for feedback on stamp duty and portfolio holdings disclosure requirements for super funds
Sectors:
Topics:
Asset ManagerWealth ManagerInsurance
ASIC calls on Australian companies to adopt better practices to protect whistleblowers
ASIC calls on Australian companies to adopt better practices to protect whistleblowers
Sectors:
Topics:
BankWealth ManagerAll Firms
ASIC issues DDO stop order against FXCM for TMD deficiencies
ASIC issues DDO stop order against FXCM for TMD deficiencies
Sectors:
Topics:
Broker DealerFintech
ASIC sues Diversa Trustees alleging failures relating to First Guardian
ASIC sues Diversa Trustees alleging failures relating to First Guardian
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC takes action against Adelaide-based Colin Oxlade and Spice Capital Partners over unlicensed financial services business
ASIC takes action against Adelaide-based Colin Oxlade and Spice Capital Partners over unlicensed financial services business
Sectors:
Topics:
Asset ManagerWealth Manager
ASIC issues over $2.2 million in infringement notices to 12 large proprietary companies for alleged failure to lodge financial reports
ASIC issues over $2.2 million in infringement notices to 12 large proprietary companies for alleged failure to lodge financial reports
Sectors:
Topics:
BankAsset ManagerWealth Manager
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 renews guidance on managing conflicts of interest in financial services
ASIC renews guidance on managing conflicts of interest in financial services
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC bans Sydney mortgage broker for ten years and cancels her Australian credit licence
ASIC bans Sydney mortgage broker for ten years and cancels her Australian credit licence
Sectors:
Topics:
All Firms
Federal Court appoints receivers over the assets of Gregory Raymond Cotton and First Mutual Private Equity Pty Ltd
Federal Court appoints receivers over the assets of Gregory Raymond Cotton and First Mutual Private Equity Pty Ltd
Sectors:
Topics:
Asset ManagerWealth Manager
Netwealth admits to First Guardian failures and agrees to compensate affected members $100 million
Netwealth admits to First Guardian failures and agrees to compensate affected members $100 million
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC cancels AFS licence of Rynco Pty Ltd
ASIC cancels AFS licence of Rynco Pty Ltd
Sectors:
Topics:
Asset ManagerWealth ManagerBank
NGS blockchain mining companies and unregistered scheme wound up, found operating without a licence
NGS blockchain mining companies and unregistered scheme wound up, found operating without a licence
Sectors:
Topics:
Crypto ExchangeFintech
ASIC bans former MWL financial services adviser and former UGC Head of Advice Louis Van Coppenhagen for 7 years
ASIC bans former MWL financial services adviser and former UGC Head of Advice Louis Van Coppenhagen for 7 years
Sectors:
Topics:
Wealth ManagerAsset Manager
Federal Court orders $925,000 in penalties against RM Capital and SMSF Club for conflicted remuneration breaches
Federal Court orders $925,000 in penalties against RM Capital and SMSF Club for conflicted remuneration breaches
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Federal Court orders $250 million combined penalties against ANZ
Federal Court orders $250 million combined penalties against ANZ
Sectors:
Topics:
BankWealth ManagerAll Firms
Market riggers sentenced in ASX ‘pump and dump’ case
Market riggers sentenced in ASX ‘pump and dump’ case
Sectors:
Topics:
Broker DealerCrypto Exchange
Pump and dump scammers put regulators on high alert
Pump and dump scammers put regulators on high alert
Sectors:
Topics:
Broker DealerFintechAll Firms
ASIC sues BDO Audit and its director Dean Just alleging materially false or misleading audit reports
ASIC sues BDO Audit and its director Dean Just alleging materially false or misleading audit reports
Sectors:
Topics:
BankWealth Manager
ASIC suspends Australian credit licence of Transitional Funding Pty Ltd
ASIC suspends Australian credit licence of Transitional Funding Pty Ltd
Sectors:
Topics:
All Firms
Directors of collapsed agri-businesses linked to corruption scandal disqualified for maximum 5-year period
Directors of collapsed agri-businesses linked to corruption scandal disqualified for maximum 5-year period
Sectors:
Topics:
BankWealth ManagerAsset Manager
ASIC secures nearly $40 million in refunds to investors and drives change after CFD sector falls short
ASIC secures nearly $40 million in refunds to investors and drives change after CFD sector falls short
Sectors:
Topics:
Broker DealerFintech
Former financial advisor Anthony Torre sentenced to six years imprisonment for fraud and stealing
Former financial advisor Anthony Torre sentenced to six years imprisonment for fraud and stealing
Sectors:
Topics:
Wealth ManagerBank
Former United Global Capital financial adviser Milutin Petrovic’s ban varied to three years
Former United Global Capital financial adviser Milutin Petrovic’s ban varied to three years
Sectors:
Topics:
Wealth ManagerAsset Manager
Warning concerning fraudulent activities by persons misusing the name of A&P; Selective Investment Fund S.C.A., SICAV-FIAR
No description available.
Sectors:
Topics:
Asset ManagerWealth Manager
New regime for securities and what consumers should look out for
We urge consumers thinking of investing in high-risk securities, such as mini-bonds and loan notes, to continue to be cautious. On 19 January 2026, the Public Offers and Admissions to Trading regime came into force. The regime sets new rules and standards about when an offer of securities to the public can be made.A security is a financial instrument that represents some type of financial value (for example, shares, bonds and stock) that can be traded on a financial exchange.The types of secu...
Sectors:
Topics:
BankWealth ManagerFintech
FCA seeks feedback on further rules for cryptoasset firms
We are seeking views on further rules for cryptoasset firms as the final step in our consultations on our crypto rules. We have made significant progress in delivering our crypto roadmap and are helping firms to meet our standards and get ready for when the gateway opens in September 2026.We have set out our proposals on how the Consumer Duty, conduct standards, redress and safeguarding will apply to cryptoasset firms. We are also seeking feedback on our proposed approach to international cry...
Sectors:
Topics:
Crypto ExchangeFintech
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
SEC Seeks Candidates for Membership on the Investor Advisory Committee
The Securities and Exchange Commission is seeking candidates for appointment as members of the SEC’s Investor Advisory Committee, established pursuant to Section 39 of the Securities Exchange Act of 1934 to help protect investors and improve securities…
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
Leading Asset Management: BaFin warns consumers about WhatsApp groups and the LAM INT app
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered in WhatsApp groups operated by Leading Asset Management, Denver, USA. BaFin suspects the operators of offering consumers financial, investment and cryptoasset services in these groups without the required authorisation.
Sectors:
Topics:
Asset ManagerFintechCrypto Exchange
BaFin warns consumers about the website skyvault(.)ltd
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website skyvault(.)ltd. BaFin has information that the operators are offering banking business and/or financial services on this website without the required authorisation. The operators are not supervised by BaFin.
Sectors:
Topics:
BankCrypto ExchangeFintech
Aureus Trade: BaFin warns consumers about the website: aureus-trade(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered by Aureus Trade. BaFin suspects the unknown operators of the website aureus-trade(.)com of offering consumers financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankFintechCrypto Exchange
bxforex(.)com: BaFin warns consumers about website and identity theft
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website bxforex(.)com. According to information available to BaFin, this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankBroker DealerWealth Manager
Rostock24 Limited: BaFin warns consumers about the website Rostock24(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Rostock24 Limited and the services it is offering. BaFin suspects the unknown operators of the website rostock24(.)com of offering consumers financial, investment and cryptoasset services without the required authorisation. Rostock24 Limited, which purportedly has its head office in Nuremberg, claims to be registered with the British Companies House. This is not the case.
Sectors:
Topics:
BankFintechCrypto Exchange
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
SEC Seeks Candidates for Small Business Capital Formation Advisory Committee
The Securities and Exchange Commission is seeking candidates to fill a limited number of vacancies on the agency’s Small Business Capital Formation Advisory Committee, which provides advice and recommendations to the Commission on rules, regulations, and…
Sectors:
Topics:
Broker DealerAsset ManagerAll Firms
bb-consults(.)com: BaFin warns consumers about website and identity fraud
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website bb-consults(.)com. BaFin has information that this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
FintechCrypto ExchangeAll Firms
DEV Limited (CLONE) - Central Bank of Ireland Issues Warning on Unauthorised Firm
DEV Limited (CLONE) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankFintech
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
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
BaFin product intervention regarding turbo certificates
No description available.
Sectors:
Topics:
BankBroker DealerAsset Manager
Regulators give clarity in relation to open banking pricing models
We have issued a joint statement with the Payment Systems Regulator (PSR) giving clarity on open banking pricing models. We and the PSR have issued the following statement (PDF).This confirms we will not, at this stage, prioritise a Competition Act 1998 (CA98) investigation into the centralised ‘access fee’ pricing model being developed by the UK Payments Initiative (UKPI) for commercial Variable Recurring Payments (cVRPs). cVRPs are an emerging open banking technology that allow consumers to...
AI Analysis
The FCA and PSR have jointly confirmed they will not prioritize a Competition Act 1998 investigation into the UK Payments Initiative's (UKPI) centralized access fee pricing model for commercial Variable Recurring Payments (cVRPs), with the CMA's concurrent agreement. This regulatory clarity provides temporary certainty for cVRP development ahead of anticipated legislation by end-2026, creating a critical window for firms to develop compliant commercial models in this emerging open banking technology.
Action Required
The FCA and PSR have issued a joint statement providing clarity on open banking pricing models, specifically regarding the centralised 'access fee' pricing model for commercial Variable Recurring Payments (cVRPs). This statement confirms that they will not prioritize a Competition Act 1998 investigation into this model at this stage. The goal is to support the development of cVRPs, giving consumers more control over their payments and lowering processing fees for businesses.
Sectors:
Topics:
BankFintechPayment Provider
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
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
CFTC Enforcement Updates
No description available.
AI Analysis
The CFTC announced three major enforcement actions on January 16, 2026, resolving cases involving **market manipulation (spoofing), misappropriation of confidential information, and unregistered commodity pool operations**. These cases demonstrate the CFTC's continued enforcement focus on fraudulent trading practices and registration violations, with combined penalties exceeding $685,000 and criminal sentences totaling over six years in prison.
Action Required
The CFTC has announced enforcement updates, including civil monetary penalties and trading bans for spoofing in precious metals futures markets and misappropriating confidential information. These updates highlight the importance of compliance with CFTC regulations. Firms must ensure they are registered and comply with anti-spoofing and anti-fraud regulations.
Sectors:
Topics:
Broker DealerAsset ManagerCrypto Exchange
Logic Investments Ltd enters special administration
On 16 January 2026, Logic Investments Ltd (Logic Investments) entered special administration. Alex Watkins and Ed Boyle of Interpath Ltd were appointed as joint special administrators. Logic Investments is FCA authorised and regulated to provide wealth management services. On 16 December 2025, Logic Investments agreed to an FCA requirement preventing it from accepting new clients, client money or assets; or moving existing client money or assets without FCA consent. This was done because of c...
Sectors:
Topics:
Wealth Manager
SAMA Issues Fees Guide for Financial Institutions’ Services
SAMA Issues Fees Guide for Financial Institutions’ Services
Sectors:
Topics:
BankPayment Provider
ADGM Academy Hosts groundbreaking activities under the theme “Bridging Knowledge & Building the Nation” at ADFW 2025
ADGM Academy Hosts groundbreaking activities under the theme “Bridging Knowledge & Building the Nation” at ADFW 2025
Sectors:
Topics:
BankWealth ManagerFintech
‘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
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
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
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.
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BankFintechPayment Provider
Court approves FCA’s proposals to distribute Asset Land investor funds
On 19 December 2025 the High Court approved the FCA’s proposals to distribute funds to Asset Land investors. The Court has directed the FCA to pay funds to investors in the Asset Land schemes who provide valid bank account details to the FCA on or before 20 February 2026.Investors who have not received previous communications from the FCA or who have not updated their contact information are requested to immediately contact the FCA using the details below.Please ensure this is completed no la...
Deadline: 20 February 2026
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Asset ManagerWealth Manager
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
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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.
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Crypto ExchangeBankFintech
COIN Bull Vision: BaFin warns against offers on website coinbullvisionltd(.)com
The Federal Financial Supervisory Authority BaFin warns against offers on the website coinbullvisionltd(.)com. According to information available to BaFin, the trading platform COIN Bull Vision Ltd. (also: COIN Bull Vision GmbH) is providing financial, investment and crypto asset services without the required authorisation.
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Crypto Exchange
New speech by Kelvin Wong: Speech at the Hong Kong Chartered Governance Institute’s Annual Reception 2026
No description available.
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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.
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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
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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.
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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...
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BankFintechCrypto Exchange
SFC warns public of suspicious AI-themed investment product offered by Gold Fun and Angel Guardian Alliance Technology
No description available.
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Asset ManagerWealth ManagerFintech
parex-am(.)com: BaFin warns consumers about website and identity theft
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website parex-am(.)com. BaFin has information that this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
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BankCrypto Exchange
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.
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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...
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BankWealth ManagerFintech
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.
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Crypto ExchangeFintech
The AMF sets its priorities for 2026 for deeper, safer and more resilient financial markets open to innovation
Strategy Supervision Institutional Other professionals Retail investors Journalists Investment services providers Investment management companies Listed companies and issuers The AMF sets its priorities for 2026 for...
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Asset ManagerBroker DealerBank
Publication,FSA Weekly Review No.670 January 14, 2026
No description available.
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BankFintechCrypto Exchange
Telegram groups and trading app: BaFin warns consumers about identity theft in connection with the apps “NYLI” and “NYLIPLUS”
According to information available to the Federal Financial Supervisory Authority (BaFin), unknown persons are using Telegram groups and chats to contact German investors. The initiators of these messenger groups purport to be the US company “MacKay Shields”. This is a case of identity fraud.
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BankWealth ManagerFintech
WhatsApp groups and trading app: BaFin warns consumers about identity theft in connection with the app “PayDenPro”
According to information available to the Federal Financial Supervisory Authority (BaFin), unknown persons are using WhatsApp groups and chats to contact German investors. The initiators of these WhatsApp groups purport to be the US company “Payden & Rygel”. This is a case of identity theft misusing the names of real employees.
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BankFintechPayment Provider
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.
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Asset ManagerBankAll Firms
BaFin warns consumers about the website givhalbank(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website givhalbank(.)com. According to information available to BaFin, this website is being used to offer banking business and financial, investment and cryptoasset services without the required authorisation.
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BankCrypto Exchange
BaFin warns consumers about the website blitz365finance(.)org and identity fraud
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website blitz365finance(.)org. According to information available to BaFin, the operators are offering financial and cryptoasset services on the website without the required authorisation. The unknown operators of the website are not supervised by BaFin. This is a case of identity fraud against a Swiss company.
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BankFintechCrypto Exchange
ESMA promotes clarity in communications on ESG strategies
ESMA promotes clarity in communications on ESG strategies 14 January 2026 Sustainable finance The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, published today a second thematic note on sustainability-related claims, focusing on ESG strategies. The note concentrates on ESG integration and ESG exclusions, as references to these strategies are often made by market participants and widely referenced in marketing communications directed to ...
AI Analysis
ESMA published a thematic note on January 14, 2026, providing guidance on clear, fair, and not misleading communications regarding ESG strategies, specifically ESG integration and ESG exclusions, to mitigate greenwashing risks in non-regulatory materials like marketing. This matters because sustainability claims heavily influence investor decisions, and misleading communications can lead to supervisory actions, reputational damage, and loss of trust, aligning with existing EU rules under SFDR and related frameworks without imposing new disclosures.
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Asset ManagerAll Firms
SFC obtains disqualification order against former executive director of National United Resources Holdings Limited
No description available.
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BankWealth ManagerAsset Manager
CP1/26 – Financial Services Compensation Scheme – Management Expenses Levy Limit (MELL) 2026/27
Consultation paper 1/26
AI Analysis
The PRA and FCA have jointly issued consultation paper CP1/26 proposing to set the **Management Expenses Levy Limit (MELL) for the Financial Services Compensation Scheme (FSCS) at £113 million for 2026/27**, comprising a £108 million management expenses budget and a £5 million unlevied reserve. This consultation determines the maximum amount the FSCS can levy on authorised financial services firms to fund its statutory compensation scheme operations, directly affecting compliance costs for all regulated entities.
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BankInsuranceAsset Manager
Register of EU/EEA Mortgage Credit Intermediaries operating in Luxembourg under the freedom to provide services in accordance with the Mortgage Credit Directive 2014/17/EU (Updated)
No description available.
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Bank
FCA highlights good practice and risks in complex ETPs for retail investors
We reviewed how firms sell complex exchange traded products (ETPs) to retail consumers. Complex ETPs are a subset of the wider ETP market and include high-risk investment strategies that can be difficult for retail consumers to understand.We assessed how firms of different sizes and business models evaluate these products, communicate key risks and monitor outcomes under the Consumer Duty.Given the complexity and risk profile of ETPs, it is essential firms make sure investors have the knowled...
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Asset ManagerBroker DealerWealth Manager
The DFSA implements major updates to Crypto Token Regulatory Framework,…
12 JAN 2026, 07:30 AM The DFSA implements major updates to Crypto Token Regulatory Framework,…
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Crypto ExchangeFintechAll Firms
SEC to Host Hybrid Event on Regulation S-P for Small Firms
The Securities and Exchange Commission today announced it will hold its third and final outreach event to help firms comply with amendments to Regulation S-P. The event, which is focused on small firms, is open to in-person or virtual attendance, and is…
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Asset ManagerBroker DealerWealth Manager
FCA obtains £265,523.96 confiscation order against Collateral fraudster Andrew Currie
The FCA has secured a confiscation order of £265,523.96 against Andrew Currie. Mr Currie was convicted in 2023 and sentenced to 2 years 6 months imprisonment for defrauding investors through the collapsed peer-to-peer lending platform Collateral (UK) Ltd.He diverted funds from Collateral investors and used them for personal gain, including the purchase of a property in Spain.At a hearing at Southwark Crown Court on 9 January 2026, Mr Currie was ordered to pay £265,523.96. This amount represen...
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BankWealth ManagerFintech
Finfluencers – Tips for responsible promotion
No description available.
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Asset ManagerWealth ManagerBank
New DFSA Thematic Review: Conflicts of Interest across DIFC Firms
09 JAN 2026, 09:13 AM New DFSA Thematic Review: Conflicts of Interest across DIFC Firms
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Asset ManagerWealth ManagerBank
Identity theft: BaFin warns against offers from the email address wise[at]wisefestgeldkonto(.)com
The Federal Financial Supervisory Authority BaFin warns against fixed-term deposit offers sent from the email address wise[at]wisefestgeldkonto(.)com. According to information available to BaFin, the unknown providers are conducting banking transactions without the required authorisation. The offers do not originate from Wise Europe SA. This is a case of identity theft.
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BankFintechPayment Provider
Identity fraud: BaFin warns against offers on website ellis-ag(.)net
The Federal Financial Supervisory Authority BaFin warns against offers on the website ellis-ag(.)net. According to information available to BaFin, financial or investment services and crypto asset services are being offered on this platform without the required authorisation. According to the current state of knowledge, there is no connection to the Swiss company Ellis AG, Zurich. This is likely to be a case of identity fraud.
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BankFintechCrypto Exchange
SEC Publishes Staff Report on Capital-Raising Dynamics
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation today published and delivered to Congress its 2025 staff report that serves as a comprehensive and data-rich resource on capital-raising dynamics…
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Asset ManagerBroker DealerWealth Manager
The AMF Enforcement Committee fines an asset management company and its directors for breaches of their professional obligations
Sanctions & settlements professional obligations Journalists Investment management companies The AMF Enforcement Committee fines an asset management company and its directors for breaches of their professional obligations
AI Analysis
The AMF Enforcement Committee fined asset management company M Capital Partners €200,000 and its directors Rudy Secco (€70,000) and Stéphanie Minissier (€35,000) on 31 December 2025 for breaches of professional obligations spanning August 2019 to December 2023, including non-operational investment systems, deficient AML/CFT procedures, inadequate conflict of interest management, and poor due diligence traceability. This decision underscores AMF's focus on operational robustness in asset management, with personal liability for senior managers, signaling heightened enforcement risk for similar firms. Compliance teams must prioritize reviewing internal procedures to avoid comparable sanctions, as appeals are possible but do not suspend obligations.
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Asset Manager
Pension value to be put under the spotlight
Pension schemes must now publish transparent data on their performance, costs, and service quality, according to new proposals from the FCA, DWP, and TPR. Pension schemes will need to publish clear data on their performance, costs and quality of service, under proposals announced today by the Financial Conduct Authority (FCA), the Department for Work and Pensions (DWP) and The Pensions Regulator (TPR). If a pension offers poor value, firms and trustees must then fix it by moving savers to bet...
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Asset ManagerWealth ManagerInsurance
Alpha Blue Capital und Blue Capital: BaFin warns against offers on the websites bluealphafx(.)com and h5.bluealphasystem(.)net, in the app “BCAAT,” and in WhatsApp groups
In the WhatsApp groups, investors are recommended to invest in financial instruments that can then be traded via the platform h5.bluealphasystem(.)net or the aforementioned app.
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BankWealth ManagerFintech
Cantor: BaFin warns against identity fraud in WhatsApp groups and against app CDAfin
The Federal Financial Supervisory Authority BaFin warns against offers in WhatsApp groups, which are allegedly operated by Cantor Fitzgerald and led by Leopold Schneider. BaFin is not aware of the existence of this person. According to information available to BaFin, recommendations for the purchase of financial instruments and cryptocurrencies, which can allegedly be traded via CDAfin app, are offered in various WhatsApp groups. According to the current state of knowledge, there is no connec...
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BankFintechCrypto Exchange
Capital Holdings: BaFin warns about the website capitalholdings(.)icu
The German Financial Supervisory Authority (BaFin) warns about offers on the website capitalholdings(.)icu. According to information available to BaFin, the unknown operators of the websites are offering banking transactions and financial services without the required authorisation.
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BankFintechAll Firms
Sicherangelegt(.)de: BaFin warns consumers about website
The German Financial Supervisory Authority (BaFin) warns about fixed-term deposit offers from the website sicherangelegt(.)de. According to information available to BaFin, the unknown operators of the website are offering banking services, in particular fixed-term deposits, without the required authorisation.
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BankFintech
Baird Capital: BaFin warns against identity fraud in WhatsApp groups
The Federal Financial Supervisory Authority BaFin warns against offers in WhatsApp groups, which are allegedly operated by Baird Capital and led by a Thomas Becker. BaFin is not aware of the existence of this person. According to information available to BaFin, recommendations for the purchase of financial instruments and cryptocurrencies are offered in WhatsApp groups and the so-called Baird Capital Investment Program III is being promoted. According to the current state of knowledge, there ...
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BankFintechCrypto Exchange
blauline(.)ai: BaFin warns consumers about website
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website blauline(.)ai. BaFin has information that this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
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FintechCrypto ExchangeAll Firms
FCA fines former finance directors of Carillion plc (in liquidation)
The FCA has fined 2 former finance directors for their part in misleading statements being issued by Carillion plc. Richard Adam and Zafar Khan were both aware of serious financial troubles in Carillion’s UK construction business but failed to reflect this in company announcements or alert the Board and audit committee, leading to poor oversight.Mr Adam and Mr Khan have been fined £232,800 and £138,900, respectively. The fines were imposed after Mr Adam and Mr Khan withdrew their challenges t...
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BankWealth ManagerAll Firms
AIFM II: the AMF updates its doctrine to make introducing liquidity management tools easier for UCITS and AIFs
Asset management AIFMD UCIT AIFM II: the AMF updates its doctrine to make introducing liquidity management tools easier for UCITS and AIFs
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Asset ManagerHedge Fund
The AMF and the ACPR warn the public against several entities offering in France investments in the unregulated foreign exchange market (Forex) and in crypto-assets derivatives without being authorized to do so
Warning Forex and binary options Warning Savings protection The AMF and the ACPR warn the public against several entities offering in France investments in the unregulated foreign exchange market (Forex) and in crypto-assets derivatives without being authorized to do so
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BankFintechCrypto Exchange
SFC reprimands and fines Saxo Capital Markets HK Limited $4 million for regulatory breaches over distribution of virtual asset-related products
No description available.
AI Analysis
The Securities and Futures Commission (SFC) reprimanded and fined Saxo Capital Markets HK Limited (SCMHK) HK$4 million on 6 January 2026 for breaching regulations by distributing unauthorised virtual asset (VA) funds and VA-related products to retail clients via its online platform from 1 November 2018 to 25 November 2022. This enforcement action underscores the SFC's strict enforcement of suitability, due diligence, and professional investor-only restrictions for complex VA products, serving as a warning to intermediaries about online distribution risks. It matters because it highlights gaps in group-wide protocols and the need for robust VA-specific controls, especially post-SFC circulars mandating PI-only access.
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Broker DealerAll Firms
Bit500: BaFin warns consumers about the website bit500(.)eu
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website bit500(.)eu. BaFin has information that the operators are offering banking business and/or financial services on this website without the required authorisation. The operators are not supervised by BaFin.
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BankFintechCrypto Exchange
FCA opens investigation into claims management company
The FCA has opened an enforcement investigation into The Claims Protection Agency Limited (TCPA) following concerns about its advertising and sales tactics in relation to potential motor finance claims. The FCA is investigating what customers were told about the amount of redress they might obtain, whether they were told they could make a claim for free, and whether they were pressurised to sign up.Announcing the investigation allows TCPA customers to consider their options.The FCA has not re...
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All Firms
SFC welcomes Process Review Panel Report 2024-25
No description available.
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BankWealth ManagerAsset Manager
TPK Vermögensverwaltungs KG: suspected offer to the public of shares in AuA 24 AG without the required prospectus
The Federal Financial Supervisory Authority (BaFin) has sufficient grounds to suspect that TPK Vermögensverwaltungs KG is offering securities to the public in Germany in the form of shares in AuA 24 AG without the required prospectus. There are no indications that the conditions for exemption from the prospectus requirement are met.
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Asset ManagerWealth Manager
SFC withdraws restriction notices to brokers to facilitate return of misappropriated funds to affected parties
No description available.
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Broker DealerWealth ManagerBank
Crypto-assets: the Autorité des Marchés Financiers warns the public about the activities of several unauthorized entities
Warning Warning Savings protection Crypto-assets Crypto-assets: the Autorité des Marchés Financiers warns the public about the activities of several unauthorized entities
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Topics:
Crypto ExchangeFintech
Michael Pettifer Insurance Brokers Limited enters liquidation
On 21 November 2025, Michael Pettifer Insurance Brokers Limited, trading as MPI Brokers, entered creditors’ voluntary liquidation. Robert Cooksey of Bridgestones Limited has been appointed as liquidator. MPI Brokers was authorised and regulated by the FCA to sell and arrange insurance policies. The firm specialised in travel insurance.If you need to contact the liquidator, please contact Bridgestones using the details below:Email: mail@bridgestones.co.ukIn writing: MPI Brokers (In Liquidation...
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Insurance
The AMF is warning the public against several entities proposing to invest in miscellaneous assets without being authorized to do so
Warning Warning Savings protection Miscellaneous assets The AMF is warning the public against several entities proposing to invest in miscellaneous assets without being authorized to do so
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Asset ManagerWealth ManagerBroker Dealer
App “RBC NL”: BaFin warns against offers in WhatsApp groups and indicates identity fraud at the expense of Robeco
The German Financial Supervisory Authority (BaFin) warns against WhatsApp groups such as „S373 Robeco Kernmitgliedergruppe“, “M2 Robeco Value Investing Kreis“ and „999 Robeco Investment Strategiezentrum - Blockhandel“, which are allegedly operated by the Frankfurt a.M.-based company Robeco Deutschland, Zweigniederlassung der Robeco Institutional Asset Management B.V. („Robeco“). In the WhatsApp groups consumers are enticed to trade financial products via the app „RBC NL“. It is suspected that...
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BankWealth ManagerFintech
SEC Charges Three Purported Crypto Asset Trading Platforms and Four Investment Clubs with Scheme That Targeted Retail Investors on Social Media
The Securities and Exchange Commission today filed charges against purported crypto asset trading platforms Morocoin Tech Corp., Berge Blockchain Technology Co. Ltd., and Cirkor Inc. and investment clubs AI Wealth Inc., Lane Wealth Inc., AI Investment…
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Crypto ExchangeBroker DealerAsset Manager
Beware of unregulated holiday park investment schemes
A growing number of investment schemes are being promoted unlawfully, are high risk and may even be scams. We've identified a growing number of investment schemes in holiday lodges and holiday homes being promoted to UK consumers by companies that are not FCA authorised.They may be unregulated collective investment schemes, where several investors invest their money. The schemes are being promoted unlawfully, are high risk and may even be scams. We remind consumers that if you invest in an un...
AI Analysis
The FCA has issued a consumer warning about unregulated investment schemes in holiday lodges and holiday homes, which are often promoted unlawfully by unauthorised firms, posing high risks or outright scams. These schemes typically involve collective investments without FCA authorisation, breaching UK financial promotion and collective investment scheme (CIS) rules. This matters for compliance professionals as it signals heightened FCA scrutiny on unauthorised promotions, potential enforcement actions, and the need for firms to review marketing materials and client referrals to avoid facilitation risks.
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Wealth ManagerAsset ManagerAll Firms
BaFin warns consumers about products and services offered by Marketplace24-7 GmbH
The Federal Financial Supervisory Authority (BaFin) warns consumers about “bearer bonds” being offered for subscription by Marketplace24-7 GmbH on the website non-dom(.)group. BaFin suspects the company of conducting banking business without the required authorisation. The company is furthermore suspected of making an unauthorised public offer of securities without a prospectus. Under the German Securities Prospectus Act (Wertpapierprospektgesetz - WpPG), a prospectus is required for an offer...
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BankFintechAll Firms
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.
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Broker DealerBankFintech
ESMA publishes 2024 data on cross-border investment activity of firms
ESMA publishes 2024 data on cross-border investment activity of firms 22 December 2025 Investor protection The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, in cooperation with National Competent Authorities (NCAs), completed an analysis of the cross-border provision of investment services in 2024 . Data was gathered from investment firms across 30 jurisdictions in the EU/EEA. The main findings include: Around 370 financial firms provid...
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Asset ManagerBroker DealerWealth Manager
AMF 2025 Barometer: in search of autonomy, many French people turn to artificial intelligence when they want to invest
Long term investment Shares Artificial intelligence Retail investors Journalists AMF 2025 Barometer: in search of autonomy, many French people turn to artificial intelligence when they want to invest
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Asset ManagerWealth ManagerFintech
FCA stops Verus Financial Services Limited from carrying out regulated activities and tightens asset restrictions
The FCA has removed all regulatory permissions from Verus Financial Services Limited requiring it to stop conducting all regulated activities and imposed a more stringent assets restriction. The action follows concerns that the firm has repeatedly breached an existing asset restriction, which prevented it from selling, transferring or diminishing its assets without our approval. It also failed to comply with a Financial Ombudsman Service decision. We issued a First Supervisory Notice (PDF) on...
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Wealth ManagerBroker DealerAll Firms
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
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Asset ManagerBank
Harbor Valtrix– Central Bank of Ireland Issues Warning on Unauthorised Firm
Harbor Valtrix– Central Bank of Ireland Issues Warning on Unauthorised Firm
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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
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BankWealth ManagerFintech
Paragonix Edge: BaFin warns consumers about the website paragonixedge(.)app
The Federal Financial Supervisory Authority (BaFin) warns consumers about the website paragonixedge(.)app. BaFin suspects the unknown operators of offering consumers cryptoasset services without the required authorisation.
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Crypto ExchangeFintech
Greater flexibility to be given for setting future contactless limits
People could find it easier to pay using contactless, thanks to greater flexibility and the removal of red tape by the FCA. Banks and payment providers with strong fraud controls will be able to set their own limit for contactless payments, allowing them to better respond to changing consumer demands, inflation and new technology. They are also being encouraged to let customers set their own limit, or turn contactless off altogether, as many high street banks already do. People are using cont...
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BankPayment Provider
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.
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Crypto ExchangeFintech
Circular CSSF 08/356 (as amended by Circular CSSF 25/901) (Updated)
Rules applicable to undertakings for collective investment when they employ certain techniques and instruments relating to transferable securities and money market instruments
AI Analysis
Circular CSSF 08/356, as amended by Circular CSSF 25/901, establishes detailed rules for Luxembourg undertakings for collective investment (UCIs), including UCITS and alternative investment funds (AIFs), on the use of techniques and instruments relating to transferable securities and money market instruments, such as securities lending, repo transactions, and over-the-counter (OTC) derivatives. It matters because it ensures investor protection, risk management, and market stability by imposing strict eligibility, collateral, and operational requirements, aligning Luxembourg funds with EU standards under UCITS and AIFMD directives. Compliance is critical for Luxembourg-domiciled funds engaging in these activities to avoid regulatory sanctions and operational disruptions.
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Asset ManagerHedge FundWealth Manager
CFTC Obtains Judgment Against Wisconsin Man for Fraud, Misappropriation Scheme
No description available.
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BankBroker DealerCrypto Exchange
Identity fraud: BaFin warns against offers from Ambassador Management GmbH, Ambassador Financial Group Ltd. and Ambassador Global Systems LLC
The Federal Financial Supervisory Authority BaFin warns against offers, in particular offers to purchase shares and alleged pre-IPO shares, which are purportedly brokered by Ambassador. According to information available to BaFin, Ambassador Management GmbH, supposedly based in Frankfurt am Main, Ambassador Financial Group Ltd. and Ambassador Global Systems LLC are providing financial or investment services without the required authorisation. According to the current state of knowledge, there...
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BankWealth ManagerFintech
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.
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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.
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BankAsset ManagerWealth Manager
Exchange of letters between the Governor and the Chancellor regarding CPI Inflation - December 2025
Exchange of letters between the Governor and the Chancellor
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BankAsset ManagerWealth Manager
FCA expands insurance work in response to Which? super complaint
We're expanding the significant work we had planned to improve standards in the home and travel insurance markets, following Which?’s super complaint. Read our response to Which? (PDF)While 79% of consumers who make an insurance claim are satisfied with how it was handled, our work shows there's room for improvement - with 3 in 10 (31%) saying there isn’t enough information to judge the quality of different policies. Over the next year, we will do more to: Improve claims handling, by reviewin...
AI Analysis
The FCA is expanding its planned supervisory work in home and travel insurance markets in response to a Which? super complaint, focusing on improving claims handling, information provision, and overall standards. This matters for compliance professionals as it intensifies scrutiny under Consumer Duty, requiring firms to demonstrate better consumer outcomes amid ongoing simplification of insurance rules. It signals heightened FCA expectations for evidence-based improvements in customer satisfaction and transparency.
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Insurance
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....
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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.
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Crypto ExchangeFintech
Krypto Holdings Ltd: BaFin warns against offers on the website krypto-holdings(.)com
Krypto Holdings Ltd., allegedly based in Frankfurt am Main and Widnau, Switzerland, offers crypto asset services on its website krypto-holdings(.)com and via unsolicited telephone calls and emails. The necessary authorisation for this has not been granted.
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Crypto ExchangeFintech
SEC Office of the Investor Advocate Delivers to Congress Report on Activities for Fiscal Year 2025
The Securities and Exchange Commission’s Office of the Investor Advocate today delivered its Report on Activities for the Fiscal Year 2025 to Congress, highlighting the initiatives and work of the office during the fiscal year.The report includes:An…
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Asset ManagerBroker DealerCrypto Exchange
Issue 9 2025
No description available.
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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
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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
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BankFintech
Open banking: a year of progress
Open banking in the UK is growing rapidly. Latest industry figures show there are more than 16 million users now benefiting from the service. The number of open banking payments has soared by 53% year on year, reflecting a significant shift in how consumers and businesses manage their finances.See the API performance statsA key driver of this transformation is the rise of variable recurring payments (VRPs), which now account for 16% of all open banking transactions. VRPs allow consumers and b...
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BankFintechPayment Provider
FCA seeks feedback on proposals for UK crypto rules
We are asking for views on new proposals as the next step in shaping the UK’s crypto rules. These proposals continue our progress towards an open, sustainable and competitive crypto market that people can trust. We want a market where innovation can thrive, but where people understand the risks. Regulation cannot – and should not – remove all risk. Instead, it should make sure anyone investing in crypto does so with their eyes open.Our proposals apply a similar approach to crypto as we do in ...
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Crypto ExchangeFintech
FINMA launches consultation on partially revised Circular 2016/7 “Video and online identification”
On 16 December 2025, the Swiss Financial Market Supervisory Authority FINMA launched the consultation on the partially revised Circular 2016/7 “Video and online identification”. The consultation will go on until 27 February 2026.
Deadline: 27 February 2026
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BankWealth ManagerFintech
Using our full toolkit to help consumers
With over 20 years’ experience and responsibility for supervising 5,000 firms, I know that when an issue arises, the first question is often: 'What action will you take?'That’s a fair question – enforcement is one of the most visible ways we act. It often grabs headlines with big fines and publicity.But our role as supervisors is to exercise judgement - selecting the right tool to achieve the best and fastest outcomes for consumers and markets.While enforcement is a vital part of the kit, it’...
AI Analysis
This FCA blog post outlines the regulator's supervisory "toolkit" for addressing consumer harm, emphasizing proactive supervision over enforcement to achieve faster outcomes like redress and market-wide improvements. It matters because it signals FCA's preference for swift, non-enforcement interventions (e.g., skilled person reviews, voluntary requirements), urging firms to respond promptly to supervisory feedback to avoid escalation. Compliance teams should view this as a reminder to prioritize Consumer Duty compliance, as supervision tools are increasingly tied to it for rapid harm prevention.
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InsuranceAll 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...
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BankFintech
Public statement relating to Enforcement Action between Central Bank of Ireland and Philip Smith
Mr Philip Smith, former Chief Executive Officer (CEO) and Executive Director of RSA Insurance Ireland DAC disqualified for 13 years by the Central Bank of Ireland for his admitted participation in a breach of financial services law by RSAII On 1 December 2025 the Central Bank of Ireland reprimanded Mr Smith and disqualified him for 13 years from being a person concerned in the management of a regulated financial service provider for his participation in a breach by RSA Insurance Ireland DAC (...
AI Analysis
The Central Bank of Ireland (CBI) reprimanded and disqualified former RSA Insurance Ireland DAC (RSAII) CEO Philip Smith for 13 years from management roles in regulated financial service providers due to his admitted role in under-reserving large loss claims, breaching Article 13(1)(a) of the European Communities (Non-Life Insurance) Framework Regulations 1994 (S.I. No. 359/1994). This enforcement action underscores CBI's commitment to individual accountability for senior executives who circumvent controls, risking policyholder protection and firm solvency, as evidenced by RSAII's subsequent need for a major capital injection. It matters for compliance professionals as it demonstrates CBI's use of prolonged disqualifications and inquiries under the Administrative Sanctions Procedure (ASP) to deter governance failures in insurance firms.
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InsuranceAll Firms
FCA confirms final guidance to tackle serious non-financial misconduct in financial services
We're providing guidance to support firms to tackle bullying, harassment and violence in financial services, after they asked for additional support. In July, we changed our rules – setting clearer standards for how financial services firms should address non-financial misconduct.This more closely aligned the rules for banks and non-banks. We wanted to give firms the confidence to act against serious misconduct, drive consistency and make it clearer when non-financial misconduct is a breach o...
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BankWealth ManagerAll Firms
Notice of Consultation Paper Release: CP 169
11 DEC 2025, 06:08 PM Notice of Consultation Paper Release: CP 169
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BankWealth ManagerAsset Manager
Notice of Amendments to Legislation: December 2025
11 DEC 2025, 05:55 PM Notice of Amendments to Legislation: December 2025
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BankWealth ManagerAsset Manager
Issue 8 2025
No description available.
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Asset ManagerBankWealth Manager
The AMF adapts its policy on complex financial products in response to the rise of crypto-assets
MiCA Crypto-assets Financial products Marketing Journalists Investment management companies Listed companies and issuers The AMF adapts its policy on complex financial products in response to the rise of crypto-assets
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Crypto ExchangeAsset ManagerFintech
SEC Charges Canadian Citizen With Fraud Schemes That Targeted Retail Investors on Discord
The Securities and Exchange Commission today charged Canadian citizen Nathan Gauvin and three entities he controls—Blackridge, LLC, Gray Digital Capital Management USA, LLC, and Gray Digital Technologies, LLC—with orchestrating two fraudulent securities…
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Broker DealerCrypto Exchange
CFTC Obtains Over $2M Restitution for Victims of Precious Metals, Foreign Currency Pool Fraud
No description available.
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Broker DealerAsset ManagerBank
Obelisk Wealth - Central Bank of Ireland Issues Warning on Unauthorised Firm
Obelisk Wealth - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
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BankWealth Manager
SEC Announces Departure of OIEA Director Lori J. Schock
The Securities and Exchange Commission today announced that Lori J. Schock, who has served as the Director of the Office of Investor Education and Assistance (OIEA) since 2009, will retire from the agency at the end of December.“I have known Lori for…
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Asset ManagerBroker DealerWealth Manager
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
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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BankWealth ManagerFintech
LiteLoans4U - Central Bank of Ireland Issues Warning on Unauthorised Firm
LiteLoans4U - Central Bank of Ireland Issues Warning on Unauthorised Firm
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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
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
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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BankAsset ManagerWealth Manager
Supply-chain attack using NPM packages
Press release 25/18
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BankFintechAll Firms
Issue 7 2025
No description available.
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Asset ManagerBankWealth Manager
Cristina Martin Firvida to Conclude Tenure as Investor Advocate
The Securities and Exchange Commission today announced that Cristina Martin Firvida, who has served as the Director of the Office of the Investor Advocate since January 2023, will conclude her tenure with the agency at the end of January 2026. As…
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Asset ManagerWealth ManagerBroker Dealer
SEC 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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BankBroker DealerCrypto Exchange
CFTC, 30 State Regulators Obtain Over $51 Million in Sanctions, Restitution for Victims in California Precious Metals Fraud
The CFTC today announced the U.S. District Court for the Central District of California entered a final judgement against Safeguard Metals LLC and Jeffrey Ikahn (aka Jeffrey Santulan and Jeffrey Hill) ordering them to pay $25.6 million in restitution to victims and a $25.6 million civil monetary penalty for operating a nationwide, precious metals fraud. Released: 11/20/2025
AI Analysis
The CFTC, alongside 30 state regulators, secured a final judgment on November 20, 2025, against Safeguard Metals LLC and Jeffrey Ikahn, imposing $25.6 million in restitution to victims and a $25.6 million civil monetary penalty for a nationwide precious metals fraud scheme from October 2017 to July 2021 that defrauded over 450 elderly investors of more than $52 million. This enforcement action, resolving a February 2022 complaint, highlights coordinated federal-state-SEC efforts to combat commodity fraud and underscores personal liability for controlling persons under CEA Section 6(c)(1) and Regulation 180.1(a). It matters for compliance as it reinforces aggressive penalties for misrepresentations, overcharges, and targeting vulnerable populations, with offsets across parallel SEC proceedings.
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Broker DealerAsset ManagerAll Firms
Unpacking the puzzle of income growth and weak consumption in the UK and other mysteries - slides by Swati Dhingra
Slides by Swati Dhingra
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BankWealth ManagerFintech
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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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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Bank
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
The AMF Enforcement Committee fines a financial investment advisor and its two directors a total of €2.5 million
Sanctions & settlements Anti-money Laundering Governance Investment advice Other professionals Journalists Investment services providers The AMF Enforcement Committee fines a financial investment advisor and its two directors a total of €2.5...
AI Analysis
The AMF Enforcement Committee fined financial investment advisor Carat GP €300,000 and its directors Jimmy Guinet (€200,000) and Sébastien Renaud (€2 million) a total of €2.5 million on 5 November 2025, imposing permanent bans on Carat GP and Renaud, and a 10-year ban on Guinet, for breaches including inadequate documentation, failure to act honestly and professionally in clients' interests, AML failures, lack of conflict detection systems, and insufficient cooperation with inspectors. This decision marks the first time the Committee held directors personally liable for breaches, signaling heightened personal accountability for senior managers in French investment firms. It matters as it reinforces AMF's focus on governance, AML, and client protection, with severe sanctions serving as a deterrent amid rising enforcement trends.
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Wealth ManagerAsset ManagerAll 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…
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BankWealth ManagerFintech
Insurance intermediary certificates unlawfully obtained due to manipulation
An investigation by the Insurance Industry Vocational Training Association (VBV) has revealed that VBV intermediary certificates were wrongly issued in around 100 cases as a result of manipulation. The VBV is not supervised by FINMA. The association acts on behalf of the insurance and intermediary industry and will restore compliance with the law for these certificates. It has also filed a criminal complaint. Untied intermediaries are subject to direct supervision by FINMA. If there is eviden...
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Insurance
The Autorité des Marchés Financiers is running a new financial education campaign aimed at young investors
Long term investment Savings protection Investing wisely Retail investors Journalists The Autorité des Marchés Financiers is running a new financial education campaign aimed at young investors
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Asset ManagerWealth ManagerFintech
Individual investors remain active on the markets in the 3rd quarter of 2025
Shares ETF Fixed income Individual investors remain active on the markets in the 3rd quarter of 2025
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Asset ManagerBroker DealerWealth Manager
The AMF warns the public against fraudulent communications offering investment services impersonating Financière du Nogentais
Warning Warning Savings protection The AMF warns the public against fraudulent communications offering investment services impersonating Financière du Nogentais
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Asset ManagerWealth Manager
Publication of the annual ESMA Report on Sanctions and Measures for 2024: AMF imposes the highest amounts in Europe
Europe & international Sanctions & settlements Publication of the annual ESMA Report on Sanctions and Measures for 2024: AMF imposes the highest amounts in Europe
AI Analysis
The ESMA Annual Report on Sanctions and Measures for 2024, published on 16 October 2025, aggregates enforcement data from EEA national competent authorities (NCAs), highlighting that the French AMF imposed the highest total sanctions at €29.4 million—nearly a third of the EEA's €100 million aggregate—primarily under MAR and MiFID II. This matters for compliance professionals as it signals intensified enforcement focus on market abuse and investor protection across Europe, with France leading in both fine amounts and settlement usage, underscoring a trend toward higher penalties and agile resolution mechanisms.
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Asset ManagerBroker DealerAll Firms
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
Issue 6 2025
No description available.
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Asset ManagerBankWealth Manager
The DFSA publishes summary of Consultation Paper 168 – Enhancements to the…
21 OCT 2025, 09:33 AM The DFSA publishes summary of Consultation Paper 168 – Enhancements to the…
Sectors:
Topics:
Crypto ExchangeFintech
The AMF has required the suspension of MEXEDIA shares and calls on investors to be vigilant
Savings protection Warning Other professionals Executive & other private individuals Retail investors Professional investors Journalists Investment management companies Listed companies and issuers The AMF has...
AI Analysis
The AMF enforced a trading suspension on MEXEDIA S.p.A. shares on Euronext from 11 September 2025 to 30 September 2025 due to indicators of **pump and dump** market abuse, urging investors to exercise extreme caution against unauthorized high-upside recommendations. This enforcement action underscores the AMF's proactive market surveillance and highlights ongoing risks of manipulative practices in listed equities, serving as a reminder for firms to bolster internal controls against such schemes. Compliance teams should note this as a signal of heightened regulatory scrutiny on price manipulation, potentially informing future enforcement trends.
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Broker DealerAll Firms
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
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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Topics:
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
Crypto-assets: the Autorité des Marchés Financiers warns the public about the activities of several unauthorized entities
Warning Warning Crypto-assets Savings protection Crypto-assets: the Autorité des Marchés Financiers warns the public about the activities of several unauthorized entities
Sectors:
Topics:
Crypto ExchangeFintech
Explaining the consumption gap - speech by Catherine L Mann
Given at the Resolution Foundation
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BankWealth ManagerAsset 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
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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Broker DealerWealth ManagerAll Firms
ID 11/25 Amendments To MAS Notice 321 On Direct Purchase Insurance Products
Requirements for life insurers to manufacture and offer direct purchase insurance (DPI).
AI Analysis
ID 11/25 announces amendments to MAS Notice 321, which mandates requirements for direct life insurers to manufacture and offer standardized Direct Purchase Insurance (DPI) products, such as term life and whole life policies with optional critical illness riders. These updates, effective 1 October 2025, refine product approval and notification processes to streamline launches while maintaining consumer protection and regulatory oversight for no-advice direct sales channels. This matters for compliance as it ensures insurers provide affordable, comparable direct options, reducing reliance on intermediaries amid Singapore's push for direct distribution under initiatives like FAIR.
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Insurance
SEC Seeks Public Comment to Improve Rules on Residential Mortgage-Backed Securities and Asset-Backed Securities
The Securities and Exchange Commission today published a concept release soliciting public comment on how to improve current SEC rules governing residential mortgage-backed securities (RMBS) and certain aspects of asset-backed securities (ABS) generally…
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BankBroker DealerAll Firms
CFTC Obtains Order for Over $5.5M Restitution for Victims in Commodity Pool Fraud by Tennessee Couple
No description available.
Sectors:
Topics:
Asset ManagerBroker DealerBank
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
Sustainable finance: retail investors have higher expectations of their financial advisors
Long term investment Sustainable Finance Retail investors Journalists Investment management companies Listed companies and issuers Sustainable finance: retail investors have higher expectations of their financial advisors
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Asset ManagerWealth ManagerBank
FINMA and the UK supervisory authorities strengthen cooperation in financial services
The Swiss Financial Market Supervisory Authority FINMA and the UK Financial Conduct Authority FCA and Prudential Regulation Authority PRA today signed a memorandum of understanding. The memorandum sets out details of the co-operation under the Berne Financial Services Agreement and opens up new cross-border opportunities in insurance and investment services.
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BankAsset ManagerInsurance
The AMF warns the public about group chats providing tips on shares
Warning Savings protection Warning The AMF warns the public about group chats providing tips on shares
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
CFTC Obtains $1.2M for Fraud Victims, $2.8M Overall From Florida Commodity Firm, Owner
No description available.
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Topics:
Broker DealerCrypto ExchangeAll Firms
The AMF Enforcement Committee fines an asset management company for breaches of its professional obligations
Sanctions & settlements professional obligations Journalists Investment management companies The AMF Enforcement Committee fines an asset management company for breaches of its professional obligations
AI Analysis
The AMF Enforcement Committee fined an asset management company €400,000 on 9 September 2025 for multiple breaches of professional obligations, including deficient marketing disclosures, inadequate conflict of interest systems, non-operational valuation procedures, failure to oversee external experts, and deficient AML/CFT systems in managing AIFs and club deals. This enforcement action underscores the AMF's focus on operational robustness and investor protection in asset management, serving as a critical reminder for firms to ensure procedures are not only documented but fully operational and effective. Compliance teams should review this to benchmark internal controls, as it highlights personal accountability for senior managers and recurring AMF priorities in recent sanctions.
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Asset 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
CFTC Obtains Court Order to Return $750,000 to Voyager Victims in Fraud Action
No description available.
Sectors:
Topics:
Crypto ExchangeFintech
The French, Austrian and Italian markets authorities call for a stronger European framework for crypto-asset markets
MiCA Other professionals Fintech Journalists Listed companies and issuers The French, Austrian and Italian markets authorities call for a stronger European framework for crypto-asset markets
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Crypto ExchangeFintechBank
Issue 5 2025
No description available.
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Topics:
Asset ManagerBankWealth Manager
Withdrawal of KOREGRAF's authorisation as a crowdfunding service provider
Savings protection Withdrawal of KOREGRAF's authorisation as a crowdfunding service provider
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
Building trust and supporting innovation in the multi-moneyverse − speech by Sarah Breeden
Given at the Bank of England and Warwick Business School Innovation in Money and Payments Conference
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Topics:
BankFintechCrypto Exchange
Rates Finder– Central Bank of Ireland Issues Warning on Unauthorised Firm
Rates Finder– Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankWealth Manager
Quilter Cheviot Europe Limited (CLONE) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Quilter Cheviot Europe Limited (CLONE) - Central Bank of Ireland Issues Warning on Unauthorised Fir
Sectors:
Topics:
Wealth Manager
Barclays Wealth (Clone) – Central Bank of Ireland Issues Warning on Unauthorised Firm
Barclays Wealth (Clone) – Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankWealth Manager
Magnum Options - Central Bank of Ireland Issues Warning on Unauthorised Firm
Magnum Options - Central Bank of Ireland Issues Warning on Unauthorised Firm
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
Uniq Loan Financial - Central Bank of Ireland Issues Warning on Unauthorised Firm
Uniq Loan Financial - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
FintechAll Firms
CFD Trades 24 – Central Bank of Ireland Issues Warning on Unauthorised Firm
CFD Trades 24 – Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Broker DealerWealth ManagerFintech
BW Financial Services (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
BW Financial Services (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankWealth ManagerFintech
Coinhive - Central Bank of Ireland Issues Warning on Unauthorised Firm
Coinhive - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Crypto Exchange
Caventer Finance - Central Bank of Ireland Issues Warning on Unauthorised Firm
Caventer Finance - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
FintechAll Firms
Clearbnk (Clone) – Central Bank of Ireland Issues Warning on Unauthorised Firm
Clearbnk (Clone) – Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankFintech
Cryptocom (Clone) – Central Bank of Ireland Issues Warning on Unauthorised Firm
Cryptocom (Clone) – Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Crypto ExchangeFintech
Bemo Investment Firm Ltd (Clone)– Central Bank of Ireland Issues Warning on Unauthorised Firm
Bemo Investment Firm Ltd (Clone)– Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Asset ManagerWealth Manager
Monument Financial Group - Central Bank of Ireland Issues Warning on Unauthorised Firm
Warning Unauthorised Investment Firm / Unauthorised Investment Business Firm Unauthorised Firm Name Monument Financial Group Website https://monumentfg.com/ Email addresses used admin@monumentfg.com [name].[surname]@monumentfg.com Phone number used +353 81 800 5284 Authorisation in Ireland This firm is not authorised to provide investment services in Ireland. Notes: Any person wishing to contact the Central Bank with information regarding such firms / persons may telephone (01) 224 5800 or re...
AI Analysis
The Central Bank of Ireland (CBI) has issued a warning notice under section 53 of the Central Bank (Supervision and Enforcement) Act 2013, identifying **Monument Financial Group** as an unauthorised firm providing investment services in Ireland without authorisation. This matters for compliance professionals because it underscores the CBI's proactive enforcement against unauthorised activity, heightens scam awareness, and signals risks of consumer harm, regulatory referrals to An Garda Síochána, and potential enforcement against facilitating parties.[https://www.centralbank.ie/news/article/monument-financial-group---central-bank-of-ireland-issues-warning-on-unauthorised-firm]
Sectors:
Topics:
Wealth ManagerAll Firms
Clermont Meridian Trading - Central Bank of Ireland Issues Warning on Unauthorised Firm
Clermont Meridian Trading - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Broker DealerWealth ManagerFintech
Northern Trust Fund Managers (Ireland) Ltd (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Northern Trust Fund Managers (Ireland) Ltd (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankWealth ManagerAsset Manager
TD Global Company (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
TD Global Company (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Wealth ManagerFintech
Ackerman & Foster LLP - Central Bank of Ireland Issues Warning on Unauthorised Firm
Ackerman & Foster LLP - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Wealth ManagerBroker Dealer
Investment Peak - Central Bank of Ireland Issues Warning on Unauthorised Firm
Investment Peak - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Asset ManagerWealth Manager
GasTrade - Central Bank of Ireland Issues Warning on Unauthorised Firm
GasTrade - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
FintechPayment ProviderCrypto Exchange
Beta-Tech - Central Bank of Ireland Issues Warning on Unauthorised Firm
Beta-Tech - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
FintechCrypto Exchange
KPMG Ireland (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
KPMG Ireland (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankWealth Manager
VintageFXsignals - Central Bank of Ireland Issues Warning on Unauthorised Firm
VintageFXsignals - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Wealth ManagerFintech
Pass Investment Managers (Clone) - Central Bank of Ireland Issues Warning on Unregistered Firm
Pass Investment Managers (Clone) - Central Bank of Ireland Issues Warning on Unregistered Firm
Sectors:
Topics:
Crypto ExchangeFintech
Pecan Capital MG - Central Bank of Ireland Issues Warning on Unauthorised Firm
Pecan Capital MG - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Asset ManagerWealth Manager
Lending Loans - Central Bank of Ireland Issues Warning on Unauthorised Firm
Lending Loans - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankFintech
The AMF is warning the public against several entities proposing to invest in miscellaneous assets without being authorized to do so
Warning Warning Miscellaneous assets Savings protection The AMF is warning the public against several entities proposing to invest in miscellaneous assets without being authorized to do so
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in the unregulated foreign exchange market (Forex) and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Warning Forex and binary options The AMF and the ACPR warn the public against the activities of several entities offering in France investments in the unregulated foreign exchange market (Forex) and in crypto-assets derivatives without being authorized to do so
Sectors:
Topics:
BankFintechCrypto Exchange
Crypto-assets: the Autorité des Marchés Financiers warns the public about the activities of several unauthorized entities
Warning Savings protection Warning Crypto-assets Crypto-assets: the Autorité des Marchés Financiers warns the public about the activities of several unauthorized entities
Sectors:
Topics:
Crypto Exchange
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.
Sectors:
Topics:
Broker DealerBank
Retail investor activity in equities at its highest since 2020
Shares ETF Retail investor activity in equities at its highest since 2020
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
The AMF reminds distributors of their requirements regarding marketing of investment fund
Asset management Marketing PRIIPs The AMF reminds distributors of their requirements regarding marketing of investment fund
Sectors:
Topics:
Asset ManagerWealth Manager
The ACPR and AMF publish the summary of responses to the consultation conducted by the Working Group on Smart Contract Certification
Crypto-assets Innovation The ACPR and AMF publish the summary of responses to the consultation conducted by the Working Group on Smart Contract Certification
AI Analysis
The ACPR and AMF have published a summary of responses to a public consultation on a 2024 Working Group report exploring smart contract certification in DeFi, addressing technical standards, audit practices, and potential regulatory frameworks. This matters for compliance as it signals preparatory steps toward possible EU-level DeFi regulation, emphasizing risk reduction and trust-building without immediate mandates, influencing future operational and audit strategies for crypto firms.
Sectors:
Topics:
Crypto ExchangeFintechAll Firms
French retail investor stock market activity: the AMF analyses changes in behaviour between women and men
Long term investment Equity Retail investors Journalists Investment services providers Investment management companies Listed companies and issuers French retail investor stock market activity: the AMF analyses changes in behaviour between...
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
The meaning of reserve currency − remarks by Andrew Bailey
Given at the Andrew Crockett Memorial Lecture
Sectors:
Topics:
BankWealth ManagerAsset Manager
Building tomorrow’s markets: the digitalisation of finance − speech by Sasha Mills
Given at City Week 2025
Sectors:
Topics:
BankFintechAsset Manager
The DFSA publishes FAQ on revised Client Assets regime
24 JUN 2025, 01:45 PM The DFSA publishes FAQ on revised Client Assets regime
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
A feature not a bug − speech by Megan Greene
Speech given at the National Institute of Economic and Social Research
Sectors:
Topics:
BankWealth ManagerFintech
Crowdfunding: the AMF urges investors to exercise extreme caution due to the risks of project owner default or crowdfunding platform failure
Asset management Collective investments Savings protection Crowdfunding: the AMF urges investors to exercise extreme caution due to the risks of project owner default or crowdfunding platform failure
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
The AMF publishes the findings of its inspections on the verification and assessment of employee knowledge within asset management companies
Supervision Professional certification Asset management Journalists Investment management companies The AMF publishes the findings of its inspections on the verification and assessment of employee knowledge within asset management companies
Sectors:
Topics:
Asset ManagerWealth Manager
The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment has published its 2024 Annual Report
Annual report Savings protection Marketing Retail investors Journalists The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment has published its 2024 Annual Report
Sectors:
Topics:
BankAsset ManagerInsurance
Crypto-assets: the AMF clarifies its policy on DASPs authorised under the PACTE Law to take account of the transitional period and facilitate the transition to MiCA
MiCA Crypto-assets Crypto-assets: the AMF clarifies its policy on DASPs authorised under the PACTE Law to take account of the transitional period and facilitate the transition to MiCA
Sectors:
Topics:
Crypto ExchangeFintech
The stock market investor journey: the AMF analyses the mobile applications of 14 institutions
Marketing Long term investment Other professionals Retail investors Journalists The stock market investor journey: the AMF analyses the mobile applications of 14 institutions
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
Picking what matters – speech by Nathanaël Benjamin
Given at the Global Investment Management summit
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Retail investor activity up again
Shares ETF Retail investor activity up again
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
Issue 4 2025
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
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
Crypto-assets: the Autorité des Marchés Financiers warns the public about the activities of several unauthorized entities
Warning Savings protection Warning Crypto-assets Crypto-assets: the Autorité des Marchés Financiers warns the public about the activities of several unauthorized entities
Sectors:
Topics:
Crypto ExchangeFintech
Fees: the AMF updates its doctrine following the announcement of the abolition of transaction fees in situations of discretionary management
Asset management Individual investment mandate Fees: the AMF updates its doctrine following the announcement of the abolition of transaction fees in situations of discretionary management
Sectors:
Topics:
Asset ManagerWealth Manager
Issue 3 2025
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF reminds financial investment advisors of their professional obligations when using financial product listing platforms
Marketing Investment advice The AMF reminds financial investment advisors of their professional obligations when using financial product listing platforms
Sectors:
Topics:
Asset ManagerWealth Manager
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Savings protection 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
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
The AMF introduces a fast-track approval procedure for “defence” investment funds
Asset management Journalists Investment management companies The AMF introduces a fast-track approval procedure for “defence” investment funds
Sectors:
Topics:
Asset ManagerWealth Manager
Employee savings: a high level of satisfaction but a persistent need for support
Employee savings scheme Employee savings: a high level of satisfaction but a persistent need for support
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF calls on the European Commission for an ambitious strategy on the Savings and Investments Union project
Markets Europe & international Other professionals Journalists Investment services providers The AMF calls on the European Commission for an ambitious strategy on the Savings and Investments Union project
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Issue 1 2025
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF publishes the findings of its thematic inspections of asset management companies’ monitoring of fund investment ratios, compensation and claims
Supervision Asset management Collective investments UCIT Other professionals Journalists Investment services providers Investment management companies The AMF publishes the findings of its thematic inspections of asset management...
Sectors:
Topics:
Asset ManagerWealth Manager
DEROGATION TAKEOVER LAW: Iris Financial S.A. (renamed Younited Financial S.A.) - ISIN: KYG7552D1354
Press release 25/03
Sectors:
Topics:
BankWealth Manager
The Autorité des Marchés Financiers (AMF) has published an analysis of the performance of the French real estate crowdfunding market, based on data collected from the 10 largest platforms in terms of inflows.
Asset management The Autorité des Marchés Financiers (AMF) has published an analysis of the performance of the French real estate crowdfunding market, based on data collected from the 10 largest platforms in terms of inflows.
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
The ACPR and the AMF publish the findings from the Working Group on Smart Contract Certification, and launch a Public Consultation
Crypto-assets Innovation The ACPR and the AMF publish the findings from the Working Group on Smart Contract Certification, and launch a Public Consultation
AI Analysis
The ACPR and AMF have published findings from their 2024 Working Group on Smart Contract Certification in DeFi, launching a public consultation on February 3, 2025, to explore certification frameworks for smart contracts, focusing on standards, audits, and regulatory options. This matters as it signals proactive French regulatory preparation for potential EU-level DeFi rules under MiCA, aiming to enhance security, governance, and compliance without immediate mandates, while industry feedback favors voluntary schemes.
Sectors:
Topics:
Crypto ExchangeFintechBank
ETFs: strong growth for retail investors in 2024
Shares ETF ETFs: strong growth for retail investors in 2024
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
Publication of the first study on the performance of unlisted financial asset funds aimed at non-professional clients
Asset management Marketing Publication of the first study on the performance of unlisted financial asset funds aimed at non-professional clients
Sectors:
Topics:
Asset ManagerWealth Manager
AMF 2024 Barometer: French equity investment intentions remain high
Long term investment Shares Collective investments AMF 2024 Barometer: French equity investment intentions remain high
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF 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
Cryptoassets: the Autorité des Marchés Financiers warns the public about the activities of several unauthorized entities
Warning Savings protection Crypto-assets Warning Cryptoassets: the Autorité des Marchés Financiers warns the public about the activities of several unauthorized entities
Sectors:
Topics:
Crypto ExchangeFintech
The AMF awards its 2024 prize for young researchers in economics to Maxime Bonelli
Asset management Marketing Innovation Other professionals Professional investors Journalists Investment management companies Listed companies and issuers The AMF awards its 2024 prize for young researchers in economics to Maxime...
Sectors:
Topics:
Asset Manager
The authorities are taking action to combat the massive phenomenon of financial scams catching out an increasing number of individuals
Savings protection Financial Scams Crypto-assets Retail investors Journalists The authorities are taking action to combat the massive phenomenon of financial scams catching out an increasing number of individuals
Sectors:
Topics:
BankFintechCrypto Exchange
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...
Sectors:
Topics:
BankAsset ManagerWealth Manager
Issue 13 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
Issue 12 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF releases an updated stocktake of French funds equipped with liquidity management tools
Asset management Collective investments The AMF releases an updated stocktake of French funds equipped with liquidity management tools
Sectors:
Topics:
Asset ManagerWealth Manager
Issue 11 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
Stock market tumbles: still a rare phenomenon on the Paris market
Short selling Equity Stock market tumbles: still a rare phenomenon on the Paris market
Sectors:
Topics:
Broker DealerAsset ManagerWealth Manager
ETFs win over newcomers as they invest into the stock market
ETF Equity MIFID Executive & other private individuals Professional investors Journalists Listed companies and issuers ETFs win over newcomers as they invest into the stock market
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
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.
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Issue 10 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
The Autorité des Marchés Financiers (AMF) has published a recommendation governing the distribution of actively managed certificates (AMCs) to retail clients
Asset management Marketing The Autorité des Marchés Financiers (AMF) has published a recommendation governing the distribution of actively managed certificates (AMCs) to retail clients
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Warning Forex and binary options Crypto-assets The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Sectors:
Topics:
BankFintechCrypto Exchange
Issue 9 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
In Q3 2024, for the first time, new ETF investors outnumbered new equity investors
Shares ETF Investment services In Q3 2024, for the first time, new ETF investors outnumbered new equity investors
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
The AMF 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
Cryptoassets: the Autorité des Marchés Financiers warns the public about the activities of several unauthorized entities
Warning Savings protection Warning Crypto-assets Cryptoassets: the Autorité des Marchés Financiers warns the public about the activities of several unauthorized entities
Sectors:
Topics:
Crypto ExchangeFintech
The AMF analyses new investment practices: listed shares, ETFs and crowdfunding
Shares ETF The AMF analyses new investment practices: listed shares, ETFs and crowdfunding
Sectors:
Topics:
Asset ManagerBroker DealerFintech
The Autorité des Marchés Financiers (AMF) launches a major financial education campaign aimed at young investors
Long term investment Savings protection Retail investors Journalists The Autorité des Marchés Financiers (AMF) launches a major financial education campaign aimed at young investors
Sectors:
Topics:
Asset ManagerWealth ManagerAll Firms
Issue 8 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF Enforcement Committee fines Sogenial Immobilier and its chairman a total of €180,000
Sanctions & settlements professional obligations Journalists Investment management companies The AMF Enforcement Committee fines Sogenial Immobilier and its chairman a total of €180,000
AI Analysis
The AMF Enforcement Committee issued a €180,000 combined fine against Sogenial Immobilier (€150,000) and its chairman Jean-Marie Souclier (€30,000) on September 12, 2024, for systematic breaches of professional obligations spanning investment selection, regulatory disclosure, conflict of interest management, and anti-money laundering compliance. This enforcement action demonstrates the AMF's heightened scrutiny of asset managers' operational controls and substantive compliance with fund governance requirements, particularly regarding real estate investment companies (SCPIs).
Sectors:
Topics:
Asset 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
Sectors:
Topics:
Asset ManagerBroker DealerWealth 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
Sectors:
Topics:
Crypto ExchangeFintechAll Firms
AMF Enforcement Committee fines an asset management company and its directors for breaches of their professional obligations
Sanctions & settlements professional obligations Journalists Investment management companies AMF Enforcement Committee fines an asset management company and its directors for breaches of their professional obligations
AI Analysis
The AMF Enforcement Committee fined asset management company M Capital Partners €200,000 and its directors Rudy Secco (€70,000) and Stéphanie Minissier (€35,000) on 31 December 2025 for breaches of professional obligations spanning August 2019 to December 2023, including unauthorized investment services, deficient investment processes, conflicts of interest failures, and inadequate AML/CFT systems. This decision underscores AMF's focus on operational robustness and personal accountability in asset management, serving as a regulatory warning for firms to strengthen internal controls or face escalating sanctions.
Sectors:
Topics:
Asset Manager
The activity of retail investors active in equities and ETFs increased further in Q2 2024
Shares ETF Collective investments Long term investment The activity of retail investors active in equities and ETFs increased further in Q2 2024
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
The AMF publishes the summary of responses received to its Discussion Paper on Decentralised Finance
Crypto-assets Innovation The AMF publishes the summary of responses received to its Discussion Paper on Decentralised Finance
AI Analysis
The Autorité des Marchés Financiers (AMF) has published a summary of stakeholder responses to its June 2023 Discussion Paper on Decentralised Finance (DeFi), analyzing regulatory challenges posed by automated, decentralized crypto-asset activities. This matters for compliance professionals as it signals the AMF's ongoing commitment to developing a balanced DeFi framework amid MiCA's implementation, potentially shaping future supervision of decentralized protocols while emphasizing investor protection and innovation.
Sectors:
Topics:
Crypto ExchangeFintechAsset Manager
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Forex and binary options Warning The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
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
AMF Enforcement Committee fines a financial investment advisor and its director for breaches of their professional obligations
Sanctions & settlements professional obligations Other professionals Journalists AMF Enforcement Committee fines a financial investment advisor and its director for breaches of their professional obligations
AI Analysis
The AMF Enforcement Committee has issued multiple enforcement decisions against financial investment advisors and their management for breaches of professional obligations, with the most recent and significant case involving Carat GP and its directors receiving combined fines of €2.5 million and permanent/extended bans from operating as financial investment advisors. These cases establish critical precedent regarding advisor duties around client disclosure, product authorization, conflict of interest management, and honest/fair conduct—requirements that apply across the entire financial investment advisory sector.
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
Issue 6 2024
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment has published its 2023 Annual Report
Annual report Savings protection Marketing Retail investors Journalists The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment has published its 2023 Annual Report
Sectors:
Topics:
BankAsset ManagerInsurance
Mystery shopping visits to bank branches: the collection of client sustainability preferences remains fragmented
Sustainable Finance Investment advice Long term investment Retail investors Journalists Mystery shopping visits to bank branches: the collection of client sustainability preferences remains fragmented
Sectors:
Topics:
BankWealth ManagerAsset Manager
Money laundering and terrorist financing: the AMF publishes its sectoral risk analysis
Asset management Anti-money Laundering Money laundering and terrorist financing: the AMF publishes its sectoral risk analysis
Sectors:
Topics:
Asset ManagerWealth Manager
Cryptoassets: the Autorité des Marchés Financiers warns the public about the activities of several fraudulent market participants and publishes a new ‘blacklist’
Warning Savings protection Crypto-assets Warning Cryptoassets: the Autorité des Marchés Financiers warns the public about the activities of several fraudulent market participants and publishes a new ‘blacklist’
Sectors:
Topics:
Crypto ExchangeFintech
AMF Ombudsman publishes her 2023 Annual Report
Mediation Annual report Retail investors Professional investors Journalists AMF Ombudsman publishes her 2023 Annual Report
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Active ETFs: the AMF publishes a recommendation on the transparency of portfolios
Asset management ETF Active ETFs: the AMF publishes a recommendation on the transparency of portfolios
Sectors:
Topics:
Asset ManagerBroker DealerCrypto Exchange
The AMF publishes a research paper on French funds’ costs
Financial products The AMF publishes a research paper on French funds’ costs
Sectors:
Topics:
Asset ManagerWealth Manager
France Mayer appointed Retail Investor Relations and Protection Director at the Autorité des Marchés Financiers
Appointment AMF activity Retail investors Journalists France Mayer appointed Retail Investor Relations and Protection Director at the Autorité des Marchés Financiers
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF reminds the public that the cryptoasset trading platform BYBIT is blacklisted
Warning Savings protection Warning Crypto-assets The AMF reminds the public that the cryptoasset trading platform BYBIT is blacklisted
Sectors:
Topics:
Crypto Exchange
Issue 5 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
Dashboard of retail investors active on the stock market: sharp increase in retail ETF activity in Q1 2024
Long term investment Equity ETF Retail investors Professional investors Journalists Dashboard of retail investors active on the stock market: sharp increase in retail ETF activity in Q1 2024
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
Issue 4 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF completes its policy on gates in master-feeder structures
Asset management The AMF completes its policy on gates in master-feeder structures
Sectors:
Topics:
Asset ManagerWealth Manager
Less expensive investment funds for savers in 2023 according to the AMF's Household Savings Newsletter
Fees Collective investments Shares ETF Less expensive investment funds for savers in 2023 according to the AMF's Household Savings Newsletter
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Pauline Briand joins the Autorité des Marchés Financiers (AMF) as Head of Communications
Appointment AMF activity Journalists Pauline Briand joins the Autorité des Marchés Financiers (AMF) as Head of Communications
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Asset ManagerBankBroker Dealer
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Forex and binary options Warning The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Sectors:
Topics:
BankBroker DealerCrypto Exchange
The AMF reminds the public that the cryptoasset trading platform BITGET is blacklisted
Warning Savings protection Warning Crypto-assets The AMF reminds the public that the cryptoasset trading platform BITGET is blacklisted
Sectors:
Topics:
Crypto Exchange
The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Warning Savings protection Warning Miscellaneous assets The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
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Topics:
Asset ManagerWealth ManagerBroker Dealer
Combatting money laundering and terrorist financing: AMF applies two sets of European Banking Authority guidelines
Asset management Anti-money Laundering Combatting money laundering and terrorist financing: AMF applies two sets of European Banking Authority guidelines
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Asset ManagerBankWealth Manager
Open Data: publication on data.gouv.fr of the list of Asset Management Companies (AMCs) authorized by the AMF, of the white lists of Digital Asset Service Providers (DASPs) and offers of investments in miscellaneous assets
Innovation Savings protection AMF activity Open Data: publication on data.gouv.fr of the list of Asset Management Companies (AMCs) authorized by the AMF, of the white lists of Digital Asset Service Providers (DASPs) and offers of investments in miscellaneous assets
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Topics:
Asset ManagerCrypto Exchange
Issue 3 2024
No description available.
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Asset ManagerBankWealth Manager
Issue 2 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
AMF calls on investment services providers to take account of the specific nature of temporary ownership dismemberment when marketing SCPI units
Supervision Marketing MIFID Journalists Investment services providers Investment management companies AMF calls on investment services providers to take account of the specific nature of temporary ownership dismemberment when marketing SCPI units
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Asset ManagerWealth Manager
Ten new key figures admitted to the Board of the Autorité des Marchés Financiers
AMF activity Appointment Journalists Ten new key figures admitted to the Board of the Autorité des Marchés Financiers
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Asset ManagerBroker DealerBank
Definition of investment advice: AMF updates its doctrine
Investment advice Asset management Definition of investment advice: AMF updates its doctrine
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Asset ManagerWealth Manager
Issue 1 2024
No description available.
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Asset ManagerBankWealth Manager
AMF encourages investment services providers to strengthen their procedures for handling client complaints
Supervision Investment services Journalists Investment services providers AMF encourages investment services providers to strengthen their procedures for handling client complaints
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Asset ManagerWealth ManagerBroker Dealer
The AMF reminds investment firms of the rules for identifying retail investors when reporting transactions
Innovation MIFID The AMF reminds investment firms of the rules for identifying retail investors when reporting transactions
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Asset ManagerBroker DealerWealth 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
AMF Enforcement Committee fines a financial investment advisor and its director for breach of professional obligations
Sanctions & settlements professional obligations Other professionals Journalists AMF Enforcement Committee fines a financial investment advisor and its director for breach of professional obligations
AI Analysis
The AMF Enforcement Committee imposed sanctions on SPI (a financial investment advisor) and its director Vincent Rhodes on 9 January 2024 for breaching professional obligations. This case demonstrates the AMF's enforcement priorities regarding advisor conduct standards and establishes precedent for disciplinary action against both firms and individual managers who fail to meet regulatory requirements.
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Wealth ManagerBroker DealerAsset Manager
The 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
Equity investment: intentions on the rise again, driven by young people
Long term investment Collective investments Shares Retail investors Journalists Equity investment: intentions on the rise again, driven by young people
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Asset ManagerWealth ManagerBroker Dealer
AMF Enforcement Committee fines a financial investment advisor and its director for breach of professional obligations
Sanctions & settlements professional obligations Investment advice Other professionals Journalists AMF Enforcement Committee fines a financial investment advisor and its director for breach of professional obligations
AI Analysis
The AMF Enforcement Committee imposed a five-year ban on financial investment advisor DCT (formerly Didier Maurin Finance) and its director Didier Maurin from practicing, plus fines of €150,000 on the firm and €200,000 on the director, for recommending unauthorized Samoan AIF investments to 64 clients, failing to manage conflicts of interest (e.g., no conflicts register), and breaching duties of competence, care, and diligence in clients' best interests. This matters as it reinforces AMF's strict enforcement on CIFs (Conseillers en Investissements Financiers) for product authorization checks, conflicts management, and client-centric obligations under MiFID II transposition in France, signaling heightened scrutiny on advisory integrity amid rising sanctions. The Conseil d'Etat upheld the decision on 9 September 2024, dismissing appeals and confirming sanctions.
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Topics:
Wealth ManagerAll Firms
The AMF 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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Asset ManagerBankBroker Dealer
Issue 10 2023
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF and the Paris Public Prosecutor's Office urge retail investors to be extremely vigilant regarding Immediate Connect's fraudulent investment offer in crypto-assets
Warning Warning Savings protection Forex and binary options Crypto-assets The AMF and the Paris Public Prosecutor's Office urge retail investors to be extremely vigilant regarding Immediate Connect's fraudulent investment offer in crypto-assets
Sectors:
Topics:
Crypto ExchangeAll Firms
The AMF Enforcement Committee fines a French tied agent of a Cypriot investment services provider and its manager for breaches of their professional obligations
Sanctions & settlements Journalists The AMF Enforcement Committee fines a French tied agent of a Cypriot investment services provider and its manager for breaches of their professional obligations
AI Analysis
The AMF Enforcement Committee fined France Safe Media (FSM), a French tied agent of Cypriot provider VPR Safe Financial Group Limited (Alvexo platform), €300,000 and imposed a 10-year ban from tied agent activities and reception/transmission of orders (RTO) services, while its manager Lior Mattouk received a €100,000 fine and similar 10-year ban, for breaches occurring January 2019–September 2021. This decision, dated 10 November 2023 and upheld by Conseil d'Etat on 16 June 2025, underscores AMF's strict enforcement of professional obligations for tied agents marketing high-risk CFDs, emphasizing staff qualifications, client assessments, risk warnings, disclosures, and diligence. It matters for cross-border intermediaries as it highlights personal liability for managers and the finality of sanctions post-appeal, signaling heightened scrutiny on CFD promotion and tied agent compliance in France.
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Broker DealerWealth ManagerAll Firms
Gamification tends to increase investment risk-taking, according to behavioural finance experiment conducted for the AMF
Long term investment Risk and Trend Mapping Retail investors Professional investors Journalists Investment management companies Listed companies and issuers Gamification tends to increase investment risk-taking, according to behavioural...
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Asset ManagerWealth ManagerBroker Dealer
An OECD study for the AMF profiles new French retail investors
Long term investment Equity Journalists Investment services providers Investment management companies Listed companies and issuers An OECD study for the AMF profiles new French retail investors
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Asset ManagerWealth ManagerBroker Dealer
The 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.
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Topics:
Asset ManagerBankWealth Manager
Pan-European Personal Pension Products: the AMF complies with EIOPA guidelines
Asset management Pan-European Personal Pension Products: the AMF complies with EIOPA guidelines
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Topics:
Asset ManagerInsurance
AMF Chair Marie-Anne Barbat-Layani meets with ASIC Chair Joseph Longo
Cooperation AMF Chair Marie-Anne Barbat-Layani meets with ASIC Chair Joseph Longo
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Topics:
BankWealth ManagerAll Firms
The AMF ensures that retail investors are properly informed on fees of financial products
Fees Savings protection Other professionals Retail investors Journalists Investment services providers The AMF ensures that retail investors are properly informed on fees of financial products
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Asset ManagerWealth ManagerBank
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
Regime applicable to financial investment advisers: update of Position-Recommendation DOC-2006-23
Asset management Investment advice Regime applicable to financial investment advisers: update of Position-Recommendation DOC-2006-23
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Topics:
Asset ManagerWealth Manager
MiFID II product governance requirements: the AMF applies the updated ESMA guidelines
Asset management MIFID Financial services providers MiFID II product governance requirements: the AMF applies the updated ESMA guidelines
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Topics:
Asset ManagerBroker DealerBank
Markets in crypto-assets: publication of the MiCA regulation
MiCA Crypto-assets Innovation Markets in crypto-assets: publication of the MiCA regulation
Sectors:
Topics:
Crypto ExchangeFintechBank
Decentralised Finance (DeFi): IOSCO publishes its consultation report
Innovation Markets Decentralised Finance (DeFi): IOSCO publishes its consultation report
AI Analysis
The AMF publication announces IOSCO's consultation report on Decentralised Finance (DeFi), highlighting ongoing global efforts to regulate DeFi activities under IOSCO's 2023 policy recommendations. This matters for compliance professionals as it signals intensifying scrutiny on DeFi platforms for investor protection, market integrity, and financial stability risks, potentially leading to harmonized rules that bridge traditional finance and crypto assets. Firms involved in DeFi must monitor this to align with emerging "same risk, same rule" standards across jurisdictions.
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Asset ManagerCrypto ExchangeFintech
The AMF Enforcement Committee fines the Association Nationale des Conseillers Financiers-CIF for breaches of its professional obligations
Sanctions & settlements professional obligations Journalists The AMF Enforcement Committee fines the Association Nationale des Conseillers Financiers-CIF for breaches of its professional obligations
AI Analysis
The AMF Enforcement Committee fined the Association Nationale des Conseillers Financiers-CIF (ANACOFI-CIF), a professional association approved for investment advisors (CIFs), €250,000 with a warning, and its former president €20,000 with a warning, for breaching professional obligations in membership vetting, controls, archiving, and conflicts of interest management. This decision, dated September 5, 2023, underscores AMF's scrutiny of professional associations' gatekeeping and oversight roles in ensuring CIF compliance. It matters as it signals heightened enforcement against associations failing to uphold regulatory standards, potentially impacting CIF ecosystem integrity and prompting reviews of similar bodies.
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Wealth ManagerAll Firms
The AMF and the ARPP launch the Responsible Influence Certificate in Finance
Savings protection Cooperation Crypto-assets Retail investors Fintech Journalists The AMF and the ARPP launch the Responsible Influence Certificate in Finance
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Topics:
Asset ManagerFintechCrypto Exchange
Investment service: amendment of the French definition of reception and transmission of orders
Investment services Investment service: amendment of the French definition of reception and transmission of orders
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Topics:
Asset ManagerBroker DealerWealth Manager
The AMF pays tribute to Jacques Delmas-Marsalet
Institutional AMF activity Journalists The AMF pays tribute to Jacques Delmas-Marsalet
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Topics:
BankWealth ManagerAsset Manager
The AMF Enforcement Committee fines an asset management company for breaches of its professional obligations
Sanctions & settlements professional obligations Journalists Investment management companies The AMF Enforcement Committee fines an asset management company for breaches of its professional obligations
AI Analysis
The AMF Enforcement Committee fined asset management company Altaroc Partners (formerly Amboise Partners SA) €600,000 and its senior managers Maurice Tchenio (€500,000) and Patrick de Giovanni (€200,000) on 15 September 2025 for multiple breaches of professional obligations, including lack of operational procedures for fund investments/divestments, inadequate AML/CFT due diligence, unproven benefits of fee retrocessions to distributors, and shortcomings in marketing materials. This decision underscores the AMF's strict enforcement on operational controls, governance, and client protection in asset management, serving as a critical warning for firms to ensure robust, documented procedures and senior manager accountability. It matters because it highlights personal liability for executives and reinforces AMF's educational role through sanction explanations, potentially increasing scrutiny on similar firms.
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Asset Manager
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
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Topics:
Asset ManagerBankWealth Manager
Close to 40% of new equity investors are under 35
Long term investment Equity Retail investors Journalists Close to 40% of new equity investors are under 35
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
Sustainable investment: growing interest among French people, especially the youngest
Long term investment Sustainable Finance Collective investments Retail investors Journalists Sustainable investment: growing interest among French people, especially the youngest
Sectors:
Topics:
Asset ManagerWealth ManagerAll Firms
The AMF reinforces the visibility of its blacklists through Open Data
Innovation Savings protection AMF activity The AMF reinforces the visibility of its blacklists through Open Data
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF 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
Impact 2027: six main strategic guidelines for 2023-2027
Annual report Institutional Strategy AMF activity Retail investors Post-trade Infrastructures Journalists Investment management companies Listed companies and issuers Impact 2027: six main strategic guidelines for...
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Topics:
Asset ManagerWealth ManagerBank
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
By two decisions, the AMF Enforcement Committee fines two investment services providers for breaches of their professional obligations
Sanctions & settlements Journalists Investment services providers By two decisions, the AMF Enforcement Committee fines two investment services providers for breaches of their professional obligations
AI Analysis
The AMF Enforcement Committee issued two decisions on 19 June 2023 fining Crédit Industriel et Commercial (€1 million) and Banque CIC Sud-Ouest (€250,000) for breaches of professional obligations in investment advisory services, including inadequate suitability assessments, client classification procedures, marketing of unsuitable instruments, and insufficient controls on costs and fees. This matters because it underscores AMF's strict enforcement of MiFID II-derived obligations, signaling heightened scrutiny on operational systems for client protection and potential for substantial fines based on breach duration and scale.
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Topics:
Broker DealerWealth ManagerBank
The AMF publishes a discussion paper on Decentralised Finance (DeFi)
Crypto-assets Innovation Fintech Journalists The AMF publishes a discussion paper on Decentralised Finance (DeFi)
AI Analysis
The Autorité des Marchés Financiers (AMF), France's financial markets regulator, published a discussion paper on June 19, 2023, outlining preliminary thoughts on regulatory challenges posed by Decentralised Finance (DeFi) activities on crypto-assets, inviting stakeholder feedback by September 30, 2023. A summary of responses was released on July 10, 2024, highlighting key themes like defining DeFi, distinguishing protocol types, and applying a "same activity, same risk, same regulation" principle. This matters for compliance professionals as it signals AMF's intent to develop proportionate DeFi oversight, balancing innovation with investor protection, AML/CTF risks, and market integrity amid evolving EU frameworks like MiCA.
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FintechCrypto ExchangeAll Firms
European Crowdfunding Services Providers: the AMF publishes a position on marketing communications
Financial services providers Asset management Marketing European Crowdfunding Services Providers: the AMF publishes a position on marketing communications
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Topics:
Asset ManagerBroker DealerFintech
MiFID II suitability assessment: the AMF applies the updated ESMA guidelines
Investment advice MIFID Asset management MiFID II suitability assessment: the AMF applies the updated ESMA guidelines
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Topics:
Asset ManagerBroker DealerWealth Manager
Employee savings funds: the AMF amends its policy on the simplified integration of liquidity management tools
Asset management Employee savings funds: the AMF amends its policy on the simplified integration of liquidity management tools
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Topics:
Asset ManagerWealth Manager
The AMF Ombudsman publishes her 2022 Annual Report
Mediation Annual report Retail investors Journalists Investment services providers Investment management companies Listed companies and issuers The AMF Ombudsman publishes her 2022 Annual Report
Sectors:
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Asset ManagerWealth ManagerBroker Dealer
The AMF Enforcement Committee sanctions an asset management company and two of its managers for breaches of their professional obligations
Sanctions & settlements Asset management Journalists Investment management companies The AMF Enforcement Committee sanctions an asset management company and two of its managers for breaches of their professional obligations
AI Analysis
The AMF Enforcement Committee sanctioned asset management company M Capital Partners and its managers Rudy Secco (€70,000 fine) and Stéphanie Minissier (€35,000 fine) with a total firm fine of €200,000 in its decision dated 31 December 2025, for multiple breaches of professional obligations spanning August 2019 to December 2023. This case underscores AMF's strict enforcement on operational compliance, scope of authorized activities, and AML/CFT systems in asset management, serving as a critical reminder for firms to ensure robust, traceable processes and manager accountability. It matters because it highlights personal liability for senior managers and recurring AMF focus on tied agents exceeding permitted services, potentially signaling increased scrutiny in 2026.
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Asset Manager
Equity savings plans : the AMF working group proposes avenues for improvement
Savings protection Equity Savings Plan Shares Long term investment Retail investors Journalists Investment services providers Listed companies and issuers Equity savings plans : the AMF working group proposes avenues for...
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Topics:
Asset ManagerWealth ManagerBroker Dealer
Crypto-asset markets: the MiCA regulation adopted by the European Parliament
MiCA Crypto-assets Innovation Crypto-asset markets: the MiCA regulation adopted by the European Parliament
Sectors:
Topics:
Crypto ExchangeFintech
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
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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
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Topics:
BankBroker DealerAsset Manager
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Warning Savings protection Forex and binary options The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Sectors:
Topics:
Broker DealerFintechCrypto Exchange
The AMF presents its proposals to improve the readability of financial product fees in European law
Collective investments Shares The AMF presents its proposals to improve the readability of financial product fees in European law
AI Analysis
The Autorité des Marchés Financiers (AMF, France's financial markets authority) has proposed a new table for presenting subscription fees on financial instruments and an accompanying glossary to enhance investor readability and comparability, developed in collaboration with the Financial Sector Consultative Committee (FSCC) as input to the European Commission's Retail Investment Strategy. This matters because it targets reconciling MiFID 2 and PRIIPs disclosure requirements, which currently hinder clear fee communication, potentially influencing future EU-level amendments to improve retail investor protection without imposing new obligations.
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Asset ManagerWealth ManagerBroker Dealer
Employee savings: a sharp increase in awareness and ownership of employee savings schemes; support for employees and company managers should be reinforced
Employee savings scheme Long term investment Collective investments Retail investors Professional investors Journalists Employee savings: a sharp increase in awareness and ownership of employee savings schemes; support for employees and company managers...
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Asset ManagerWealth ManagerAll Firms
“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
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Topics:
BankInsurance
The AMF has produced the standard profile of active investors in 2022
Long term investment Equity Retail investors Professional investors Journalists The AMF has produced the standard profile of active investors in 2022
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Topics:
Asset ManagerWealth ManagerBroker Dealer
Mystery shopping campaign to bank branches: progress made in the questioning to client, improvements needed in the information provided
MIFID Supervision Retail investors Journalists Mystery shopping campaign to bank branches: progress made in the questioning to client, improvements needed in the information provided
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Topics:
BankWealth Manager
The AMF warns the public about fraudulent investment offers through trading robots
Warning Warning Savings protection Forex and binary options The AMF warns the public about fraudulent investment offers through trading robots
Sectors:
Topics:
Broker DealerWealth ManagerFintech
Contributions payable to the AMF: a new complaints form for a more effective follow-up
AMF activity Asset management Contributions payable to the AMF: a new complaints form for a more effective follow-up
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Topics:
Asset ManagerWealth Manager
AI enthusiasts, the AMF challenges you
Innovation Markets AI enthusiasts, the AMF challenges you
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
The AMF Enforcement Committee fines a financial investment advisor for breaches of its professional obligations
Sanctions & settlements professional obligations Investment advice Other professionals Journalists The AMF Enforcement Committee fines a financial investment advisor for breaches of its professional obligations
AI Analysis
The AMF Enforcement Committee fined financial investment advisor Capexis €120,000 on 15 February 2023 for breaches including receiving prohibited payments from client loan repayments and failing to disclose commissions from SCPI usufruct subscriptions, with the Conseil d'Etat later increasing the fine to €150,000 on 3 March 2025. This enforcement action underscores AMF's strict oversight of **financial investment advisors (Conseillers en Investissements Financiers - CIFs)** on professional obligations like payment restrictions and transparency. It matters for compliance as it highlights personal liability risks and the educational role of such decisions in clarifying regulations.
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Topics:
Wealth ManagerAll Firms
Extension of the preparation of a Key Information Document to all collective investments: the AMF updates its policy
Asset management Extension of the preparation of a Key Information Document to all collective investments: the AMF updates its policy
Sectors:
Topics:
Asset ManagerWealth Manager
Marketing of financial products to ageing populations: publication of an independent academic research report on customer relations and sales processes
Savings protection Marketing Marketing of financial products to ageing populations: publication of an independent academic research report on customer relations and sales processes
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Over 1.5 million retail investors bought or sold shares in 2022
Long term investment Equity Equity Savings Plan Retail investors Journalists Investment services providers Investment management companies Listed companies and issuers Over 1.5 million retail investors bought or sold shares in...
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
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
The AMF Enforcement Committee fines the British company H2O AM LLP and two of its executives at the time of the facts for several breaches of their professional obligations
Sanctions & settlements Journalists Investment management companies The AMF Enforcement Committee fines the British company H2O AM LLP and two of its executives at the time of the facts for several breaches of their professional obligations
AI Analysis
The AMF Enforcement Committee fined UK asset manager H2O AM LLP €75 million and its executives Bruno Crastes (€15 million, plus a 5-year ban) and Vincent Chailley (€3 million) for breaches in managing French UCITS funds, including ineligible Tennor Group investments, liquidity risks, valuation failures, and non-compliance with investment ratios and counterparty limits. This matters as it underscores AMF's strict enforcement on UCITS eligibility, risk management, and prospectus adherence, with cross-border implications confirmed by the Conseil d'État's dismissal of appeals on 13 June 2025. It signals heightened scrutiny on illiquid, unrated assets and "buy & sell back" transactions for EU asset managers.
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Topics:
Asset ManagerAll Firms
The AMF warns the public against certain platforms proposing investments in real estate as "royalties"
Warning Warning Savings protection The AMF warns the public against certain platforms proposing investments in real estate as "royalties"
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Warning Savings protection Miscellaneous assets Warning The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
Marie-Anne Barbat-Layani to chair ESMA's Investor Protection Standing Committee
Europe & international Savings protection Marie-Anne Barbat-Layani to chair ESMA's Investor Protection Standing Committee
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Digital assets: the AMF strengthens its policy on DASPs in relation to good repute and skills and promotional communications
Crypto-assets Innovation Digital assets: the AMF strengthens its policy on DASPs in relation to good repute and skills and promotional communications
Sectors:
Topics:
Crypto ExchangeFintech
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Forex and binary options Crypto-assets Warning The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
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.
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Topics:
BankAsset ManagerFintech
The AMF’s latest savings barometer finds that the French are a little less inclined to invest in the stock market
Long term investment Shares Collective investments Retail investors Journalists The AMF’s latest savings barometer finds that the French are a little less inclined to invest in the stock market
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
The AMF warns the public about fraudulent offers to invest in the energy transition
Warning Savings protection Warning The AMF warns the public about fraudulent offers to invest in the energy transition
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF Enforcement Committee fines a financial investment advisor and its manager for breaches of their professional obligations
Sanctions & settlements Investment advice Other professionals Journalists Investment services providers The AMF Enforcement Committee fines a financial investment advisor and its manager for breaches of their professional obligations
AI Analysis
The AMF Enforcement Committee sanctioned financial investment advisor DCT (formerly Didier Maurin Finance) and its manager Didier Maurin with a five-year ban from practicing and fines of €150,000 and €200,000 respectively for recommending unauthorized Samoan AIF shares to 64 clients and failing to identify/manage conflicts of interest, including lacking a conflicts register. This decision, upheld by the Conseil d'Etat on 9 September 2024, underscores AMF's strict enforcement of client-best-interest and conflicts obligations under French regulations. It matters as it provides binding guidance on due diligence for product marketing authorization and conflicts procedures, signaling heightened scrutiny on financial investment advisors (FIAs).
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Topics:
Wealth ManagerAll Firms
The AMF issues a request for candidates for its consultative commissions
Institutional AMF activity Executive & other private individuals Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers Investment management companies ...
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Topics:
Asset ManagerWealth ManagerAll Firms
Significant drop in the number of active retail investors amid a stock market downturn
Long term investment Shares Executive & other private individuals Retail investors Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers ...
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Topics:
Asset ManagerWealth ManagerBroker Dealer
The AMF publishes a study on the share price performance of companies using dilutive financing in the form of OCABSAs or equity lines
Financial disclosures & corporate financing Financial products Executive & other private individuals Professional investors Journalists Listed companies and issuers The AMF publishes a study on the share price performance of companies using dilutive...
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Topics:
Asset ManagerBroker DealerWealth Manager
The AMF updates its policy on management fees for collective investment undertakings (CIUs)
Asset management The AMF updates its policy on management fees for collective investment undertakings (CIUs)
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Topics:
Asset ManagerWealth Manager
The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Warning Miscellaneous assets Savings protection Warning The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
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Topics:
Asset ManagerWealth ManagerBroker 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 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.
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Asset ManagerWealth ManagerBank
The AMF creates a working group on equity savings plans (PEAs)
Equity Savings Plan Long term investment Savings protection Retail investors Journalists The AMF creates a working group on equity savings plans (PEAs)
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Asset ManagerWealth ManagerBank
The AMF calls for vigilance against fraudulent sites usurping its name
Warning Savings protection Warning The AMF calls for vigilance against fraudulent sites usurping its name
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Topics:
BankWealth ManagerFintech
The AMF informs the public of the partial suspension by the CySEC of VPR Safe Financial Group Limited’s authorisation to operate in France
Investment services Savings protection Europe & international Retail investors Investment services providers The AMF informs the public of the partial suspension by the CySEC of VPR Safe Financial Group Limited’s authorisation to operate in France
AI Analysis
The AMF publication notifies the public of CySEC's August 3, 2022, decision to partially suspend VPR Safe Financial Group Limited's (operating as Alvexo) authorization to provide investment services in France, prompted by AMF findings of regulatory violations including misleading marketing, inadequate client suitability assessments, and poor tied agent oversight. This cross-border enforcement highlights escalating EU supervisory cooperation under MiFID II, serving as a warning for firms using tied agents in France. It matters for compliance as it underscores risks of AMF referrals leading to home-state suspensions, with subsequent developments including suspension revocation and full license withdrawal by September 2025.
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Topics:
Broker DealerFintech
The AMF is conducting a consultation on the end of life of private equity funds intended for retail investors
Asset management Savings protection Journalists The AMF is conducting a consultation on the end of life of private equity funds intended for retail investors
AI Analysis
The AMF is conducting a consultation on regulatory reforms governing the end-of-life management of retail private equity funds (FCPRs, FCPIs, and FIPs), with the objective of improving compliance with liquidation deadlines and enhancing investor protection through better information disclosure and operational safeguards. This initiative addresses systemic issues where fund managers have historically failed to respect contractual lifespan commitments, creating liquidity risks and investor communication failures.
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Asset ManagerWealth Manager
Crypto-asset markets: Agreement reached on the European Crypto-Assets regulation (MiCA)
MiCA Crypto-assets Innovation Cooperation Europe & international Crypto-asset markets: Agreement reached on the European Crypto-Assets regulation (MiCA)
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Topics:
Crypto ExchangeFintech
The AMF and the ARPP are stepping up their cooperation to promote clear and responsible advertising of financial products
Savings protection Cooperation Crypto-assets Fintech Journalists The AMF and the ARPP are stepping up their cooperation to promote clear and responsible advertising of financial products
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Topics:
BankFintechCrypto Exchange
The AMF Enforcement Committee fines a portfolio asset management company for breaches of its professional obligations
Sanctions & settlements Journalists The AMF Enforcement Committee fines a portfolio asset management company for breaches of its professional obligations
AI Analysis
The AMF Enforcement Committee fined an unnamed portfolio asset management company €400,000 for multiple breaches of professional obligations, including non-operational investment/divestment procedures, inadequate conflict of interest management with group service providers, lack of transparency on distributor fee retrocessions, deficient client categorization, and weak AML/CFT due diligence. This enforcement action, mirroring recent similar cases against firms like Novaxia Investissement and Eternam, underscores the AMF's heightened scrutiny on operational robustness and transparency in asset management, serving as a critical reminder for firms to ensure procedures are fully implemented and documented to avoid personal liability for executives.
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Asset Manager
The AMF publishes a summary of its SPOT inspections on the theme of best execution in asset management companies
Supervision MIFID Journalists Investment services providers Investment management companies The AMF publishes a summary of its SPOT inspections on the theme of best execution in asset management companies
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Topics:
Asset 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
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
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Topics:
Asset ManagerBankInsurance
Digital assets: the AMF updates its policy on DASPs
Crypto-assets Digital assets: the AMF updates its policy on DASPs
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Topics:
Crypto ExchangeFintech
Assessing appropriateness and execution only in MiFID II: the AMF applies the ESMA guidelines
Asset management Assessing appropriateness and execution only in MiFID II: the AMF applies the ESMA guidelines
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Topics:
Asset ManagerBroker Dealer
The AMF Enforcement Committee fines a financial investment advisor and its manager for breaches of their professional obligations
Sanctions & settlements Other professionals Journalists The AMF Enforcement Committee fines a financial investment advisor and its manager for breaches of their professional obligations
AI Analysis
The AMF Enforcement Committee fined financial investment advisor Séquence 13 and its director Jean-Louis Lehmann €15,000 each and imposed a five-year ban from acting as financial investment advisors in its decision of 19 December 2023, due to failures in client disclosures, justifying remuneration, operating within regulatory limits, and managing conflicts of interest. This enforcement action underscores the AMF's strict enforcement of professional obligations for investment advisors, with personal liability for managers, serving as a deterrent against conduct breaches that harm client interests. Compliance teams should note this as part of a pattern of similar sanctions, emphasizing robust governance and documentation.
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Topics:
Wealth ManagerAll Firms
The AMF publishes a summary of its findings regarding the costs and fees of UCITS marketed to retail investors
Supervision Asset management Journalists Investment services providers Investment management companies The AMF publishes a summary of its findings regarding the costs and fees of UCITS marketed to retail investors
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Topics:
Asset ManagerWealth Manager
The AMF updates its policy on funds with high fees
Asset management The AMF updates its policy on funds with high fees
Sectors:
Topics:
Asset ManagerWealth Manager
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
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Topics:
Broker DealerWealth ManagerFintech
War in Ukraine: the AMF alerts asset management companies
Asset management War in Ukraine: the AMF alerts asset management companies
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Topics:
Asset ManagerWealth Manager
The AMF Enforcement Committee fines a financial investment advisor and its manager for breaches of their professional obligations
Sanctions & settlements Investment advice Other professionals Executive & other private individuals Investment services providers The AMF Enforcement Committee fines a financial investment advisor and its manager for breaches of their professional obligations
AI Analysis
The AMF Enforcement Committee fined a financial investment advisor (FIA) firm and its manager for multiple breaches of professional obligations, including failure to provide mandatory documents, inadequate risk disclosure, poor KYC practices, misleading information, unauthorized placing activities, and improper third-party marketing mandates. This enforcement action underscores the AMF's strict scrutiny of FIAs, emphasizing due care, conflict management, and adherence to status limits, with fines and bans serving as deterrents. Compliance teams should review it for lessons on documentation, client suitability, and outsourcing controls to avoid similar sanctions.
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Topics:
Wealth ManagerAsset ManagerAll Firms
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
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Topics:
Asset ManagerWealth ManagerBank
The AMF Ombudsman publishes her 2021 Annual Report
Mediation Annual report Retail investors Journalists The AMF Ombudsman publishes her 2021 Annual Report
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Topics:
Asset ManagerWealth ManagerBank
The AMF Enforcement Committee fines a financial investment advisor and its manager for breaches of their professional obligations
Sanctions & settlements Journalists The AMF Enforcement Committee fines a financial investment advisor and its manager for breaches of their professional obligations
AI Analysis
The AMF Enforcement Committee imposed significant sanctions on DCT (formerly Didier Maurin Finance) and its manager Didier Maurin for recommending unauthorized alternative investment funds to clients and obstructing regulatory investigations. This case exemplifies critical compliance failures in product authorization verification and client suitability assessment, with enforcement upheld by France's highest administrative court in September 2024.
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Topics:
Asset ManagerWealth Manager
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Forex and binary options Crypto-assets Warning The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
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Topics:
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
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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
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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
AMF publishes an analysis of retail investor order execution on French stocks
Market infrastructures Order Retail investors Market Infrastructures Journalists AMF publishes an analysis of retail investor order execution on French stocks
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Topics:
Broker DealerWealth ManagerAsset Manager
Central Bank implements new Insurance Regulations
Ban on price walking in motor and home insurance comes into effect on 1 July 2022. New customer discounts not affected. For automatic renewals, better information and reminders to be provided to encourage switching. The Central Bank of Ireland has today published the Central Bank (Supervision and Enforcement) Act 2013 (Section 48(1)) (Insurance Requirements) Regulations 2022 which will apply to insurance undertakings and insurance intermediaries from 1 July 2022. The Central Bank identified d...
AI Analysis
The Central Bank of Ireland (CBI) published the Central Bank (Supervision and Enforcement) Act 2013 (Section 48(1)) (Insurance Requirements) Regulations 2022 on 15 March 2022, banning price walking in motor and home insurance from 1 July 2022 to eliminate loyalty penalties for renewing customers while preserving new customer discounts and competition. This matters for compliance professionals as it imposes immediate prohibitions on differential pricing, mandatory annual reviews, enhanced renewal disclosures, and record-keeping, with CBI emphasizing ongoing oversight to ensure fair consumer outcomes.
Effective Date: 1 July 2022
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Insurance
The AMF Enforcement Committee sanctions a media company and its director for making investment recommendations without mentioning conflicts of interest and for price manipulation
Sanctions & settlements Executive & other private individuals Journalists Listed companies and issuers The AMF Enforcement Committee sanctions a media company and its director for making investment recommendations without mentioning conflicts of interest and for price manipulation
AI Analysis
The AMF Enforcement Committee sanctioned a media company and its director for issuing investment recommendations without disclosing conflicts of interest and engaging in price manipulation, highlighting the regulator's strict enforcement against market abuse and transparency failures. This case underscores the AMF's focus on protecting investors from misleading practices by non-traditional actors like media outlets, with penalties serving as a deterrent amid rising digital fraud. Compliance teams must prioritize conflict disclosures and surveillance to avoid similar actions, as it reinforces ongoing AMF priorities in conduct and market integrity.
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All FirmsBroker Dealer
Consequences of the Ukrainian crisis: the AMF alerts asset management companies
Asset management Consequences of the Ukrainian crisis: the AMF alerts asset management companies
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Topics:
Asset ManagerBankWealth Manager
A liquidator of the funds previously managed by "Nestadio Capital" has been appointed at the request of the AMF
Asset management A liquidator of the funds previously managed by "Nestadio Capital" has been appointed at the request of the AMF
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Topics:
Asset Manager
The AMF announces the creation of a working group on the end-of-life of private equity funds
Asset management Savings protection Journalists Investment management companies The AMF announces the creation of a working group on the end-of-life of private equity funds
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Topics:
Asset ManagerWealth Manager
The AMF proposes measures to promote a wider adoption of liquidity management tools by fund managers
Asset management Prospectus Journalists Investment services providers Investment management companies The AMF proposes measures to promote a wider adoption of liquidity management tools by fund managers
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Asset Manager
The AMF updates its policy on the marketing communications of collective investments
Asset management Collective investments The AMF updates its policy on the marketing communications of collective investments
Sectors:
Topics:
Asset ManagerWealth Manager
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
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Topics:
Asset ManagerBroker DealerWealth Manager
Stimulating the diversification of long-term savings: the AMF proposes an educational approach to equity investment
Long term investment Shares Stimulating the diversification of long-term savings: the AMF proposes an educational approach to equity investment
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Topics:
Asset ManagerWealth ManagerBank
The AMF Enforcement Committee fines an asset management company for several breaches of its professional obligations
Sanctions & settlements Journalists The AMF Enforcement Committee fines an asset management company for several breaches of its professional obligations
AI Analysis
The AMF Enforcement Committee fined asset management company Altaroc Partners €600,000 and its senior managers Maurice Tchenio (€500,000) and Patrick de Giovanni (€200,000) on 15 September 2025 for multiple breaches of professional obligations, including lack of operational procedures for fund investments/divestments, inadequate AML/CFT due diligence, unproven benefits of fee retrocessions to distributors, and shortcomings in marketing materials. This decision underscores AMF's focus on operational controls, due diligence, and transparency in asset management, serving as a key enforcement precedent that highlights personal liability for senior managers. Compliance teams must review it to strengthen internal procedures and governance amid rising AMF scrutiny on these issues.
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Asset 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
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
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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
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Asset ManagerBankWealth Manager
Responsible finance: the AMF draws an overview of communications practices abroad
Sustainable Finance Savings protection Collective investments Responsible finance: the AMF draws an overview of communications practices abroad
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Asset ManagerWealth ManagerAll Firms
Certification in sustainable finance: the AMF names the first certified training organisations
Professional certification Sustainable Finance Certification in sustainable finance: the AMF names the first certified training organisations
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Topics:
Asset ManagerWealth ManagerBank
Marketing communications under the Regulation on cross-border distribution of funds : the AMF complies with ESMA’s Guidelines
Asset management Marketing communications under the Regulation on cross-border distribution of funds : the AMF complies with ESMA’s Guidelines
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Topics:
Asset ManagerWealth Manager
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Forex and binary options Crypto-assets Warning The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Sectors:
Topics:
BankFintechCrypto Exchange
The AMF warns against the Initial Coin Offering of the company Air Next
Warning Savings protection Crypto-assets Warning The AMF warns against the Initial Coin Offering of the company Air Next
Sectors:
Topics:
Crypto ExchangeFintech
“Insurance firms require strong customer-focused cultures and Central Bank will intervene on practices unfair or potentially unfair to consumers” – Director General Derville Rowland
Differential Pricing and Business Interruption Insurance demonstrate Central Bank’s focus on conduct, culture and customer treatment Over €130 million paid in business interruption insurance claims to date Insurance sector needs to be prepared for the challenges ahead including digitisation and climate change Speaking at the Deloitte 2022 Insurance Industry Trends event Director General, Financial Conduct Derville Rowland discussed the position of the insurance sector in Ireland, the effect o...
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Topics:
Insurance
Remarks by Director General, Financial Conduct Derville Rowland at the Deloitte Global Insurance Webinar
Remarks by Director General, Financial Conduct Derville Rowland at the Deloitte Global Insurance Webinar Good morning everybody and thank you to Deloitte for the invitation to speak at this webinar. Some people think of insurance as a relatively modern financial concept. But of course, as the insurance experts in this audience know, its origins can be traced all the way back to certain kinds of shipping loans in Babylon, through Ancient Rome and Greece, and into Medieval Europe. In the 17 th ...
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Insurance
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
AMF is warning retail investors on the importance of consulting the white list of digital asset service providers (DASPs)
Crypto-assets Savings protection AMF is warning retail investors on the importance of consulting the white list of digital asset service providers (DASPs)
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Topics:
Crypto ExchangeFintech
The AMF publishes a study about potential explanatory variables for the record outflows that French MMFs faced in March 2020
MMF The AMF publishes a study about potential explanatory variables for the record outflows that French MMFs faced in March 2020
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Topics:
Asset ManagerBankBroker Dealer
Central Bank proposes to end the loyalty penalty for private car and home insurance customers
Review finds that differential pricing practices can result in unfair outcomes for some consumers Proposal to ban the practice of ‘price walking’ to end the loyalty penalty for consumers who do not switch insurance provider regularly Proposals will ensure that new business discounts are still available to allow consumers to seek the best prices, while ensuring that those who remain with the same insurance provider are not penalized The Central Bank is proposing to ban the practice of price wa...
AI Analysis
The Central Bank of Ireland (CBI) proposes banning "price walking" in private car and home insurance to eliminate the loyalty penalty, where long-term customers pay significantly higher premiums (14% more for car, 32% more for home after 9 years) than new customers with similar risk profiles. This stems from a 2021 review finding differential pricing unfair to loyal or less mobile consumers, with regulations finalized and effective from 1 July 2022, confirmed effective in subsequent reviews. It matters as it enforces fair treatment under CBI's consumer protection mandate, requiring insurers to overhaul pricing models while preserving new customer discounts to maintain competition.
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Insurance
The AMF emphasises the importance of independence in financial analysis
Financial analysis The AMF emphasises the importance of independence in financial analysis
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Asset ManagerBroker DealerBank
The AMF urges retail investors to exercise extreme caution towards proposals to invest in rooms in care homes
Warning Savings protection Financial Scams Warning The AMF urges retail investors to exercise extreme caution towards proposals to invest in rooms in care homes
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Asset ManagerWealth ManagerAll Firms
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
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Topics:
BankCrypto ExchangeFintech
The AMF warns the public against Sinclair Upton Capital Management
Warning Savings protection Asset management Investment advice Warning The AMF warns the public against Sinclair Upton Capital Management
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Topics:
Asset ManagerWealth Manager
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Forex and binary options Warning The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Sectors:
Topics:
BankBroker DealerCrypto Exchange
The AMF is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Savings protection Miscellaneous assets Atypical products Warning The AMF is warning the public against several companies proposing atypical investments without being authorized to do so
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Asset ManagerWealth ManagerBroker Dealer
The AMF, AFG, ASPIM, France Invest, Anacofi, Cie CIF, CNCGP and CNCIF warn the public against an upsurge in the theft of names of authorised market players
Warning Savings protection Warning Financial Scams The AMF, AFG, ASPIM, France Invest, Anacofi, Cie CIF, CNCGP and CNCIF warn the public against an upsurge in the theft of names of authorised market players
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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
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Topics:
BankCrypto ExchangeAll Firms
Miscellaneous assets: the AMF adds to its black list and, for the first time, has access blocked to unauthorised websites
Warning Savings protection Miscellaneous assets Warning Miscellaneous assets: the AMF adds to its black list and, for the first time, has access blocked to unauthorised websites
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Topics:
Asset ManagerWealth ManagerBank
The AMF urges investors to exercise the greatest vigilance towards proposals to invest in containers
Warning Savings protection Warning The AMF urges investors to exercise the greatest vigilance towards proposals to invest in containers
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Asset ManagerWealth ManagerBroker Dealer
The AMF urges retail investors to exercise the greatest vigilance towards certain activities proposed by Laurent Chenot
Warning Savings protection The AMF urges retail investors to exercise the greatest vigilance towards certain activities proposed by Laurent Chenot
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Topics:
Asset ManagerWealth ManagerBank
The AMF warns the public against Vuelex
Warning Savings protection The AMF warns the public against Vuelex
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Topics:
BankWealth ManagerFintech
The AMF warns the public against ELG Capital Partners and its website www.elgcapitalpartners.fr
Warning Savings protection The AMF warns the public against ELG Capital Partners and its website www.elgcapitalpartners.fr
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
The AMF and the ACPR warn the public against the activities of several entities proposing in France forex investments and investment services in crypto-assets derivatives without being authorized to do so
Warning Savings protection Crypto-assets Derivatives or structured products The AMF and the ACPR warn the public against the activities of several entities proposing in France forex investments and investment services in crypto-assets derivatives without being authorized to do so
Sectors:
Topics:
BankFintechCrypto Exchange
The AMF is warning the public against several companies proposing atypical investments or offering binary options trading without being authorized to do so
Warning Savings protection The AMF is warning the public against several companies proposing atypical investments or offering binary options trading without being authorized to do so
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Topics:
Broker DealerFintechAll Firms
The AMF announces the referral of two investigation files on “boiler room marketing” to the National Financial Prosecutor’s Office
Warning Savings protection The AMF announces the referral of two investigation files on “boiler room marketing” to the National Financial Prosecutor’s Office
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Topics:
BankWealth ManagerBroker Dealer
The AMF warns the public about the Cash Flash initial coin offering
Warning Savings protection Crypto-assets Warning The AMF warns the public about the Cash Flash initial coin offering
Sectors:
Topics:
Crypto ExchangeFintech
The AMF is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Savings protection Atypical products Warning The AMF is warning the public against several companies proposing atypical investments without being authorized to do so
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF and the ACPR warn the public against the activities of several entities proposing in France via their websites, without being authorized to do so, forex investments and investment services in crypto-assets derivatives
Warning Savings protection Crypto-assets Derivatives or structured products The AMF and the ACPR warn the public against the activities of several entities proposing in France via their websites, without being authorized to do so, forex investments and investment services in...
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Topics:
BankFintechCrypto Exchange
The AMF draws the public’s attention to pyramid structures proposing training courses in trading
Warning Savings protection The AMF draws the public’s attention to pyramid structures proposing training courses in trading
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Topics:
Asset ManagerBroker DealerWealth Manager
The AMF urges investors to exercise extreme caution towards proposals to invest in car parks
Warning Savings protection The AMF urges investors to exercise extreme caution towards proposals to invest in car parks
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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
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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
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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
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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
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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...
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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
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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
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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
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The Autorité des marchés financiers issues a public warning about the website www.sogevis.com
Warning Savings protection The Autorité des marchés financiers issues a public warning about the website www.sogevis.com
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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
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The Autorité des Marchés Financiers (AMF) warns the public against the activities of certain websites offering to sell shares of La Française des Jeux without authorisation
Warning Warning Savings protection The Autorité des Marchés Financiers (AMF) warns the public against the activities of certain websites offering to sell shares of La Française des Jeux without authorisation
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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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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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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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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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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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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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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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“Thriving in Challenging Times” - Central Bank Insurance Conference
Insurance conference explores challenges facing the insurance industry Introduction of proposed judicial guidelines on personal injury claims would bring stability to the cost of insurance Solvency II review in 2020 to ensure continued protection of policyholders and beneficiaries The Central Bank hosted a conference for the insurance industry today with the theme “ Thriving in Challenging Times ”. The conference brought together domestic and international thought-leaders and policy makers to...
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Insurance
The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Savings protection Atypical products Warning The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
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Asset ManagerWealth ManagerFintech
The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de resolution (ACPR) warn the public about a number of unauthorised online investment
Warning Savings protection Crypto-assets Warning The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de resolution (ACPR) warn the public about a number of unauthorised online investment services in France for derivatives whose underlyings include crypto...
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BankFintechCrypto Exchange
The Autorité des marchés financiers (AMF) is warning the public against the entity MAG Asset and the website www.magasset.com
Warning Savings protection The Autorité des marchés financiers (AMF) is warning the public against the entity MAG Asset and the website www.magasset.com
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The Autorité des marchés financiers warns the public about case of fraudulent use of the names and contact details of the SICAV Objectif Finance Investissements (OFI)
Warning Savings protection The Autorité des marchés financiers warns the public about case of fraudulent use of the names and contact details of the SICAV Objectif Finance Investissements (OFI)
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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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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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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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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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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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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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The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering diamond investments
Warning Savings protection Warning The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering diamond investments
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Asset ManagerWealth ManagerBroker Dealer
The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
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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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The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering diamond investments
Warning Savings protection Miscellaneous assets Warning The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering diamond investments
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Asset ManagerWealth ManagerBroker Dealer
The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering binary options trading
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Broker DealerFintechCrypto Exchange
The Autorité des marchés financiers (AMF) warns the public against the activities of "Naftoil" and its director Mr Raphael Comté proposing investments services without being authorized to do so
Warning Savings protection The Autorité des marchés financiers (AMF) warns the public against the activities of "Naftoil" and its director Mr Raphael Comté proposing investments services without being authorized to do so
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Asset ManagerWealth Manager
The Autorité des marchés financiers (AMF) is publishing a list on its website of unauthorized diamond investments platforms
Warning Savings protection The Autorité des marchés financiers (AMF) is publishing a list on its website of unauthorized diamond investments platforms
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Asset ManagerWealth ManagerBroker Dealer
The Autorité des marchés financiers (AMF) warns the public against the activities of www.chs-capital.com engaging in unauthorized investment services
Warning Savings protection The Autorité des marchés financiers (AMF) warns the public against the activities of www.chs-capital.com engaging in unauthorized investment services
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Asset ManagerWealth ManagerBroker Dealer
The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering binary options
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering binary options
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Broker DealerFintechAll Firms
The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
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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:
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Asset ManagerWealth ManagerBank
The Autorité des Marchés Financiers (AMF) advises the clients of the websites
Warning Savings protection The Autorité des Marchés Financiers (AMF) advises the clients of the websites www.ytftradeltd.com, www.investing-area.com, www.buzztrade.com, www.binaryroyal.com and www.cfdroyal.com to contact AirFinance Pro Ltd, the owner of these websites, as soon as possible
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Broker DealerWealth ManagerFintech
The Autorité des Marchés Financiers (AMF) issues a public warning against the activities of unauthorized websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) issues a public warning against the activities of unauthorized websites offering binary options trading
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Broker DealerFintechCrypto Exchange
The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
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Broker DealerWealth ManagerFintech
The Autorité des marchés financiers (AMF) issues a public warning concerning communication from BLUE STONE LTD and companies related to it with respect to diamond investment offers
Warning Savings protection The Autorité des marchés financiers (AMF) issues a public warning concerning communication from BLUE STONE LTD and companies related to it with respect to diamond investment offers
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Asset ManagerWealth ManagerBroker Dealer
The Autorité des Marchés Financiers (AMF) warns the public about the 'KEYSTONE FUND'
Warning Savings protection The Autorité des Marchés Financiers (AMF) warns the public about the 'KEYSTONE FUND'
Sectors:
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Asset ManagerWealth ManagerBroker Dealer
The Autorité de Contrôle Prudentiel et de Résolution and the Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité de Contrôle Prudentiel et de Résolution and the Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Sectors:
Topics:
BankBroker DealerWealth Manager
The Autorité des Marchés Financiers (AMF) issues a public warning against the activities of unauthorised websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) issues a public warning against the activities of unauthorised websites offering binary options trading
Sectors:
Topics:
Broker DealerFintechCrypto Exchange
The Autorité des Marchés Financiers (AMF) issues a public warning against the activities of unauthorised websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) issues a public warning against the activities of unauthorised websites offering binary options trading
Sectors:
Topics:
Broker DealerFintechCrypto Exchange
The Autorité des Marchés Financiers (AMF) advises the clients of the websites www.interactiveoption.com, www.interactive-option.com, www.hellobrokers.com, www.mtxplus.com and www.pegasecapital.com to contact Pegase Capital
Warning Savings protection The Autorité des Marchés Financiers (AMF) advises the clients of the websites www.interactiveoption.com, www.interactive-option.com, www.hellobrokers.com, www.mtxplus.com and www.pegasecapital.com to contact Pegase Capital Ltd, the owner of these websites, as soon as possible
Sectors:
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Broker DealerWealth ManagerFintech
The Autorité de Contrôle Prudentiel et de Résolution and the Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité de Contrôle Prudentiel et de Résolution and the Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
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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
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Broker DealerFintechCrypto Exchange
The Autorité des Marchés Financiers (AMF) warns investors about binary options platforms copying the official information of duly regulated companies
Warning Savings protection The Autorité des Marchés Financiers (AMF) warns investors about binary options platforms copying the official information of duly regulated companies
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Topics:
Broker DealerCrypto Exchange
The Autorité de Contrôle Prudentiel et de Résolution and the Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité de Contrôle Prudentiel et de Résolution and the Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Sectors:
Topics:
BankBroker DealerWealth Manager
The Autorité de Contrôle Prudentiel et de Résolution and the Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité de Contrôle Prudentiel et de Résolution and the Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
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BankBroker DealerWealth Manager
The Autorité de contrôle prudentiel et de résolution (ACPR), the Autorité des marchés financiers (AMF) and the General Directorate for Competition Policy, Consumer Affairs and Fraud Control (DGCCRF)
Warning Savings protection The Autorité de contrôle prudentiel et de résolution (ACPR), the Autorité des marchés financiers (AMF) and the General Directorate for Competition Policy, Consumer Affairs and Fraud Control (DGCCRF) warn the public about "Plan B" and the website BourseBinaire.fr
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BankWealth ManagerBroker Dealer
The Autorité des Marchés Financiers (AMF) issues a public warning against the activities of unauthorised websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) issues a public warning against the activities of unauthorised websites offering binary options trading
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Broker DealerFintechCrypto Exchange
AMF urges caution when investing in SCPI shares under the Malraux and Real Estate Loss regimes
Warning Savings protection AMF urges caution when investing in SCPI shares under the Malraux and Real Estate Loss regimes
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Asset ManagerWealth Manager
The Autorité des Marchés Financiers (AMF) warns investors about GLOBAL METAL BROKER
Warning Savings protection The Autorité des Marchés Financiers (AMF) warns investors about GLOBAL METAL BROKER
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Broker Dealer
The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
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Broker DealerFintechCrypto Exchange
The Autorité des Marchés Financiers (AMF) warns about persons using its name and logo and impersonating the Ombudsman and her deputy
Warning Savings protection The Autorité des Marchés Financiers (AMF) warns about persons using its name and logo and impersonating the Ombudsman and her deputy
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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 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
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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
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Asset ManagerWealth ManagerBank
The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
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Broker DealerFintechAll Firms
The Autorité de Contrôle Prudentiel et de Résolution and The Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité de Contrôle Prudentiel et de Résolution and The Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
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BankBroker DealerWealth Manager
The Autorité des Marchés Financiers (AMF) is warning the public against sites misusing its name and logo and redirecting to binary option trading platforms.
Warning Savings protection Warning The Autorité des Marchés Financiers (AMF) is warning the public against sites misusing its name and logo and redirecting to binary option trading platforms.
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Broker DealerFintech
The Autorité de Contrôle Prudentiel et de Résolution and The Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité de Contrôle Prudentiel et de Résolution and The Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
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BankBroker DealerWealth Manager
The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
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Broker DealerFintechAll Firms
The French Prudential Supervisory Authority and the Autorité des Marchés Financiers warns the public against the company EMIRATES PACIFIC GROUP
Warning Savings protection Warning The French Prudential Supervisory Authority and the Autorité des Marchés Financiers warns the public against the company EMIRATES PACIFIC GROUP
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BankWealth Manager
The Autorité des Marchés Financiers (AMF) warns the public against the company GET EASY
Warning Savings protection The Autorité des Marchés Financiers (AMF) warns the public against the company GET EASY
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BankWealth ManagerFintech
The Autorité des Marchés Financiers (AMF) has issued a public warning against the activities of individuals impersonating the delegate of the AMF Ombudsman by making false referrals to FIN-NET, the European Commission body in charge of financial disputes
Warning Warning Financial disclosures & corporate financing The Autorité des Marchés Financiers (AMF) has issued a public warning against the activities of individuals impersonating the delegate of the AMF Ombudsman by making false referrals to FIN-NET, the European Commission body in charge of...
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BankWealth ManagerAll Firms
The Autorité des Marchés Financiers issues a public warning against the activities of the group CO&H Ltd
Warning Savings protection Warning The Autorité des Marchés Financiers issues a public warning against the activities of the group CO&H Ltd
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BankWealth Manager
The Autorité de Contrôle Prudentiel et de Résolution and The Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so.
Warning Savings protection Forex and binary options Warning The Autorité de Contrôle Prudentiel et de Résolution and The Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so.
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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.
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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 AMF denounces the use of its name in a news release by LinGold.com S.A., which operates the InvestDiamond.com platform
Warning Savings protection The AMF denounces the use of its name in a news release by LinGold.com S.A., which operates the InvestDiamond.com platform
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FintechCrypto Exchange
The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
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Broker DealerCrypto Exchange
The Autorité des Marchés Financiers and the Autorité de Contrôle Prudentiel et de Résolution warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so.
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers and the Autorité de Contrôle Prudentiel et de Résolution warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so.
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BankBroker DealerWealth Manager
The Autorité des Marchés Financiers warns the public against pyramid scheme investment offers
Warning Savings protection The Autorité des Marchés Financiers warns the public against pyramid scheme investment offers
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Asset ManagerWealth ManagerBank
The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
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Broker DealerCrypto Exchange
The Autorité des Marchés Financiers warns the public against the company PRIVATE CAPITAL
Warning Savings protection The Autorité des Marchés Financiers warns the public against the company PRIVATE CAPITAL
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BankWealth Manager
The Autorité des Marchés Financiers and the Autorité de Contrôle Prudentiel et de Résolution warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Warning Savings protection The Autorité des Marchés Financiers and the Autorité de Contrôle Prudentiel et de Résolution warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Sectors:
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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 The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Sectors:
Topics:
Broker DealerFintechAll Firms
The Autorité des Marchés Financiers and the Autorité de Contrôle Prudentiel et de Résolution warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Warning Savings protection The Autorité des Marchés Financiers and the Autorité de Contrôle Prudentiel et de Résolution warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Sectors:
Topics:
BankBroker DealerWealth Manager
The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Warning Savings protection The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Sectors:
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Broker DealerFintechAll Firms
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