Muzinich Co. Opens Adgm Office To Strengthen Middle East Presence
Muzinich Co. Opens Adgm Office To Strengthen Middle East Presence
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Asset ManagerBankWealth Manager
Investment Management
Regulations for asset managers, fund managers, and investment advisers.
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
ECB streamlines how it supervises banks’ internal models
No description available.
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BankAsset ManagerWealth Manager
Former Venture Egg, Reilly Financial and Interprac adviser Nicholas Hogan banned for four years
Former Venture Egg, Reilly Financial and Interprac adviser Nicholas Hogan banned for four years
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Wealth Manager
30 Mar 2026 Read more
30 Mar 2026 Read more
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BankCrypto ExchangeFintech
ECB sanctions BofA Securities Europe SA for breaching reporting requirements
No description available.
AI Analysis
The ECB imposed a €6.2 million penalty on BofA Securities Europe SA for intentionally breaching market risk reporting requirements between 2022 and 2024. The bank systematically underreported risk-weighted assets by including unauthorized sovereign bond option positions in its internal models, resulting in inflated capital ratios and misrepresented financial strength—a "severe" breach that signals the ECB's heightened enforcement focus on reporting accuracy and internal control governance.
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BankBroker Dealer
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
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung der Liste der sanktionierten natürlichen Personen, Unternehmen und Organisationen der Verordnung vom 21. März 2025 über Massnahmen gegenüber Personen und Organisationen, die mit den Organisationen ISIL (Da'esh) und Al-Kaida in Verbindung stehen (SR 946.231.08), publiziert.
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BankWealth ManagerAll Firms
ESAs spring risk update highlights geopolitical pressures and rising private finance risks
ESAs spring risk update highlights geopolitical pressures and rising private finance risks 27 March 2026 Joint Committee Risk monitoring The European Supervisory Authorities (EBA, EIOPA and ESMA – the ESAs) today published their spring 2026 Joint Committee update on risks and vulnerabilities in the EU financial system. The update focuses on the challenges arising from ongoing geopolitical tensions and developments in private finance. Geopolitical tensions continue to pose significant risks Th...
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BankAsset ManagerInsurance
Central Bank Appointments
The Central Bank Commission has appointed Elizabeth Mahon as Secretary of the Central Bank, effective 30 March. Elizabeth has also been appointed to the role of Head of Governance in the Central Bank. Elizabeth has more than 20 years' experience in financial services, principally in the banking sector, where her career has focused on strategy and implementation, management consulting, organisational change, and stakeholder management. Since 2022 she has worked at the Central Bank as Head of S...
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BankWealth Manager
The AMF clarifies its doctrine on several aspects relating to asset management companies
Asset management Regulatory developments The AMF clarifies its doctrine on several aspects relating to asset management companies
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Asset ManagerBank
My FCA marks first year with a single, streamlined sign in for all firms
As part of ongoing improvements to My FCA, and following the successful removal of RegData sign in at the end of last year, we have now removed direct access to Connect and the Online Invoicing System. Firms do not need to take any action. All existing RegData, Connect and Online Invoicing links and bookmarked pages will now automatically redirect to My FCA, where you can access all systems from a single homepage without signing in again. This makes managing your regulatory tasks quicker and ...
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BankWealth ManagerAll Firms
Governor Gabriel Makhlouf Calls for Genuine Single Market to Mobilise Europe’s Savings
Governor Gabriel Makhlouf of the Central Bank of Ireland today emphasised the critical need to strengthen Europe’s Single Market as the foundation for mobilising the continent’s substantial savings in an increasingly fragmented global environment.
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BankAsset ManagerWealth Manager
Bridge to the Future: Mobilising Europe's Savings in a Fragmenting World - Speech by Governor Gabriel Makhlouf at Eurofi
In his remarks, Governor Gabriel Makhlouf emphasised that Europe must mobilise its substantial savings by strengthening economic growth, completing the Single Market, and building more integrated capital markets, as capital currently flows abroad due to perceived higher returns elsewhere. He argued that central banks must anchor price stability and financial stability as preconditions for effective capital allocation, and that by addressing these fundamentals, European savings will naturally ...
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BankAsset ManagerBroker Dealer
Naperte Designated Activity Company (CLONE) - Central Bank of Ireland issues warning about unauthorised firm
Naperte Designated Activity Company (CLONE) - Central Bank of Ireland issues warning about unauthorised firm
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BankWealth ManagerAll Firms
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
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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
Update to Discount Window Facility pricing – Market Notice 27 March 2026
The Bank is today announcing a simplification and reduction in the Discount Window Facility (DWF) pricing, as part of its previously announced review of the DWF.
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BankWealth ManagerAsset Manager
ASIC applies to wind up 12 companies associated with NSW accountant and former solicitor Christopher Malcolm Edwards
ASIC applies to wind up 12 companies associated with NSW accountant and former solicitor Christopher Malcolm Edwards
Sectors:
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Asset ManagerWealth ManagerBank
Barclays PLC: BaFin imposes administrative fine
On 10 March 2026, BaFin imposed an administrative fine amounting to €1,650,000 on Barclays PLC. The reason for this fine was a breach of supervisory duties in connection with contraventions of the German Securities Trading Act (Wertpapierhandelsgesetz - WpHG). Between June 2022 and March 2023, Barclays PLC failed in 26 cases to submit voting rights notifications regarding a single issuer within the prescribed period.
AI Analysis
BaFin imposed a €1.65 million administrative fine on Barclays PLC on March 10, 2026, for failing to submit 26 voting rights notifications within the required four-trading-day deadline between June 2022 and March 2023. This enforcement action demonstrates BaFin's commitment to enforcing transparency requirements under the German Securities Trading Act (WpHG) and highlights the critical importance of robust internal controls for voting rights notification compliance.
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Broker DealerAsset ManagerBank
New speech by Kelvin Wong: Remarks at the Spring Dinner of the Institute of Securities Dealers
No description available.
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Broker DealerAsset Manager
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
International,Hosting Overseas Regulatory Officials at the Global Financial Partnership Center (28th Program: 12 Banking Regulatory Authorities)
No description available.
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BankAsset ManagerWealth Manager
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
FCA sets out next phase of smarter, more effective regulation
We have set out plans for using AI to speed up authorisations, testing new tools to identify key risks earlier, with our people remaining at the heart of decision-making. The new authorisation tool is being developed internally and will be integrated into existing FCA systems.It forms part of our annual work programme 2026/27, which lays out how we’re accelerating our ambition to be a smarter, more data-driven regulator.We will also use generative AI to support our efforts to modernise regula...
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BankWealth ManagerFintech
Bank of England streamlines reporting and disclosure requirements for bank failure regime
The Bank of England and Prudential Regulation Authority have finalised a package of changes to firms’ resolution reporting and disclosure requirements which reduces the burden of regulation while maintaining a robust and credible regime that supports growth and competition.
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BankWealth Manager
Pedro Machado: From vision to reality: turning the savings and investments union into Europe’s financial cornerstone
No description available.
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BankAsset ManagerBroker Dealer
Quarterly Bulletin No.1 2026: Renewed surge in international energy prices tests domestic economic resilience
Renewed surge in international energy prices tests domestic economic resilience Higher oil and gas prices are expected to lead to lower growth and higher inflation than previously expected. The extent is dependent on the duration of the conflict and the scale of damage to critical infrastructure in the Middle East. MDD is forecast to grow by 2.8 per cent per annum on average from 2026 to 2028 in the baseline forecast, with inflation averaging 2.5 per cent per annum over that period. More seve...
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BankAsset ManagerWealth Manager
Superintendent Routledge to participate in virtual fireside chat at Bank of America Expert Insights Series on March 30, 2026
Superintendent Routledge to participate in virtual fireside chat at Bank of America Expert Insights Series on March 30, 2026
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BankAsset ManagerWealth Manager
FCA plans to help people get more financial advice for important decisions
More people could access financial advice, under proposals set out by FCA. The FCA is consulting on how to make it easier for firms to give more simplified forms of individualised financial advice to consumers.Simplified forms of advice can help consumers with more straightforward needs and do not require a full assessment of all their financial circumstances, making it more accessible and affordable.Sarah Pritchard, deputy chief executive of the FCA, said:'For too long the support people nee...
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Asset ManagerWealth ManagerBank
Anneli Tuominen: Interview with Anneli Tuominen for Die Presse
No description available.
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BankWealth ManagerAll Firms
SFC obtains court order to freeze assets worth up to $219 million belonging to suspected manipulators of KNT shares
No description available.
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BankBroker DealerAsset Manager
CSSF Newsletter No 302 – March 2026
No description available.
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BankAsset ManagerWealth Manager
Robustness - speech by Huw Pill
Speech at the National Bank of the Republic of North Macedonia and SUERF conference – Central Banking Amid Persistent Global Shifts: Fostering Stability, Innovation, and Resilience, Skopje
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BankWealth ManagerFintech
J.P. Morgan Asset Management (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
J.P. Morgan Asset Management (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
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Asset ManagerBank
Pedro Machado: Changing the tune but not the tone: synthetic risk transfers in Europe
No description available.
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BankAsset ManagerBroker Dealer
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
Patrick Montagner: Making supervision more effective without compromising resilience
No description available.
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BankAsset ManagerWealth Manager
Patrick Montagner: Embracing harmonisation and diversity
No description available.
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BankWealth ManagerAll Firms
Patrick Montagner: Banking supervision in a fragmented credit market: interconnections matter
No description available.
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BankAsset ManagerWealth Manager
Festgeldplan(.)com: BaFin warns about website and identity fraud
The German Financial Supervisory Authority (BaFin) warns about offers from the website festgeldplan(.)com. According to information available to BaFin, the unknown operators of the website are offering financial services without the required authorisation. They give the impression that their offers originate from WPV Advisory & Asset Management GmbH & Co. KG, which is supervised by BaFin. It is a case of identity fraud. WPV Advisory & Asset Management GmbH & Co. KG has no connection with the ...
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BankWealth ManagerFintech
Wertede: BaFin warns consumers about the services offered on the websites wertede(.)com and wertede(.)cc
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the websites wertede(.)com and wertede(.)cc. According to information available to BaFin, the operator is providing financial and investment services on this website without the required authorisation.
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BankFintechCrypto Exchange
Claudia Buch: Interview with Naftemporiki
No description available.
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BankAsset ManagerWealth Manager
Publication,FSA Weekly Review No.680 March 23, 2026
No description available.
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Topics:
BankAsset ManagerInsurance
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
Regulatory Notice 26-09
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
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Broker DealerAsset Manager
Asset Purchase Facility: Gilt Sales – Market Notice 20 March 2026
This Market Notice sets out the schedule for sales in Q2 2026 of gilts held in the Asset Purchase Facility (APF) for monetary policy purposes.
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BankAsset ManagerBroker Dealer
What the (latest) Middle East conflict means for inflation, growth, and monetary policy in Europe
In his latest blog Governor Gabriel Makhlouf explains that the Governing Council held rates steady at 2 per cent due to new geopolitical uncertainty from Middle East tensions, which risk pushing energy prices and headline inflation above the 2 per cent target whilst dampening growth. The Bank will monitor inflation expectations and wage dynamics closely to prevent the energy shock from becoming embedded in persistent above-target inflation, as occurred after the Ukraine crisis.
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BankAsset ManagerWealth Manager
Investigation into Market Financial Solutions Limited
We have opened an enforcement investigation into Market Financial Solutions Limited (MFS). MFS is an Annex 1 business, which is solely registered with and supervised by us for its compliance with the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017.Annex 1 registered firms are not authorised or subject to wider FCA regulation.MFS entered administration on 25 February 2026.
AI Analysis
The FCA has opened an enforcement investigation into Market Financial Solutions Limited (MFS) following the firm's entry into administration on 25 February 2026, amid allegations of serious financial irregularities, fraud, and double-pledging of collateral. This investigation is significant because it represents regulatory scrutiny of an Annex 1 business—a firm with limited FCA oversight—whose collapse exposed structural weaknesses in private credit markets and raised questions about due diligence practices across the financial sector.
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BankAll Firms
Tradealles(.)com: BaFin warns consumers about website and identity fraud
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website tradealles(.)com. BaFin has information that this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
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BankFintechCrypto Exchange
Identity fraud: BaFin warns consumers about the website panthera-gmbh(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website panthera-gmbh(.)com. BaFin suspects the unknown operators of the website of offering consumers financial and investment services without the required authorisation.
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BankWealth ManagerFintech
How technology is changing the pensions conversation
Speech by Nikhil Rathi, FCA chief executive, at the JP Morgan Pensions and Savings Symposium 2026. Last year, I spoke about the importance of getting on the right track.That if we want better consumer outcomes – as well as stronger capital markets to support growth – we need to think beyond individual products and look at the whole financial journey.How pensions interact with housing wealth…How savings interact with advice…And how all these decisions evolve across a lifetime.Over the past yea...
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Asset ManagerBankWealth Manager
BaFin warns consumers about the website gfi-hold(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website gfi-hold(.)com. BaFin has information that this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
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BankFintechCrypto Exchange
Development of the banks' financial situation over the last years
Situation as at 31 December 2025
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BankWealth ManagerAll Firms
Federal Court declares Macquarie contravened the Corporations Act in relation to Shield Master Fund
Federal Court declares Macquarie contravened the Corporations Act in relation to Shield Master Fund
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Asset ManagerWealth ManagerBank
Warning concerning persons misusing the name of the Chair of the CSSF Board
(first publication: 30 October 2024)
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BankWealth ManagerAll Firms
Development of the bank's balance sheet total
Situation as at 31 December 2025
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BankAsset ManagerWealth Manager
Quarterly development of employment in banks
Situation as at 31 December 2025
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BankAsset ManagerWealth Manager
MAS Partners Industry to Develop AI Risk Management Toolkit for the Financial Sector
MAS announced the successful conclusion of phase two of Project MindForge, which culminates in the publication of an Artificial Intelligence (AI) Risk Management Toolkit for the financial services sector.
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BankFintechAsset Manager
List of members of the Investment Fund Managers Committee (Updated)
No description available.
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Asset ManagerWealth ManagerBank
International,The fourth meeting of the Japan-UK Financial Regulatory Forum
No description available.
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BankAsset ManagerBroker Dealer
Communication regarding management notifications and de-notifications with a European passport for Luxembourg-domiciled IFMs
No description available.
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Asset Manager
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:
Topics:
Wealth ManagerFintech
Bank Rate maintained at 3.75% - March 2026 Monetary Policy Summary and Minutes
The Bank of England’s Monetary Policy Committee is responsible for making decisions about Bank Rate.
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BankAsset ManagerWealth Manager
Callanor -Central Bank of Ireland Issues Warning on Unauthorised Firm
Callanor - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
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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Asset ManagerBroker DealerCrypto Exchange
Legal department - Consumer protection / financial crime (Updated)
Out-of-court consumer complaint resolution
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BankWealth ManagerFintech
Crowdfunding: the AMF reminds platforms of their complaint handling obligations
Asset management Crowdfunding: the AMF reminds platforms of their complaint handling obligations
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Asset ManagerBroker DealerWealth Manager
Warning concerning fraudulent activities by persons misusing the name of JPMorgan Asset Management (Europe) S.à r.l.
No description available.
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Asset ManagerBankWealth Manager
SEC confirms exemption for directors and officers of EEA Foreign Private Issuers
SEC confirms exemption for directors and officers of EEA Foreign Private Issuers 18 March 2026 Market Abuse Post Trading The United States Securities and Exchange Commission (SEC) has decided to exempt directors and officers of European Economic Area (EEA) foreign private issuers (FPIs) from the reporting requirements under Section 16(a) of the US Securities Exchange Act of 1934. The SEC’s decision means that directors and officers of EEA FPIs will not be required to comply with these specifi...
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Asset ManagerBroker DealerBank
Communication to the investment fund industry
in relation to additional liquidity management requirements for Luxembourg-domiciled UCITS, or where applicable their management company, and Luxembourg-authorised AIFMs that manage open-ended AIFs, introduced by the Law of 3 March 2026, transposing Directive (EU) 2024/927 of the European Parliament and of the Council of 13 March 2024
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Asset ManagerBank
Claudia Buch: Hearing of the Committee on Economic and Monetary Affairs of the European Parliament
No description available.
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Topics:
BankAsset ManagerWealth Manager
ECB Annual Report on supervisory activities 2025
No description available.
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BankAsset ManagerWealth Manager
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:
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Wealth ManagerAll Firms
Circular letter
Latest update on the AML/CFT standardised data collection
AI Analysis
This CSSF circular letter addresses the 2026 AML/CFT standardised data collection exercise, aligning with AMLA's EU-wide initiatives by adopting AMLA-developed templates for most supervised entities while requiring specialised professionals to use CSSF-specific forms. It matters for Luxembourg financial firms as it mandates reporting on ML/TF risks and mitigation measures to support consistent EU supervision, with recent delays emphasizing preparation needs amid evolving templates.
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BankAsset ManagerAll Firms
ECB publishes supervisory banking statistics on significant institutions for the fourth quarter of 2025
No description available.
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BankAsset ManagerWealth Manager
SFC publishes review on SEHK’s performance in regulating listing matters
No description available.
Sectors:
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All Firms
ASIC launches financial complaints data dashboard
ASIC launches financial complaints data dashboard
Sectors:
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BankWealth ManagerAll Firms
Regulatory Notice 26-08
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
Sectors:
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Broker DealerBankAsset Manager
SEC Publishes Data on Public and Private Offerings, Municipal Advisors, Transfer Agents, and Securities-Based Swap Dealers
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published a new report on security based swap dealers (SBSDs) and updated statistics and data visualizations on initial public offerings (IPOs), follow-on registered…
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Broker DealerAsset Manager
DORA – Register of Information collection - Update
No description available.
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BankWealth ManagerAll Firms
Modernising the liquidity framework for banks and building societies - speech by Phil Evans
Given at University of Leeds, Cloth Hall Court, Leeds
Sectors:
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BankWealth ManagerAll Firms
Council Implementing Regulation (EU) 2026/613 of 16 March 2026
implementing Regulation (EU) No 269/2014 concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine
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BankWealth ManagerAsset Manager
Publication,FSA Weekly Review No.679 March 17, 2026
No description available.
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BankFintechPayment Provider
Development of the balance sheet total and provisional net results of specialised PFS
Situation as at 31 January 2026
Sectors:
Topics:
BankAsset ManagerWealth Manager
Development of the balance sheet total and provisional net results of support PFS
Situation as at 31 January 2026
Sectors:
Topics:
BankAsset ManagerWealth Manager
Special Notice – 3/17/26
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
Sectors:
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Broker DealerAsset ManagerAll Firms
Ben Gully appointed as the next Secretary General of the Basel Committee on Banking Supervision
Ben Gully appointed as the next Secretary General of the Basel Committee on Banking Supervision
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Topics:
BankAsset ManagerWealth Manager
SEC Announces Enforcement Division Director Judge Margaret A. Ryan Has Resigned From Agency
The Securities and Exchange Commission today announced that Judge Margaret A. Ryan has resigned from her role as Director of the Division of Enforcement. Principal Deputy Director Sam Waldon has been named Acting Director of the Division, effective March…
AI Analysis
Judge Margaret A. Ryan, who assumed the role of SEC Enforcement Division Director in August 2025 and signaled a significant recalibration of enforcement priorities toward fraud and market integrity while reducing enforcement actions for technical violations, has resigned from the agency. Principal Deputy Director Sam Waldon has been named Acting Director, creating immediate uncertainty regarding continuity of the enforcement approach that was just articulated in February 2026 and may signal a shift in the SEC's enforcement trajectory going forward.
Sectors:
Topics:
Broker DealerAsset ManagerBank
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:
Topics:
BankFintechCrypto Exchange
eDesk – Disruptions on Monday 16 March 2026
No description available.
Sectors:
Topics:
BankWealth ManagerFintech
Council Implementing Regulation (EU) 2026/695 of 14 March 2026
implementing Regulation (EU) No 269/2014 concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine
Sectors:
Topics:
BankWealth ManagerAsset Manager
SSM Calendar Claude Wampach – 12/2025
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
GBP LDI Funds Reporting Template (Updated)
No description available.
Sectors:
Topics:
Asset ManagerWealth Manager
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.
Sectors:
Topics:
Asset ManagerBroker Dealer
FCA bans Kasim Garipoglu from working in UK financial services
KasimGaripoglu has been banned from working in UK financial services. The FCA found he is not fit and proper because of his lack of honesty and integrity. Mr Garipoglu is the owner of a firm that provided online trading of foreign exchange and contracts.Between April 2012 and December 2022, including when Mr Garipoglu was the chief executive and director at the firm and an approved person, he repeatedly demonstrated a disregard for regulatory requirements, undermined compliance and anti‑money...
Sectors:
Topics:
BankWealth ManagerFintech
BaFin warns consumers about the website mbspoint(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about MBS Point and the services it is offering. BaFin suspects the unknown operators of the website mbspoint(.)com of offering consumers financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankFintechCrypto Exchange
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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Topics:
Asset ManagerWealth Manager
BaFin warns consumers about the Gainorex Investment app
The Federal Financial Supervisory Authority (BaFin) warns consumers about the Börsenblick A-001 WhatsApp group. In the WhatsApp group, consumers are encouraged to use the Gainorex Investment app to trade in financial instruments. BaFin suspects the unknown operators of offering consumers banking business and/or financial services without the required authorisation. The operators are not supervised by BaFin.
Sectors:
Topics:
BankFintechAll Firms
Equity Research Ventures PTE. LTD. („AlleAktien“): evidence indicates no prospectus published
The Federal Financial Supervisory Authority (BaFin) has evidence indicating that Equity Research Ventures PTE. LTD., purportedly domiciled in Singapore, is offering capital investments under the name “Co-Investment AlleAktien Wealth x SpaceX” to the public in Germany without the required prospectus. These capital investments are being offered in the form of “other capital investments” within the meaning of section 1 (2) no. 7 of the German Capital Investment Act (Vermögensanlagengesetz - Verm...
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Topics:
Asset ManagerWealth ManagerBroker Dealer
ASIC disqualifies Victorian director for maximum 5-year period
ASIC disqualifies Victorian director for maximum 5-year period
Sectors:
Topics:
BankWealth ManagerFintech
New speech by Kelvin Wong: Keynote address at HKICPA’s Financial Services Interest Group Cocktail Reception
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
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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Topics:
Asset ManagerWealth ManagerBank
Data as a dialogue – speech by Vicky White
Given at Connect Global Group 4th Annual Treasury and Capital Markets Forum
Sectors:
Topics:
BankAsset ManagerWealth Manager
Prometheus Investment Alliance: BaFin warns against offers in WhatsApp groups
The German Financial Supervisory Authority (BaFin) warns against offers made by Prometheus Investment Alliance (PIA), which claims to be based in the United States of America and Frankfurt am Main, on the website prometheus-alliance(.)de and in various WhatsApp groups. In the WhatsApp groups run by the alleged Achim Falkenberg and his assistant Bertha, consumers are tricked into trading financial products via the QVTcoinese-Pro app using the ‘Genialer Intelligenter Roboter 5.0’ trading system.
Sectors:
Topics:
BankFintechAll Firms
Aktualisierte Sanktionsmeldung: Taliban
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung der Liste der sanktionierten natürlichen Personen, Unternehmen und Organisationen der Verordnung vom 21. März 2025 über Massnahmen gegenüber Personen und Gruppen, die mit den Taliban in Verbindung stehen (SR 946.231.07), publiziert.
Sectors:
Topics:
BankWealth ManagerAll Firms
VYNEX Trade: BaFin warns against offers in WhatsApp groups and against Lirunex Trading app
The Federal Financial Supervisory Authority BaFin warns against offers in WhatsApp groups, which are operated by alleged company VYNEX Trade. According to information available to BaFin, recommendations for the purchase of financial instruments and cryptocurrencies are offered in various WhatsApp groups, which can allegedly be traded via Lirunex Trading app and the following platforms:
Sectors:
Topics:
BankFintechCrypto Exchange
Concept Capital Group update: administrators appointed
On 9 March 2026, the High Court placed Concept Capital Group (CCG) into administration. BTG are the administrators of the company. In July 2025, the FCA announced High Court proceedings against CCG and others over an alleged unauthorised investment scheme. CCG has been under a court order that temporarily froze its assets since then.CCG had promoted investments in static homes. CCG claimed these would be let to social housing tenants placed by local councils. Investors were promised fixed ret...
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Topics:
Asset ManagerWealth Manager
Interpretative note
Delay in the 2026 AML/CFT standardised data collection
Sectors:
Topics:
BankAsset ManagerWealth Manager
Reporting template
Delay in the 2026 AML/CFT standardised data collection
Sectors:
Topics:
BankAsset ManagerWealth Manager
Profit and loss account of credit institutions as at 31 December 2025 (only in French)
Press release 26/06
Sectors:
Topics:
BankAsset ManagerWealth Manager
Public Hearings organised by AMLA on 24 March 2026
No description available.
Sectors:
Topics:
BankWealth ManagerAll Firms
TGI AG: evidence indicates no prospectus published
The Federal Financial Supervisory Authority (BaFin) has evidence indicating that TGI AG, domiciled in Vaduz, Principality of Liechtenstein, is offering capital investments to the public in Germany called “discounted gold purchases” (Goldkauf mit Rabatt). In return for the temporary provision of money, these investments grant interest and the physical delivery of gold. In contravention of section 6 of the German Capital Investment Act (Vermögensanlagengesetz - VermAnlG), no prospectus has been...
Sectors:
Topics:
BankWealth ManagerAll Firms
BaFin warns consumers about the series of platforms with the slogan “Invest and trade 300+”
The Federal Financial Supervisory Authority (BaFin) warns consumers about a series of almost identical websites. According to information available to BaFin, this website is being used to offer financial, investment and cryptoasset services without the required authorisation. The operators of the website are not supervised by BaFin.
Sectors:
Topics:
BankFintechCrypto Exchange
ASIC disqualifies Simon Raftery from managing corporations for two and a half years
ASIC disqualifies Simon Raftery from managing corporations for two and a half years
Sectors:
Topics:
BankWealth ManagerAll Firms
SFC and ICAC joint operation in alleged insider dealings and corruption involving senior executives of licensed corporations
No description available.
Sectors:
Topics:
Asset ManagerBroker DealerHedge Fund
List of professional activities and mandates performed by members of the management body/governing body and by conducting officers (points 105 and 107 of Circular CSSF 18/698) (Updated)
Table listing the professional activities and the mandates performed
AI Analysis
This CSSF publication is an updated table (in XLSX format) listing standardized professional activities and mandates for members of the management body/governing body and conducting officers, as required under points 105 and 107 of Circular CSSF 18/698. It matters because it ensures consistent, transparent reporting of senior personnel roles in Luxembourg investment fund managers (IFMs), supporting governance, conflict-of-interest management, and CSSF supervisory oversight. Compliance professionals must use this list to standardize disclosures in authorization files and ongoing reporting.
Sectors:
Topics:
Asset ManagerBankAll 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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Topics:
BankCrypto ExchangeAll Firms
Global situation of undertakings for collective investment at the end of January 2026
Press release 26/05
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Topics:
Asset ManagerWealth Manager
Circular letter
Delay in the 2026 AML/CFT standardised data collection
AI Analysis
The CSSF circular letter dated 11 March 2026 announces a delay in its planned AML/CFT standardised data collection exercise originally scheduled for 2026, primarily due to overlap with a concurrent broad-scope data collection by the European Anti-Money Laundering Authority (AMLA). This matters for compliance professionals as it reduces immediate reporting burdens on supervised entities, promotes regulatory simplification, and aligns Luxembourg practices with emerging EU AML/CFT methodologies, allowing firms to redirect resources to the mandatory AMLA exercise.
Sectors:
Topics:
BankAsset ManagerAll Firms
Charges discontinued in Capital Mining Limited matter
Charges discontinued in Capital Mining Limited matter
Sectors:
Topics:
BankWealth ManagerAsset Manager
Publication,FSA Weekly Review No.678 March 10, 2026
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
New speech by Julia Leung: Remarks at the Investor and Financial Education Award 2025 Presentation Ceremony
No description available.
Sectors:
Topics:
Asset ManagerWealth ManagerAll Firms
New speech by Kelvin Wong: Remarks at the Investor and Financial Education Award 2025 Presentation Ceremony
No description available.
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Basic statistical data on UCIs – January 2026 (only in French)
No description available.
Sectors:
Topics:
Asset ManagerWealth Manager
ASIC bans former MWL Financial Services Adviser Raluca Terheci for a period of 6 years
ASIC bans former MWL Financial Services Adviser Raluca Terheci for a period of 6 years
Sectors:
Topics:
Wealth Manager
Net assets of UCIs
Situation as at 31 January 2026
Sectors:
Topics:
Asset ManagerWealth Manager
Issuers of securities whose home Member State is Luxembourg pursuant to the Law of 11 January 2008
Situation as at 28 February 2026
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Breakdown according to currency
Situation as at 31 January 2026
Sectors:
Topics:
Asset ManagerBankWealth Manager
Origin of UCI initiators in Luxembourg
Situation as at 31 January 2026
Sectors:
Topics:
Asset ManagerWealth Manager
Number of UCIs
Situation as at 31 January 2026
Sectors:
Topics:
BankAsset ManagerWealth Manager
Investment policy of UCIs
Situation as at 31 January 2026
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF analyses the typology of participants on the French equity market over the past five years.
Shares Asset management Post-trading infrastructures The AMF analyses the typology of participants on the French equity market over the past five years.
Sectors:
Topics:
Asset ManagerBankBroker Dealer
Frank Elderson: Nature in decline, economy on the line: the importance of international cooperation for managing nature-related risks
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Brisbane financial advisor and auditor, Sunny Prakash, charged with multiple counts of stealing and fraud
Brisbane financial advisor and auditor, Sunny Prakash, charged with multiple counts of stealing and fraud
Sectors:
Topics:
Wealth Manager
New speech by Kelvin Wong: Keynote remarks at the Hong Kong Securities and Investment Institute Chairman’s Cocktail
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
MAS-ESS Essay Competition 2026
Singapore, 9 March 2026…The Monetary Authority of Singapore (MAS) and the Economic Society of Singapore (ESS) today launched the MAS-ESS Essay Competition 2026. The theme for this year’s competition is “Singapore’s AI-Driven Economic Future: How can artificial intelligence reshape our industries, workforce, and competitive advantage while ensuring inclusive growth and managing disruption?”.
Sectors:
Topics:
BankWealth ManagerFintech
Opening Remarks by Mr Alvin Tan, Minister of State, Ministry of National Development and Ministry of Trade and Industry and Board Member, Monetary Authority of Singapore at the Opening of Nasdaq’s New Office in Singapore on 9 March 2026
At the opening of Nasdaq’s new office in Singapore, Mr Alvin Tan, Minister of State, Ministry of National Development & Ministry of Trade and Industry, and Board Member of MAS, highlighted the Global Listing Board as a "digital bridge" connecting Asian and US markets, and emphasised Singapore's broader efforts to strengthen its startup ecosystem through various initiatives.
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Topics:
Asset ManagerBroker DealerBank
Licensed Fund Management Company And Its Officers Investigated For Suspected Money Laundering And Suspected Failure To Comply With Obligations As A Licensed Capital Markets Services Licence Holder
The Police and MAS jointly conducted enforcement operations against Capital Asia Investments Pte Ltd and its directors for suspected money laundering offences under Section 54 of the Corruption, Drug Trafficking and Other Serious Crimes (Confiscation of Benefits) Act 1992, and suspected failure to comply with various obligations as a licensed capital markets services licence holder under the Financial Services and Markets Act 2022.
Sectors:
Topics:
Asset ManagerBankBroker Dealer
Regulatory Notice 26-07
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
Sectors:
Topics:
Broker DealerAsset Manager
Publication,Publication of "FSA Analytical Notes (2026.3): An Empirical Examination toward a Multi‑faceted Understanding of the OTC Derivatives Market"
No description available.
Sectors:
Topics:
BankAsset Manager
Administrative sanction of 2 December 2025
Administrative sanction imposed on a réviseur d’entreprises agréé
AI Analysis
The CSSF imposed an administrative sanction on 2 December 2025 against an approved statutory auditor (*réviseur d’entreprises agréé*) for breaches of professional obligations, likely related to continuing education requirements under Luxembourg's Audit Law, mirroring patterns in recent similar cases. This enforcement action underscores the CSSF's rigorous oversight of audit professionals, emphasizing compliance with ongoing training mandates to maintain audit quality and market integrity. Compliance professionals should note it as evidence of heightened scrutiny on non-delegable professional duties.
Sectors:
Topics:
All Firms
Administrative sanction of 2 December 2025
Administrative sanction imposed on a réviseur d’entreprises agréé
AI Analysis
The CSSF imposed an administrative sanction on 2 December 2025 against an approved statutory auditor (*réviseur d’entreprises agréé*) for breaches of professional obligations, likely related to continuing education requirements under Luxembourg's Audit Law, mirroring patterns in recent similar cases. This enforcement action underscores the CSSF's rigorous oversight of audit professionals, emphasizing compliance with ongoing training mandates to maintain audit quality and market integrity. Compliance professionals should note it as evidence of heightened scrutiny on non-compliance with minimum continuing education hours.
Sectors:
Topics:
All Firms
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (February 27, 2026)
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Additional charges brought against financial services company director
Additional charges brought against financial services company director
Sectors:
Topics:
Wealth ManagerBankFintech
Federal Court finds two Star Entertainment senior executives breached duties, non-executive directors did not breach duties
Federal Court finds two Star Entertainment senior executives breached duties, non-executive directors did not breach duties
Sectors:
Topics:
BankWealth ManagerAll Firms
ASIC files Court action to wind up Liberty Bell Bay after failures to lodge financial reports
ASIC files Court action to wind up Liberty Bell Bay after failures to lodge financial reports
Sectors:
Topics:
BankAsset ManagerWealth Manager
exomarkets(.)pro: BaFin warns consumers about website and identity theft
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website exomarkets(.)pro. According to information available to BaFin, this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankFintechCrypto Exchange
Warning concerning the websites www.goldingfx.com, www.goldingdigital.com and www.goldingdigital.net
No description available.
Sectors:
Topics:
BankWealth ManagerFintech
Oral reply to Parliamentary Question on Singapore dollar Malaysia ringgit exchange rate
Oral reply to Parliamentary Question on Singapore dollar Malaysia ringgit exchange rate
Sectors:
Topics:
BankWealth ManagerAll Firms
"Strengthening Foundations and Driving Value Creation in Singapore's Listed Companies" - Address by Mr Chia Der Jiun, Managing Director of the Monetary Authority of Singapore, at the Singapore Institute of Directors’ inaugural Chairpersons Guild Forum on 6 March 2026
At the Singapore Institute of Directors’ inaugural Chairpersons Guild Forum on 6 March 2026, Mr Chia Der Jiun, Managing Director of the Monetary Authority of Singapore, spoke about the role of boards and strong board leadership in influencing strong shareholder outcomes, and highlighted how MAS would support the efforts of chairpersons and boards in putting in place such good practices in place.
Sectors:
Topics:
Asset ManagerBankBroker Dealer
SEC Investor Advisory Committee to Host March 12 Meeting
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on March 12 at 10 a.m. ET to discuss public company disclosure reform, fund proxy voting, and a potential…
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
Central Bank of Ireland Launches Discussion Paper on Tokenisation and Distributed Ledger Technology in Financial Services
Central Bank of Ireland today published a Discussion Paper examining the potential role of Distributed Ledger Technology (DLT) and tokenisation in the financial system . Deputy Governor Vasileios Madouros, commenting on the publication, said: “Distributed ledger technology and tokenisation have the potential to transform how financial services are delivered. We believe this technology, if enabled and deployed correctly, can change the financial system for the better, including by helping the ...
AI Analysis
The Central Bank of Ireland (CBI) has launched Discussion Paper 12 (DP12) on Distributed Ledger Technology (DLT) and tokenisation in financial services to explore their transformative potential in areas like markets, funds, payments, and money, while assessing opportunities, risks, and enablers such as legal clarity and interoperability. This matters for compliance professionals as it signals CBI's proactive stance on integrating these technologies into a resilient financial system, aligning with EU ambitions like the Savings and Investment Union, and invites stakeholder input to shape future policy without proposing immediate rules. (Source: https://www.centralbank.ie/news/article/press-release-discussion-paper-tokenisation-and-distributed-ledger-technology-in-financial-services-5-march-26 [publication]; https://www.arthurcox.com/insights/central-bank-issues-discussion-paper-on-dlt-tokenisation-in-financial-services/ )
Sectors:
Topics:
Asset ManagerBankFintech
Pedro Machado: Interview with Reuters
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Impax Stocker (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Impax Stocker (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
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...
Sectors:
Topics:
Wealth Manager
Regulators launch GenA.I. Sandbox++ to foster A.I. innovation across financial services
No description available.
Sectors:
Topics:
BankAsset ManagerFintech
Aurenbridge Alliance: BaFin warns consumers about the website aurenbridge(.)com and offers in WhatsApp groups
The Federal Financial Supervisory Authority (BaFin) warns consumers about the website aurenbridge(.)com and WhatsApp groups operated under the company name Aurenbridge Alliance (e.g. “Aurenbridge Alliance (ABA)”). In these WhatsApp groups, consumers are encouraged to use an app called Cryplus to trade in financial instruments and cryptoassets. BaFin suspects the unknown operators of offering consumers financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankFintechCrypto Exchange
SFC obtains compensation and disqualification orders against former executive director of Coolpad Group Limited
No description available.
Sectors:
Topics:
BankBroker DealerAsset Manager
MAS Sets Supervisory Expectations on Financial Institutions for Transition Planning Practices in addressing Environmental Risk
MAS today issued three Guidelines on Environmental Risk Management - Transition Planning to separately set out MAS’ supervisory expectations for banks, insurers and asset managers to manage the transition and physical risks they and their portfolios face from climate change.
Sectors:
Topics:
BankAsset ManagerInsurance
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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Topics:
Asset ManagerWealth Manager
Warning concerning the website www.parefturn.fund
No description available.
Sectors:
Topics:
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...
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
Patrick Montagner: Deepening integration, enhancing scale and completing the Single Market
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Examination of professional competence for “réviseurs d’entreprises” (statutory auditors) – 2025 Session (only in French)
No description available.
Sectors:
Topics:
BankWealth ManagerAll Firms
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.
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
ASIC disqualifies NSW director for the maximum period of five years
ASIC disqualifies NSW director for the maximum period of five years
Sectors:
Topics:
BankWealth ManagerAll Firms
Written reply to Parliamentary Question on green, social, sustainability, and sustainability-linked loans
Written reply to Parliamentary Question on green, social, sustainability, and sustainability-linked loans
Sectors:
Topics:
BankAsset ManagerWealth Manager
Written reply to Parliamentary Question on Philanthropic Contributions by Single Family Offices
Written reply to Parliamentary Question on Philanthropic Contributions by Single Family Offices
Sectors:
Topics:
Family Office
04 Mar 2026 Read more
04 Mar 2026 Read more
Sectors:
Topics:
BankWealth ManagerFintech
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung der Verordnung vom 21. März 2025 über Massnahmen gegenüber Personen und Organisationen, die mit den Organisationen ISIL (Da'esh) und Al-Kaida in Verbindung stehen (SR 946.231.08) publiziert.
Sectors:
Topics:
BankWealth ManagerAll Firms
New investment funds drive reduction in costs to investors
New investment funds drive reduction in costs to investors 03 March 2026 Fund Management Press Releases Risk monitoring The European Securities and Markets Authority (ESMA), the EU financial markets regulator and supervisor, today publishes its 2025 market report on the costs and performance of EU retail investment products . This eighth Costs and Performance report shows that ongoing costs in the EU continued to decline in 2024. This is however mostly due to new investment funds entering the...
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
Publication,FSA Weekly Review No.677 March 3, 2026
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Publication,Publication of AI Discussion Paper (Version 1.1)
No description available.
AI Analysis
The Financial Services Agency (FSA) has released the **AI Discussion Paper (Version 1.1)**, an updated consultation document addressing the sound utilization of artificial intelligence in Japan's financial sector. This revised version incorporates stakeholder feedback from the FSA AI Public-Private Forum (June-December 2025) and establishes the regulatory foundation for how financial institutions should approach AI governance, risk management, and compliance as AI adoption accelerates.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
watchvestvermittlung(.)com / wv-vermittlung(.)com: BaFin warns about websites and indicates identity fraud at the expense of Watchvest GmbH
The German Financial Supervisory Authority (BaFin) warns about offers from the websites watchvestvermittlung(.)com and wv-vermittlung(.)com. According to information available to BaFin, the unknown operators of the website are offering banking services, in particular fixed-term deposits, and financial services without the required authorisation. They give the impression that their offers originate from Watchvest GmbH. It is a case of identity fraud. Watchvest GmbH has no connection with the w...
Sectors:
Topics:
BankWealth ManagerFintech
OPBAS identifies areas where anti-money laundering supervisors can improve
The latest report from the Office for Professional Body Anti-Money Laundering Supervision (OPBAS) finds there is still room for improvement. The anti-money laundering supervisors of professional services firms are more effective than at any time since 2018. However, OPBAS remains concerned that their enforcement lacks the teeth to deter firms from falling short of minimum standards.OPBAS’s latest report found Professional Body Supervisors (PBSs) generally continue to demonstrate good levels o...
Effective Date: 31 December 2018
Sectors:
Topics:
BankWealth ManagerAll Firms
CapitalFM: BaFin warns against offers on the website capitalfm(.)io
The Federal Financial Supervisory Authority BaFin warns against offers on the website capitalfm(.)io. According to information available to BaFin, the operator is providing financial and investment services without the required authorisation.
Sectors:
Topics:
BankFintechAll Firms
UK Listing Rules for investment entities review
We are bringing forward a review of some aspects of the UK Listing Rules to consider how they apply to specific types of investment entities. As part of the Primary Markets EffectivenessReviewwe explored which types of investment entities could be eligible to be listed. Since introducing the new listingruleswe have heard from stakeholders that these eligibility criteria, particularlyregardingrisk-spreading, may be unduly restrictive. We will use this review to assess if changes should be made...
AI Analysis
The FCA is conducting a targeted review of UK Listing Rules applicable to investment entities, with particular focus on whether current risk-spreading eligibility criteria are unduly restrictive and how rules support shareholder rights and conflict management. This review represents a potential material shift in listing accessibility for alternative investment funds and closed-ended investment vehicles, with final proposals expected by end-2026.
Sectors:
Topics:
Asset ManagerHedge Fund
Council Implementing Regulation (EU) 2026/489 of 26 February 2026
implementing Regulation (EU) No 208/2014 concerning restrictive measures directed against certain persons, entities and bodies in view of the situation in Ukraine
Sectors:
Topics:
BankWealth ManagerAsset Manager
Council Implementing Regulation (EU) 2026/426 of 26 February 2026
implementing Article 8a of Regulation (EC) No 765/2006 concerning restrictive measures in view of the situation in Belarus and the involvement of Belarus in the Russian aggression against Ukraine
Sectors:
Topics:
BankWealth ManagerAsset Manager
Regulatory Notice 26-05
Regulatory Notice 26-05
Sectors:
Topics:
Broker DealerWealth ManagerBank
Notifications sent by the CSSF to the competent authorities of other EEA Member States
Situation from February 2025 to February 2026
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Notifications received by the CSSF from the competent authorities of other EEA Member States
Situation from February 2025 to February 2026
Sectors:
Topics:
BankAsset ManagerBroker Dealer
CSSF approvals of prospectuses
Situation from February 2025 to February 2026
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Asset ManagerBankBroker Dealer
Identification of reporting requirements and checks for 2nd level completeness (Updated)
No description available.
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BankAsset ManagerWealth Manager
The DFSA reminds investors to exercise caution and prudence in periods of…
The DFSA reminds investors to exercise caution and prudence in periods of…
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Asset ManagerWealth ManagerBank
Publication of guidance on documents and information to be submitted for the assessment of the shareholding structure of authorised IFMs – initial authorisation and modification of an authorised IFM (qualified and non-qualified shareholders)
No description available.
AI Analysis
The CSSF published guidance on 2 March 2026 specifying minimum documents and information required for assessing shareholding structures of authorised Investment Fund Managers (IFMs) during initial authorisation and subsequent modifications, covering both qualified and non-qualified shareholders. This matters because incomplete submissions will not be processed, potentially delaying authorisations or amendments amid ongoing CSSF scrutiny of governance and ownership in Luxembourg's fund sector.
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Asset Manager
Guidance on the documents and information to be submitted for the assessment of the shareholding structure of authorised IFMs – initial authorisation and modification of an authorised IFM (qualified and non-qualified shareholders)
Version 1.0
AI Analysis
This CSSF guidance (Version 1.0, published 2 March 2026) specifies the minimum documents and information required for assessing shareholding structures of authorised Investment Fund Managers (IFMs) during initial authorisation or modifications involving qualified and non-qualified shareholders. It standardises submissions to ensure completeness, with incomplete applications rejected until fully provided, enhancing regulatory efficiency and scrutiny of ownership changes. Compliance professionals must prioritise this to avoid delays in authorisation processes for Luxembourg-domiciled IFMs.
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Asset Manager
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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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.
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BankFintechCrypto Exchange
Getting the right directions − speech by Alan Taylor
Given at the Monetary Policy Mandate Conference at Norges Bank, Oslo
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BankAsset ManagerWealth Manager
Sophia Bennani appointed AMF Director of Inspections
Appointment Institutional Sophia Bennani appointed AMF Director of Inspections
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Asset ManagerWealth Manager
FCA opens authorisation gateway for targeted support
Firms can now apply for permission to provide targeted support. Targeted support is a once in a generation change that will help millions navigate their financial lives. From 6 April 2026, people’s banks, pension providers, or other financial firms that are authorised for targeted support can provide suggestions designed for groups of consumers with common characteristics. This will help them make important decisions across their pensions and investments.We want authorised firms to be ready t...
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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
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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
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Fintech
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
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Wealth Manager
New speech by Kelvin Wong: Speech at the Chinese New Year Cocktail Reception for Financial Services Industry
No description available.
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BankWealth ManagerAsset Manager
Investment fund managers
Situation as of 31 December 2025
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Asset ManagerBank
The CSSF’s supervisory priorities in the area of sustainable finance
Update March 2026
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Asset ManagerBankWealth Manager
Axoria AI: BaFin warns against offers on the website axoria(.)ai
The Federal Financial Supervisory Authority BaFin warns against offers on the website axoria(.)ai. According to information available to BaFin, the operator is providing financial and investment services without the required authorisation.
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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.
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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
Comments by MAS on Market Conditions
In response to media queries, MAS said that it is closely monitoring developments arising from the ongoing situation in the Middle East, and is assessing the impact on the domestic economy and financial system.
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BankAsset ManagerBroker Dealer
DFSA AML and Glossary Modules amendments come into force; FAQs published
DFSA AML and Glossary Modules amendments come into force; FAQs published
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BankWealth ManagerAsset Manager
DFSA Reminder: Current DFSA Working arrangements – Statement: 1 March 2026
DFSA Reminder: Current DFSA Working arrangements – Statement: 1 March 2026
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BankWealth ManagerAll Firms
Others,Updated : Japan Weeks 2026
No description available.
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Asset ManagerBroker Dealer
Banks,The FSA publishes the status of loans held by all banks as of the end of September 2025, based on the Financial Reconstruction Act
No description available.
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BankAsset ManagerWealth Manager
Publication,Publication of "FSA Analytical Notes (2026.2): Analysis of Human Resource Support by Regional Banks and Shortages of Managerial Talent at Firms" in Japanese
No description available.
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BankAsset ManagerWealth Manager
SEC, FSA Hold Spring Financial Regulatory Dialogue
The U.S. Securities and Exchange Commission (SEC) and the Financial Services Agency of Japan (FSA) convened the Spring SEC-FSA Financial Regulatory Dialogue in Tokyo on Feb. 27, 2026.The SEC–FSA Dialogue builds upon longstanding efforts between the two…
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BankAsset ManagerBroker Dealer
Claudia Buch: Banks and competitiveness: promoting competition, protecting resilience
No description available.
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BankAsset ManagerWealth Manager
Braddick to take the helm at the UK’s banking watchdog
Katharine Braddick CB appointed as the next Deputy Governor for Prudential Regulation at the Bank of England and Chief Executive of the Prudential Regulation Authority, succeeding Sam Woods when his term ends in June 2026.
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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.
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BankWealth Manager
Issue 2 2026
No description available.
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Asset ManagerBankBroker Dealer
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
CFTC Staff Reissues Staff Letter 25-50 to Add Additional No-Action Position on CPO Delegation Arrangements
No description available.
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Asset ManagerHedge Fund
The AMF publishes the findings of its inspections on the consideration of client sustainability preferences
Supervision Sustainable Finance Marketing Journalists Investment services providers Investment management companies The AMF publishes the findings of its inspections on the consideration of client sustainability preferences
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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
Court minutes from 2023 that were previously redacted
The Bank's Court of Directors acts as a unitary board, setting the organisation's strategy and budget and taking key decisions on resourcing and appointments. Required to meet a minimum seven times per year, it has five executive members from the Bank and up to nine non-executive members.
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BankAsset ManagerWealth Manager
Minutes of the Meeting of the Court of Directors held on 9 December 2025
The Bank's Court of Directors acts as a unitary board, setting the organisation's strategy and budget and taking key decisions on resourcing and appointments. Required to meet a minimum seven times per year, it has five executive members from the Bank and up to nine non-executive members.
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BankAsset ManagerFintech
Aktualisierte Sanktionsmeldung: Sudan
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung des Anhangs der Verordnung vom 25. Mai 2025 über Massnahmen gegenüber Sudan (SR 946.231.18) publiziert.
AI Analysis
This FINMA publication announces an update to the Swiss sanctions list for Sudan following changes by the UN Sanctions Committee on February 24, 2026, directly incorporated into Switzerland's SESAM database by SECO on February 25, 2026. It matters because financial intermediaries must immediately freeze assets of newly listed parties and report to SECO, while continuing AML due diligence under the GwG (Anti-Money Laundering Act), to avoid enforcement risks from non-compliance with Embargo Act (EmbG) obligations.
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BankAsset ManagerWealth Manager
Central Bank sets out its regulatory and supervisory priorities against the backdrop of geoeconomic shifts and accelerating technological changes that are reshaping the financial system
The Central Bank has today published its Regulatory & Supervisory Outlook 2026 , which sets out its latest assessment of the risk landscape facing the financial sector and the supervisory work it will undertake in response. This follows on from the Governor’s letter to the Tánaiste on the economic outlook and regulatory priorities in January . This is the third year of the report, which continues to be set against a backdrop of a changing, uncertain and increasingly complex external environme...
AI Analysis
The Central Bank of Ireland (CBI) has published its **Regulatory & Supervisory Outlook 2026**, outlining priorities shaped by geoeconomic fragmentation, technological acceleration, and elevated risks like operational resilience, cyber threats, data/AI, and consumer protection. This matters for compliance professionals as it signals intensified supervisory scrutiny, including desktop and onsite inspections, across Ireland's financial sector to ensure resilience and adaptability amid uncertainties.[https://www.centralbank.ie/news/article/press-release-central-bank-sets-out-its-regulatory-and-supervisory-priorities-26-february-2026][https://www.ogier.com/news-and-insights/insights/regulatory-outlook-2026-the-central-bank-of-ireland-s-priorities-explained/]
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BankAsset ManagerAll Firms
Directive (EU) 2026/470 of the European Parliament and of the Council of 24 February 2026
amending Directives 2006/43/EC, 2013/34/EU, (EU) 2022/2464 and (EU) 2024/1760 as regards certain corporate sustainability reporting requirements and certain corporate sustainability due diligence requirements
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Asset ManagerBankWealth Manager
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
Reply to COS Cuts on Adequate Provision of ATMs and VTMs, Mandating the Acceptance of Cash, Sustainability of EQDP and Insurance for Persons with Disabilities
Reply at Committee of Supply 2026 on Adequate Provision of ATMs and VTMs, Mandating the Acceptance of Cash, Sustainability of EQDP and Insurance for Persons with Disabilities
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BankWealth ManagerInsurance
Notice of Amendments to Legislation: February 2026
Notice of Amendments to Legislation: February 2026
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BankWealth ManagerAsset Manager
Councils,The Expert Panel on the Revision of the Corporate Governance Code (2nd meeting) Material
No description available.
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BankAsset ManagerBroker Dealer
The EBA and ESMA consult on revised suitability assessment requirements for banks and investment firms
The EBA and ESMA consult on revised suitability assessment requirements for banks and investment firms 25 February 2026 Investor protection The European Banking Authority (EBA) and the European Securities and Markets Authority (ESMA) today launched a consultation on the revised joint guidelines on the assessment of the suitability of members of the management body and key function holders . The revised guidelines form part of a broader package designed to harmonise suitability assessments and...
AI Analysis
The EBA and ESMA have launched a consultation on revised joint guidelines updating suitability assessments for management body members and key function holders in banks and investment firms, incorporating new requirements from the revised CRD and MiFID II to enhance harmonization and supervisory convergence. This matters for compliance professionals as it introduces mandatory assessments for additional roles, strengthens AML/CFT links, and includes simplifications to reduce burdens, potentially impacting governance processes once finalized and replacing the 2021 guidelines.
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BankBroker DealerAll Firms
ESMA sets out clearing thresholds under EMIR 3
ESMA sets out clearing thresholds under EMIR 3 25 February 2026 Post Trading The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has published its draft Regulatory Technical Standards (RTS) setting out new and revised clearing thresholds (CTs) under EMIR 3. The proposed thresholds ensure continuity in the coverage of systemic risk in over‑the‑counter (OTC) derivative markets while avoiding unnecessary complexity and additional compliance ...
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Asset ManagerBankBroker 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
Pedro Machado: New challenges, enduring principles: navigating a complex credit risk landscape
No description available.
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BankAsset ManagerWealth Manager
Warning concerning fraudulent activities by persons misusing the name of MERITUM CAPITAL
No description available.
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BankWealth ManagerAll Firms
Warning concerning the website www.jfl-invest.com
No description available.
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BankWealth ManagerFintech
ASIC secures record $350 million in civil penalties and $583 million back to Australians in second half of 2025
ASIC secures record $350 million in civil penalties and $583 million back to Australians in second half of 2025
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BankWealth ManagerAsset Manager
Misconduct reports to ASIC highlight spike in corporate governance issues
Misconduct reports to ASIC highlight spike in corporate governance issues
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BankWealth ManagerAll Firms
Standardised Model Articles of Incorporation for UCITS (Updated)
No description available.
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Asset ManagerBank
Publication,FSA Weekly Review No.676 February 24, 2026
No description available.
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BankAsset ManagerBroker Dealer
Misrepresentations Made By A Non Adgm Entity
Misrepresentations Made By A Non Adgm Entity
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BankWealth ManagerFintech
Warning concerning the website www.capman-holding.com
No description available.
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Asset ManagerWealth ManagerBank
SEC’s Division of Enforcement Announces Updates to Enforcement Manual
The Securities and Exchange Commission’s Division of Enforcement today announced significant updates to its Enforcement Manual. These updates underscore the Commission’s ongoing commitment to fairness, transparency, and efficiency in the investigations…
AI Analysis
The SEC's Division of Enforcement announced updates to its Enforcement Manual on February 24, 2026, focusing on enhancing fairness, transparency, and efficiency in investigations through standardized procedures like the Wells process and settlement considerations. These changes, the first major revisions since 2017, introduce uniform timelines and best practices to streamline resolutions and improve dialogue with investigated parties. Compliance professionals should prioritize this as it directly affects how firms respond to SEC inquiries, potentially accelerating outcomes and reducing uncertainties in enforcement actions.
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Asset ManagerBroker DealerHedge Fund
Council Implementing Regulation (EU) 2026/431 of 23 February 2026
implementing Regulation (EU) 2024/1485 concerning restrictive measures in view of the situation in Russia
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BankWealth ManagerAsset Manager
Pedro Machado: Technology is neutral, governance is not: AI adoption in the banking sector
No description available.
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BankAsset ManagerWealth Manager
Identity fraud: BaFin warns against offers on website trade.amlin-limited(.)info
The Federal Financial Supervisory Authority BaFin warns against offers on the website trade.amlin-limited(.)info. According to information available to BaFin, financial or investment services and crypto asset services are being offered on this platform without the required authorisation. According to the current state of knowledge, there is no connection to MS Amlin Investment Management Ltd., based in London, UK. This is likely to be a case of identity fraud.
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BankFintechCrypto Exchange
Identity theft: BaFin warns against offers on website personalcontrol-room(.)com
The Federal Financial Supervisory Authority BaFin warns against offers on the website personalcontrol-room(.)com and against fake investment contracts sent by alleged financial experts from Clearstream Holding AG. According to information available to BaFin, the unknown operators are providing financial or investment services and crypto asset services without the required authorisation. The offers do not originate from Clearstream Holding AG or any other legal entities of Clearstream. This is...
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BankWealth ManagerFintech
SFC obtains worldwide court orders in Hong Kong and England and Wales to freeze suspects’ assets up to HK$4.3 million in alleged insider dealing
No description available.
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Broker DealerAsset Manager
Madison Realty Capital Expands Global Platform With Launch Of Middle East Office
Madison Realty Capital Expands Global Platform With Launch Of Middle East Office
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Asset ManagerWealth ManagerBank
Polygreen Establishes Regional Holding Company In Adgm
Polygreen Establishes Regional Holding Company In Adgm
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BankWealth ManagerFintech
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
Launch of a dedicated page for the Luxembourgish covered bonds (“lettres de gage”) framework on the CSSF website
No description available.
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BankWealth Manager
Consumer Price Developments in January 2026
This January 2026 report contains an update of the latest consumer price developments in Singapore, prepared by MAS and the Ministry of Trade and Industry.
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BankWealth ManagerAsset Manager
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
ESMA publishes a supervisory briefing on the AAR representativeness obligation
ESMA publishes a supervisory briefing on the AAR representativeness obligation 20 February 2026 CCP The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has published a supervisory briefing on the representativeness obligation linked to the active account requirement (AAR). The briefing sets out ESMA’s supervisory expectations for how counterparties should comply with and report on the AAR representativeness obligation. It provides guidanc...
AI Analysis
ESMA has published supervisory guidance clarifying how counterparties must comply with the **representativeness obligation** under the Active Account Requirement (AAR), a key component of EMIR 3 that mandates EU counterparties maintain active accounts at EU central counterparties (CCPs) and clear representative volumes of derivatives trades. This briefing is critical because market participants and regulators have held conflicting interpretations of the representativeness requirement, creating compliance uncertainty that this guidance now resolves.
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Asset ManagerBroker DealerBank
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
The Casino case: the Paris Tribunal Correctionnel ruling marks the end of a market abuse case in which the AMF has been heavily involved
MAR Executive & other private individuals Journalists Listed companies and issuers The Casino case: the Paris Tribunal Correctionnel ruling marks the end of a market abuse case in which the AMF has been heavily involved
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BankBroker DealerAsset Manager
Global situation of undertakings for collective investment at the end of December 2025
Press release 26/04
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Asset ManagerBankWealth Manager
Frank Elderson: Interview with Bloomberg
No description available.
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Topics:
BankAsset ManagerWealth Manager
ESMA publishes list of supplementary deferrals for sovereign bonds
ESMA publishes list of supplementary deferrals for sovereign bonds 19 February 2026 Post Trading The European Securities and Markets Authority (ESMA), together with National Competent Authorities (NCAs), has agreed supplementary deferrals that may be applied on top of the standard Markets in Financial Instruments Regulation (MiFIR) deferral regime for sovereign bonds. ESMA and all NCAs, except the National Bank of Slovakia (NBS), have decided to allow the following supplementary deferrals: fo...
AI Analysis
ESMA has authorized **supplementary deferrals for sovereign bond post-trade transparency**, allowing market participants to omit transaction volumes from immediate publication for medium-sized trades on liquid bonds, with full disclosure required by end-of-day. This measure balances market transparency with liquidity protection in EU sovereign bond markets, effective May 4, 2026, with a compressed implementation timeline requiring immediate compliance planning.
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Broker DealerAsset ManagerBank
Dukas-Global: BaFin warns consumers about the website dukas-global(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Dukas-Global and the services it is offering. BaFin suspects the unknown operators of the website dukas-global(.)com of offering consumers financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankFintechCrypto Exchange
BaFin warns consumers about the website blue-invest(.)org
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website blue-invest(.)org. BaFin has information that the operators are offering banking business and/or financial services on this website without the required authorisation. The operators are not supervised by BaFin.
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FintechCrypto ExchangeAll Firms
CP3/26 – PRA rule changes to accommodate HM Treasury’s Overseas Prudential Requirements Regime
Consultation paper 3/26
AI Analysis
The PRA's CP3/26 proposes rule amendments to align its Rulebook with HM Treasury's (HMT) Overseas Prudential Requirements Regime (OPRR), which restates and modifies existing CRR equivalence provisions for treating overseas entities' exposures as preferential "exposures to institutions." This matters for **PRA-authorised firms** as it clarifies capital treatment for cross-border exposures, reduces interpretive burdens, and ensures consistency post-Brexit, advancing the PRA's safety and soundness objective while facilitating HMT designations.
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BankAll Firms
Aktualisierte Sanktionsmeldung: Sudan
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung (WBF) hat den Anhang 2 der Verordnung vom 25. Mai 2005 über Massnahmen gegenüber Sudan (SR 946.231.18) geändert.
AI Analysis
The Swiss Federal Department for Economic Affairs, Education and Research (WBF) has amended Annex 2 of the Ordinance of 25 May 2005 on Measures against Sudan (SR 946.231.18), updating Switzerland's sanctions list in alignment with UN and international developments. This matters for Swiss financial institutions as it imposes immediate asset freeze and reporting obligations on newly designated individuals and entities linked to threats against Sudan's peace and security, including RSF support and mercenary activities. Compliance teams must screen and act swiftly to avoid FINMA enforcement under supervisory law.
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BankAsset ManagerWealth Manager
Aktualisierte Sanktionsmeldung
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung (WBF) hat den Anhang der Verordnung vom 10. April 2024 über Massnahmen gegenüber Personen und Organisationen, welche die Hamas oder den Palästinensischen Islamischen Dschihad unterstützen (SR 946.231.09), geändert.
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BankWealth ManagerAll Firms
SEC Proposes Amendments to Reduce Burdens in Reporting of Fund Portfolio Holdings
No description available.
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Asset ManagerBroker DealerWealth Manager
Central Bank Independence is an anchor for stability, not a shield - Makhlouf
Gabriel Makhlouf, Governor of the Central Bank of Ireland, today delivered a keynote address at the Blavatnik School of Government, outlining the critical role of central bank independence in delivering price stability and supporting economic prosperity for society. Speaking on “Institutions, Anchors, and Their Discontents: The Role of Central Banks”, Governor Makhlouf highlighted how central bank independence, underpinned by clear mandates and robust accountability frameworks, enables moneta...
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BankAsset ManagerWealth Manager
Warning concerning the website www.qatari.xyz
No description available.
Sectors:
Topics:
BankWealth ManagerFintech
ESMA supports the simplified European Sustainability Reporting Standards and suggests targeted adjustments
ESMA supports the simplified European Sustainability Reporting Standards and suggests targeted adjustments 18 February 2026 Issuer disclosure Press Releases Sustainable finance The European Securities and Markets Authority, the EU’s financial markets regulator and supervisor, has delivered its opinion on the draft revised European Sustainability Reporting Standards (ESRS) developed by EFRAG. ESMA strongly supports the European Commission’s goal of enhancing competitiveness and growth through ...
AI Analysis
ESMA has issued an opinion supporting EFRAG's draft simplified European Sustainability Reporting Standards (ESRS) under the CSRD, praising improvements in readability and materiality focus while recommending targeted adjustments to enhance investor protection and financial stability. This matters for compliance professionals as it signals upcoming refinements to sustainability disclosures, with pragmatic supervision promised during the transition, potentially reducing short-term burdens but requiring monitoring of final delegated act adoption by summer 2026.
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Asset ManagerBankInsurance
CSSF Newsletter No 301 – February 2026
No description available.
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BankAsset ManagerWealth Manager
Tribunal upholds bans and fines for reckless adviser and fund manager
The Upper Tribunal has upheld the FCA's decisions to ban Stephen Joseph Burdett and James Paul Goodchild from working in financial services. Mr Burdett and Mr Goodchild previously held senior roles at Synergy Wealth Limited (Synergy) and Westbury Private Clients LLP (Westbury), respectively.The FCA banned the pair from working in regulated financial services for recklessly exposing pension holders to unsuitable investments.The Tribunal also found that it was appropriate for the FCA to impose ...
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Topics:
Asset ManagerWealth ManagerBank
SSM Calendar Claude Wampach – 11/2025
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
P&L Invest Holding AG: BaFin warns against offers on website pnl-holding(.)com
The Federal Financial Supervisory Authority BaFin warns against offers on the website pnl-holding(.)com. According to information available to BaFin, P&L Invest Holding AG is providing financial or investment services and crypto asset services without the required authorisation. According to the current state of knowledge, there is no connection to the P&L Invest Holding GmbH. This is likely to be a case of identity fraud.
Sectors:
Topics:
All Firms
ICG GEF: BaFin warns against identity fraud in WhatsApp groups
The Federal Financial Supervisory Authority BaFin warns against offers in WhatsApp groups, which are allegedly operated by Intermediate Capital Group (ICG). According to information available to BaFin, recommendations for the purchase of financial instruments and cryptocurrencies, which can allegedly be traded via ICG GEF app, are offered in various WhatsApp groups. The offers do not originate from ICG Europe S.à.r.l. - Frankfurt Branch or any other company belonging to Intermediate Capital G...
Sectors:
Topics:
BankFintechCrypto Exchange
Annex of Circular CSSF 22/822
1) high-risk jurisdictions on which enhanced due diligence and, where appropriate, counter-measures are imposed2) jurisdictions under increased monitoring of the FATFVersion of 17 February 2026
AI Analysis
The Annex of Circular CSSF 22/822 (Version of 17 February 2026) is Luxembourg's Commission de Surveillance du Secteur Financier's implementation guidance on FATF (Financial Action Task Force) designations of high-risk jurisdictions requiring enhanced due diligence and counter-measures, as well as jurisdictions under increased monitoring. This document is critical for Luxembourg-regulated financial institutions because it operationalizes international AML/CFT standards into binding compliance obligations, directly impacting customer acceptance, transaction monitoring, and correspondent banking relationships.
Sectors:
Topics:
BankAsset ManagerPayment Provider
Identity theft: BaFin warns against offers from the email address info[at]lgimeu(.)com
The Federal Financial Supervisory Authority BaFin warns against fixed-term deposit offers sent from the email address info[at]lgimeu(.)com. According to information available to BaFin, the unknown providers are conducting banking transactions without the required authorisation. The offers do not originate from LGIM Managers (Europe) Limited. This is a case of identity theft.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Alain Girard to assume leadership of FINMA’s Banks division
The Board of Directors of the Swiss Financial Market Supervisory Authority FINMA has appointed Alain Girard as the new Head of its Banks division. The current Head of the Recovery and Resolution division will take up his new role on 1 April 2026. He succeeds Thomas Hirschi, who left FINMA at the end of August 2025. Simon Brönnimann, who oversaw the Banks division on an interim basis, will now assume leadership of the Recovery and Resolution division on an interim basis.
Sectors:
Topics:
BankWealth ManagerAsset Manager
ASIC commences new review of advice licensees that use lead generation services
ASIC commences new review of advice licensees that use lead generation services
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Fundhost pays infringement notice for making misleading representations about Polen Capital Global Growth Fund
Fundhost pays infringement notice for making misleading representations about Polen Capital Global Growth Fund
Sectors:
Topics:
Asset ManagerWealth Manager
ASIC cancels AFS licence of Red Panda Future Wealth Pty Ltd
ASIC cancels AFS licence of Red Panda Future Wealth Pty Ltd
Sectors:
Topics:
Wealth Manager
The AMF invites financial market participants to AMLA’s consultations on three draft AML/CFT implementing standards
Anti-money Laundering Asset management The AMF invites financial market participants to AMLA’s consultations on three draft AML/CFT implementing standards
AI Analysis
The AMF is urging financial market participants, especially in asset management and related sectors, to engage in AMLA's public consultations on three draft Regulatory Technical Standards (RTS) under the new EU AML/CFT package, covering customer due diligence (CDD), identification of business relationships/transactions, and enforcement measures. These RTS aim to provide harmonized, proportionate implementation guidance, significantly impacting CDD processes and supervisory consistency across the EU, with underlying rules applying from 10 July 2027.[Source URL: https://www.amf-france.org/en/news-publications/news/amf-invites-financial-market-participants-amlas-consultations-three-draft-amlcft-implementing#xts=607212&xtor=RSS-11&type=RSS]
Sectors:
Topics:
Asset ManagerCrypto ExchangeAll Firms
Update of the CSSF FAQ concerning the Luxembourg Law of 17 December 2010 with regard to the portfolio transparency requirements for UCITS ETFs and the holding of ancillary liquid assets
No description available.
AI Analysis
The CSSF has updated its FAQ on portfolio transparency requirements for UCITS ETFs, relaxing disclosure frequency from monthly to quarterly publication of detailed holdings while maintaining daily information sharing with market makers and authorized participants. This change aligns Luxembourg's regulatory framework more closely with Ireland's semi-transparent ETF approach and is designed to attract active asset managers to the Luxembourg domicile by reducing proprietary information exposure.
Sectors:
Topics:
Asset Manager
BaFin warns consumers about the series of platforms that claim: “The [platform name] label holds authorization in multiple global jurisdictions and stands as a reputable online brokerage for Forex and CFDs.”
The Federal Financial Supervisory Authority (BaFin) warns consumers about a series of similarly designed websites. According to information available to BaFin, the operators are providing banking business and/or financial services on these websites without the required authorisation. The operators of the website are not supervised by BaFin.
Sectors:
Topics:
BankBroker DealerFintech
ASIC cancels AFS licence of Superfast AM Pty Ltd
ASIC cancels AFS licence of Superfast AM Pty Ltd
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
FAQ concerning the Luxembourg Law of 17 December 2010 relating to undertakings for collective investment (Updated)
Version 23
AI Analysis
This CSSF FAQ (Version 23, updated 17 February 2026) provides interpretive guidance on the Luxembourg Law of 17 December 2010 relating to undertakings for collective investment (UCIs), covering UCITS, Part II UCIs, SIFs, and SICARs. It matters for compliance professionals as it clarifies authorisation processes, investment rules, and supervisory expectations, ensuring alignment with evolving EU frameworks like AIFMD and MiCAR. The update, effective today, addresses recent regulatory shifts including crypto-asset integration.
Sectors:
Topics:
Asset ManagerHedge FundAll Firms
List of issuers of shares and issuers of sovereign debt (Updated)
For which the CSSF is the relevant competent authority under Regulation (EU) No 236/2012 of the European Parliament and of the Council of 14 March 2012 on short selling and certain aspects of credit default swaps
Sectors:
Topics:
BankBroker DealerAsset Manager
CSSF Annex – Termination of the operation of a branch under Article 33 of Directive 2011/61/EU (AIFMD)
Version 1
Sectors:
Topics:
Asset ManagerBank
CSSF Annex – Termination of the operation of a branch under Article 17 of Directive 2009/65/EC (UCITSD)
Version 1
Sectors:
Topics:
Asset ManagerBank
FCA fines former chief executive of Carillion plc (in liquidation)
The FCA has fined Richard Howson £237,700 for his part in misleading statements being issued by Carillion plc. As group chief executive, Mr Howson was aware of serious financial troubles in Carillion’s UK construction business. He failed to reflect this in company announcements or alert its board and audit committee, leading to poor oversight.The fine was imposed after Mr Howson withdrew his challenge to the FCA’s decision.Mr Howson was one of two executive directors on Carillion’s Board. His...
Sectors:
Topics:
BankWealth ManagerAll Firms
Summary of AI roundtables - February 2026
The Bank of England held roundtable meetings with representatives from regulated firms on the responsible adoption of artificial intelligence and machine learning (AI and ML), to better understand the constraints that firms may be facing.
Sectors:
Topics:
BankAsset ManagerInsurance
Eminent Finance Professor Arvind Krishnamurthy Appointed MAS Distinguished Term Professor at NUS
NUS and MAS have jointly appointed Professor Arvind Krishnamurthy as the MAS Distinguished Term Professor in Economics and Finance from 18 to 28 February 2026.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
CSSF Annex to the Notification Letter under Articles 17 and 18 of the UCITS Directive (Updated)
Version 3.1
Sectors:
Topics:
Asset ManagerBank
CSSF Annex to the Notification Letter under Article 33 of the AIFMD (Updated)
Version 3.1
Sectors:
Topics:
Asset ManagerWealth Manager
ESMA publishes latest edition of its newsletter
ESMA publishes latest edition of its newsletter 13 February 2026 ESMA newsletter The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has published today its latest edition of the Spotlight on Markets Newsletter. This edition opens with ESMA’s Digital and Data Strategies , outlining how enhanced data use and improved digital tools will strengthen effective and risk-based supervision. Top news highlights include the launch of the selection ...
Sectors:
Topics:
Asset ManagerBroker DealerCrypto Exchange
SEC Announces 45th Annual Small Business Forum to Improve Capital-Raising Policy
The Securities and Exchange Commission will host the agency’s 45th Annual Government Business Forum on Small Business Capital Formation at SEC headquarters in Washington, D.C., on March 9 from 1 p.m. to 5 p.m. ET. The event will be webcast live. …
Sectors:
Topics:
Asset ManagerBroker DealerFintech
Slides from Huw Pill’s fireside chat at Santander UK’s macroeconomic event
Slides by Huw Pill
Sectors:
Topics:
BankAsset ManagerWealth Manager
Warning concerning the fraudulent activities carried out by Minea Global Finance SA
No description available.
Sectors:
Topics:
BankWealth ManagerFintech
Basic statistical data on UCIs – December 2025 (only in French)
No description available.
Sectors:
Topics:
Asset ManagerWealth Manager
Minutes of the Market Participants Group meeting – 12 February 2026
The Market Participants Group (MPG) is a senior-level forum for financial market participants to share their views on relevant themes and narratives in financial markets with members of the Bank of England’s Monetary Policy Committee.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
The AMF announces that the withdrawal of the authorisation of the portfolio management company APICAP is effective
Asset management The AMF announces that the withdrawal of the authorisation of the portfolio management company APICAP is effective
Sectors:
Topics:
Asset Manager
Charge against NSW director dismissed
Charge against NSW director dismissed
Sectors:
Topics:
BankWealth ManagerAll Firms
ASIC cancels AFS licence of Pulse Markets for serious and sustained breaches of duties
ASIC cancels AFS licence of Pulse Markets for serious and sustained breaches of duties
Sectors:
Topics:
Broker DealerAll Firms
Net assets of UCIs
Situation as at 31 December 2025
Sectors:
Topics:
Asset ManagerBankWealth Manager
Breakdown according to currency
Situation as at 31 December 2025
Sectors:
Topics:
Asset ManagerBankWealth Manager
Origin of UCI initiators in Luxembourg
Situation as at 31 December 2025
Sectors:
Topics:
Asset ManagerWealth Manager
Development of net assets and number of UCIs
Situation as at 31 December 2025
Sectors:
Topics:
Asset ManagerWealth Manager
Number of UCIs
Situation as at 31 December 2025
Sectors:
Topics:
BankAsset ManagerWealth Manager
Investment policy of UCIs
Situation as at 31 December 2025
Sectors:
Topics:
Asset ManagerWealth Manager
List of UCI and SIFs having a sharia-compliant policy (only in French) (Updated)
No description available.
Sectors:
Topics:
Asset ManagerWealth Manager
Net assets of UCIs according to SFDR (Updated)
Situation as at 31 December 2025
Sectors:
Topics:
Asset ManagerWealth Manager
Workgroup convened to enhance Singapore’s ecosystem for Growth Capital
Singapore, 13 February 2026… The Prime Minister and Minister for Finance announced at his 2026 Budget Statement the establishment of a workgroup to develop strategies to strengthen Singapore as a leading centre for growth capital. The Growth Capital Workgroup will be chaired by Mr Chee Hong Tat, Minister for National...
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Circular letter
AML/CFT standardised data collection taking place in 2026
AI Analysis
The CSSF Circular Letter 2026-02-12 announces a standardized data collection exercise on AML/CFT for supervised entities, scheduled for 2026, aimed at enhancing regulatory oversight of money laundering and terrorist financing risks. This matters because it signals intensified CSSF scrutiny on AML/CFT compliance, requiring firms to prepare structured data submissions that could inform future supervisory actions, risk assessments, and enforcement. As part of broader CSSF AML/CFT initiatives, non-compliance risks fines or heightened inspections.
Sectors:
Topics:
BankPayment ProviderAll Firms
Increasing investment sustainably is key for Irish economy - Central Bank of Ireland Deputy Governor Vasileios Madouros
Central Bank of Ireland Deputy Governor Vasileios Madouros spoke at Technological University Dublin on the need to increase domestic investment over the next decade to support Ireland’s long-term economic success. Looking back, Deputy Governor Madouros discussed how, despite very strong economic growth, investment in key domestic sectors has been relatively subdued over the past decade. Looking ahead, like many other countries, Ireland is facing profound economic and societal shifts in years ...
Sectors:
Topics:
BankAsset ManagerWealth Manager
Enabling a decade of higher investment – Speech by Deputy Governor Vasileios Madouros at TU Dublin
Over the course of the next decade, we will need to allocate more of our collective resources towards domestic investment. 1 In part, that is because of where we are coming from. Despite very strong economic growth in recent years, investment in key domestic sectors has been lacklustre. But it is also because of where are going. Ireland, like many other countries, is facing profound structural transitions. Navigating these will require additional investment in the years ahead. Raising Ireland...
Sectors:
Topics:
BankAsset ManagerWealth Manager
Public warned of impersonation scams claiming SFC affiliation
No description available.
Sectors:
Topics:
BankWealth ManagerFintech
FAQ concerning Master/Feeder Structures (Updated)
Version 3
AI Analysis
This CSSF FAQ (Version 2, July 2013, with updates through 24 June 2013 and 11 July 2013) provides guidance on master-feeder structures for UCITS funds under the Luxembourg Law of 12 July 2010 (the "2010 Law"), addressing financial reporting, performance disclosure, and operational requirements. It matters for Luxembourg-domiciled UCITS managers and depositaries as it clarifies compliance with UCITS Directive rules on aggregation of charges, audit irregularities, and past performance in cross-border master-feeder setups, reducing ambiguity in documentation and investor communications.
Sectors:
Topics:
Asset Manager
CSSF FAQ – Use of Securities Financing Transactions by UCITS (Updated)
This publication is a CSSF FAQ in relation to the use by Luxembourg-domiciled UCITS of the following Securities Financing Transactions: securities lending transactions, reverse repurchase agreement transactions and repurchase agreement transactions. The objective of the FAQ is to bring further clarity concerning the use by UCITS of these SFTs, thereby taking into account the applicable regulatory framework as well as the supervisory experienced gained by the CSSF over the last years.Version 2
AI Analysis
This CSSF FAQ (Version 2) provides guidance on the use of securities financing transactions (SFTs)—specifically securities lending, reverse repurchase agreements, and repurchase agreements—by Luxembourg-domiciled UCITS, clarifying regulatory requirements based on the applicable framework and CSSF's supervisory experience. It matters because it updates prior guidance to reflect evolved practices, helping UCITS managers ensure compliant SFT usage amid heightened scrutiny on liquidity, risk management, and investor protection in Luxembourg's fund sector.
Sectors:
Topics:
Asset Manager
12 Feb 2026 Read more
12 Feb 2026 Read more
Sectors:
Topics:
Broker DealerWealth ManagerBank
Reply to Adjournment Motion on “An Industrial Policy in Finance” by Mr Chee Hong Tat, Minister for National Development, and Deputy Chairman of MAS, on behalf of Mr Gan Kim Yong, Deputy Prime Minister and Minister for Trade and Industry, and Chairman of MAS, on 12 February 2026
Reply to Adjournment Motion on “An Industrial Policy in Finance” by Mr Chee Hong Tat, Minister for National Development, and Deputy Chairman of MAS, on behalf of Mr Gan Kim Yong, Deputy Prime Minister and Minister for Trade and Industry, and Chairman of MAS, on 12 February 2026
Sectors:
Topics:
BankAsset ManagerBroker Dealer
MAS Announces Expansion of Equity Market Development Programme
The expansion of the EQDP will enable more high-quality asset managers with strategies that invest significantly in Singapore equities to be funded, and also catalyse more third-party investments into the equities market.
Sectors:
Topics:
Asset ManagerBank
Nex (Limited): BaFin warns consumers about the website thenexcap(.)pro
The Federal Financial Supervisory Authority (BaFin) warns consumers about Nex (Limited) and the services it is offering. BaFin suspects the unknown operators of the website thenexcap(.)pro of offering consumers financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
Crypto ExchangeFintech
“Cyprus: from crisis to growth”
No description available.
Sectors:
Topics:
BankWealth ManagerAll Firms
Report on declared time commitment of non-executive directors in the SSM
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
ECB appoints Thomas Broeng Jorgensen as Director General Specialised Institutions and Less Significant Institutions
No description available.
Sectors:
Topics:
BankAsset Manager
DORA – Submission timeframe for register of information – eDesk Portal open as of 11 February 2026
Submission of the register of information at individual or consolidated level to the CSSF (excluding entities under the direct supervision of the ECB)
Sectors:
Topics:
BankAsset ManagerWealth Manager
Guidance for interpretation and resolution of CSSF error messages related to the submission of the DORA register
Guidance allowing financial entities to identify the National Competent Authority to which their register of information has to be submitted.
AI Analysis
This CSSF guidance document, published on 11 February 2026, provides detailed explanations and resolution steps for error messages encountered during the submission of the DORA Register of Information (RoI) via the eDesk portal, specifically for the 2026 submission cycle. It matters because it enables Luxembourg financial entities to ensure compliant submissions amid enhanced validation checks on more data fields, avoiding re-submission delays and supporting timely transmission to the ESAs by CSSF deadlines. Non-compliance risks supervisory scrutiny under DORA's ICT risk management framework.
Sectors:
Topics:
BankFintechPayment Provider
ASIC bans former MWL Financial Services adviser Neil McPherson for 4 years
ASIC bans former MWL Financial Services adviser Neil McPherson for 4 years
Sectors:
Topics:
Wealth Manager
Issuers of securities whose home Member State is Luxembourg pursuant to the Law of 11 January 2008
Situation as at 31 January 2026
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Notifications sent by the CSSF to the competent authorities of other EEA Member States
Situation from January 2025 to January 2026
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Notifications received by the CSSF from the competent authorities of other EEA Member States
Situation from January 2025 to January 2026
Sectors:
Topics:
BankAsset ManagerBroker Dealer
CSSF approvals of prospectuses
Situation from January 2025 to January 2026
Sectors:
Topics:
Asset ManagerBankBroker Dealer
SFC cautions against ramp and dump schemes involving impersonation of stock commentators
No description available.
Sectors:
Topics:
Asset ManagerBroker DealerBank
Reinforcing Resilience, Responding to Change: Priorities for the Year Ahead - Speech by Governor Gabriel Makhlouf to Head of EU Missions
I would like to welcome you all to the Central Bank of Ireland today 1 . We are delighted to host this gathering of EU Heads of Missions, representatives of our friends and partners from across the EU. A little over a year ago I had the pleasure to meet with you all. I spoke then of a geopolitical landscape facing significant strain and complexity; of the rise of economic nationalism and trade disputes; as well as the shift from cooperation to competition, and its impact on our ability to mee...
AI Analysis
This speech by Central Bank of Ireland (CBI) Governor Gabriel Makhlouf outlines priorities for building economic and financial resilience amid geopolitical risks, climate change, technological shifts, and geoeconomic fragmentation, emphasizing domestic policy focus areas like infrastructure, indigenous business growth, and fiscal buffers. It matters for compliance professionals as it previews CBI's forthcoming 2026 regulatory and supervisory priorities, signaling heightened scrutiny on operational and financial resilience, consumer protection, and alignment with a transforming regulatory framework. https://www.centralbank.ie/news/article/speech-governor-makhlouf-head-eu-missions-10-February-2026
Sectors:
Topics:
BankAsset ManagerInsurance
Building economic resilience is not optional - Central Bank of Ireland Governor Gabriel Makhlouf
The Central Bank of Ireland has set out its regulatory and supervisory priorities for 2026 and provided detailed advice to Government on building economic resilience in the face of unprecedented uncertainty. In his letter to the Tánaiste and Minister for Finance Simon Harris, Governor Gabriel Makhlouf set out his views on the macro-financial environment, the financial services landscape and the Central Bank of Ireland’s financial regulation priorities for the year ahead . Governor Makhlouf em...
Sectors:
Topics:
BankAsset ManagerWealth Manager
Foreign Currency Reserves 2026 – Market Notice 10 February 2026
Not for distribution, directly or indirectly, in or into the United States, Canada, Australia, Japan or any other jurisdiction where it is unlawful to distribute this announcement
Sectors:
Topics:
BankBroker DealerAsset Manager
UCI Reports foreseen by Circular CSSF 21/790 for year-ends 31 January 2026, 28 February 2026, 31 March 2026 and 30 April 2026 now available on eDesk and information on main updates
No description available.
AI Analysis
This CSSF communiqué announces the availability of updated UCI Reports (SAQ, SR, and ML) under Circular CSSF 21/790 on the eDesk platform's CISERO module for specific 2026 year-ends, with key enhancements focused on valuation, NAV determination, and risk-based streamlining. It matters for Luxembourg UCIs as it reflects evolving supervisory priorities, aligns with EU directives like Directive (EU) 2024/927, and imposes refined self-assessment obligations to bolster resilience in stressed conditions and liquidity management.
Sectors:
Topics:
Asset Manager
FCA fines two individuals a combined £108,731 for insider dealing
The FCA has fined Dipesh Kerai and Bhavesh Hirani for insider dealing in shares of Bidstack Group Plc. Mr Kerai has been fined £52,731, and Mr Hirani has been fined £56,000.In December 2021, Mr Hirani was the interim Chief Financial Officer at Bidstack, a company that placed advertising inside video games. This meant he had access to inside information about a major upcoming deal between Bidstack and a large video game publisher.Before it was announced to the public, Mr Hirani passed this con...
Sectors:
Topics:
Broker DealerAsset Manager
Patrick Montagner: Interview with MLex
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
SFC obtains compensation and disqualification orders against former directors of Arta TechFin Corporation Limited
No description available.
Sectors:
Topics:
BankBroker DealerAsset Manager
Active exploitation of vulnerabilities on Ivanti Endpoint Manager Mobile (EPMM)
CVE-2026-1281 & CVE-2026-1340
Sectors:
Topics:
BankWealth ManagerFintech
Former director of NDIS provider charged with dishonesty offences
Former director of NDIS provider charged with dishonesty offences
Sectors:
Topics:
BankWealth ManagerFintech
Development of the balance sheet total and provisional net results of specialised PFS
Situation as at 31 December 2025
Sectors:
Topics:
BankAsset ManagerWealth Manager
Quarterly development of employment in specialised PFS
Situation as at 31 December 2025
Sectors:
Topics:
BankWealth ManagerAsset Manager
Development of the balance sheet total and provisional net results of support PFS
Situation as at 31 December 2025
Sectors:
Topics:
BankAsset ManagerWealth Manager
Quarterly development of employment in support PFS
Situation as at 31 December 2025
Sectors:
Topics:
BankAsset ManagerWealth Manager
Balance sheet total and net result of support PFS
Situation as at 31 December 2025
Sectors:
Topics:
BankAsset ManagerWealth Manager
10 Feb 2026 Read more
10 Feb 2026 Read more
Sectors:
Topics:
BankWealth ManagerFintech
Publication,FSA Weekly Review No.674 February 9, 2026
No description available.
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Volfor: BaFin warns consumers about the website volfor(.)co
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Volfor and the services it is offering. BaFin suspects the unknown operators of the website volfor(.)co of offering consumers financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankFintechCrypto Exchange
CFTC Targets Relationship Investment Scams with National and International Initiatives this Valentine’s Week
No description available.
Sectors:
Topics:
BankFintechCrypto Exchange
Warning concerning the website www.jomas-capital.lu
No description available.
Sectors:
Topics:
BankWealth ManagerFintech
Foreign Currency Reserves 2026 – Market Notice 9 February 2026
Not for distribution, directly or indirectly, in or into the United States, Canada, Australia, Japan or any other jurisdiction where it is unlawful to distribute this announcement
Sectors:
Topics:
BankBroker DealerAsset Manager
The Autorité des Marchés Financiers publishes the findings of its inspections of asset management companies' operational risk management
Supervision Asset management Journalists Investment management companies The Autorité des Marchés Financiers publishes the findings of its inspections of asset management companies' operational risk management
Sectors:
Topics:
Asset ManagerBank
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.
Sectors:
Topics:
Asset Manager
Sharon Donnery: Interview with the Business Post
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
ASIC action sees FIIG Securities ordered to pay $2.5 million over cyber security failures
ASIC action sees FIIG Securities ordered to pay $2.5 million over cyber security failures
Sectors:
Topics:
Broker DealerWealth ManagerAll Firms
The world today – remarks by Andrew Bailey
Given at the AlUla Conference for Emerging Market Economies 2026
Sectors:
Topics:
BankAsset ManagerWealth Manager
Privacy Statement
Privacy Statement
Sectors:
Topics:
BankWealth ManagerAsset Manager
Disclaimer
Disclaimer
Sectors:
Topics:
BankWealth ManagerAll Firms
Service Level Commitments
Service Level Commitments
Sectors:
Topics:
Asset ManagerBankWealth Manager
Useful Links
Useful Links
Sectors:
Topics:
BankAsset ManagerInsurance
FSP Search
FSP Search
Sectors:
Topics:
BankAsset ManagerWealth Manager
Regulated People and Entities
Regulated People and Entities
Sectors:
Topics:
BankAsset ManagerInsurance
Procurement
Procurement
Sectors:
Topics:
BankWealth ManagerFintech
Curatorships
Curatorships
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Language Policy and Services
Language Policy and Services
Sectors:
Topics:
BankAsset ManagerInsurance
Financial Services Tribunal
Financial Services Tribunal
Sectors:
Topics:
BankAsset ManagerInsurance
Documents for Consultation
Documents for Consultation
AI Analysis
This FSCA publication lists multiple active and draft consultation documents primarily focused on capital markets regulations (e.g., JSE rules amendments) and collective investment schemes (CIS) standards, inviting stakeholder input on proposed changes to enhance market integrity, trading mechanisms, and governance. It matters for compliance professionals as it signals imminent updates to listing requirements, equities rules, and conduct standards that could reshape operational, disclosure, and access protocols in South Africa's financial markets, requiring proactive review to avoid enforcement risks. https://www.fsca.co.za/Document-For-Consultation [FSCA source].
Sectors:
Topics:
Asset ManagerBroker DealerAll Firms
PAIA and POPIA Requests
PAIA and POPIA Requests
Sectors:
Topics:
BankWealth ManagerAll Firms
Nominee Register
Nominee Register
Sectors:
Topics:
BankWealth ManagerAsset Manager
E-Services
E-Services
Sectors:
Topics:
Asset ManagerInsurance
Subscriptions
Subscriptions
Sectors:
Topics:
BankWealth ManagerFintech
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.
Sectors:
Topics:
Asset ManagerWealth ManagerAll Firms
Supervisory Information
Supervisory Information
Sectors:
Topics:
BankAsset ManagerInsurance
Friendly Society
Friendly Society
Sectors:
Topics:
BankAsset ManagerInsurance
Collective Investment Schemes
Collective Investment Schemes
Sectors:
Topics:
Asset ManagerInsurance
FSCA Levies
FSCA Levies
Sectors:
Topics:
BankAsset ManagerInsurance
Comments Portal
Comments Portal
Sectors:
Topics:
BankWealth ManagerAll Firms
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
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WhatsApp groups and trading app: BaFin warns consumers about identity fraud in connection with the use of the app “IB-Kundendienst”
According to the information available to the Federal Financial Supervisory Authority (BaFin), unknown persons are using WhatsApp groups and chats to contact German investors. The initiators of such WhatsApp groups claim to be Bank of America or its branch in Frankfurt am Main. This is a case of identity fraud misusing names of former employees of the institution.
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BankFintechAll Firms
Administrative sanction of 6 February 2026
Administrative sanction imposed on Corestate Capital Holding S.A.
AI Analysis
The CSSF published an administrative sanction on 6 February 2026 against Corestate Capital Holding S.A., likely for breaches in regulatory compliance such as depositary duties, oversight, or governance under Luxembourg financial laws, marking a repeat enforcement action following a prior sanction in June 2025. This matters for compliance professionals as it underscores CSSF's aggressive enforcement on alternative investment fund managers (AIFMs) and depositaries, signaling heightened scrutiny on safekeeping, oversight, and internal controls to prevent systemic risks in Luxembourg's fund sector. It highlights the regulator's willingness to impose public nominative sanctions, amplifying reputational damage alongside fines.
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Asset ManagerAll Firms
Administrative sanction of 6 February 2026
Administrative sanction imposed on Corestate Capital Holding S.A.
AI Analysis
The CSSF published an administrative sanction on 6 February 2026 against Corestate Capital Holding S.A., likely imposing a fine for regulatory breaches, marking a repeat enforcement action following a prior sanction on the same entity dated 20 June 2025. This matters as it underscores CSSF's intensified supervisory scrutiny on Luxembourg-based investment managers, particularly regarding governance, asset safekeeping, and oversight duties under AIFM Law, signaling heightened enforcement risks for similar firms. Compliance teams should review it for patterns in depositary and transparency violations evident in recent CSSF cases.
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Asset ManagerAll Firms
A Steady Hand: why the Governing Council held rates at 2 per cent this week
In his latest blog, Governor Gabriel Makhlouf explains why the Governing Council kept its main policy interest rate (the deposit facility rate) unchanged at 2% for the fifth consecutive time since June 2025.
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BankAsset ManagerWealth Manager
Identity fraud: BaFin warns consumers about the company Tradeshark24
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Tradeshark24 and the services it is offering. BaFin suspects the unknown operators of the website tradeshark24(.)com of offering consumers financial, investment and crypto-asset services without the required authorisation. These offers are not provided by Frankfurt Financial Solutions GmbH & Co. KG, Frankfurt, which has no connection to the website tradeshark24(.)com. This is a case of identity fraud.
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BankWealth ManagerFintech
FINMA to relocate its Zurich office from the city centre to Oerlikon
More attractive working conditions and lower operating costs per workstation: FINMA will relocate its Zurich office from the city centre to Zurich-Oerlikon in autumn 2026.
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Update on changes to country groupings for International Banking Statistics
This article provides an update regarding implementing changes for country grouping conventions used in statistics covering the international business of monetary financial institutions operating in the UK and the consolidated claims of UK headquartered monetary financial institutions.
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BankWealth ManagerAll Firms
The AMF awards its 2025 prize for young researchers in economics to Alexandre Madelaine
Institutional Markets Journalists The AMF awards its 2025 prize for young researchers in economics to Alexandre Madelaine
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Asset ManagerBroker DealerFintech
ASIC cancels AFS and AC licences of Centre Capital Securities for failure to pay industry funding levies
ASIC cancels AFS and AC licences of Centre Capital Securities for failure to pay industry funding levies
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Broker DealerWealth ManagerAll Firms
List of fund units subject to Regulation 2013/346 on European Social Entrepreneurship Funds (EuSEF)
No description available.
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Asset ManagerWealth Manager
List of fund units subject to Regulation 2013/345 on European Venture Capital funds (EuVECA)
No description available.
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Asset ManagerHedge Fund
List of fund units subject to Regulation 2015/760 on European Long-Term Investment Funds (ELTIFs) as amended by Regulation 2023/606
No description available.
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Asset ManagerWealth Manager
IFM - Tied agent notification and change of tied agent particulars notification form (Updated)
Version 2.1
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Asset ManagerWealth Manager
Regulatory Notice 26-03
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
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The DFSA fines Ark Capital Management (Dubai) Limited USD 504,000 for market…
The DFSA fines Ark Capital Management (Dubai) Limited USD 504,000 for market…
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Asset ManagerWealth ManagerBank
SEC Publishes Data on Exchange Traded Funds and Fund Mergers; Updated Statistics on Municipal Advisors, Transfer Agents, and Security-Based Swap Dealers
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) has published two new reports on exchange traded funds and fund mergers, and updated statistics and data visualizations on municipal advisors, transfer agents, and…
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Asset ManagerBroker Dealer
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...
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Asset ManagerBroker DealerBank
Bank Rate maintained at 3.75% - February 2026 Monetary Policy Summary and Minutes
The Bank of England’s Monetary Policy Committee is responsible for making decisions about Bank Rate.
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BankAsset ManagerWealth Manager
Reappointment of Claude Marx as Director General of the CSSF
Press release 26/03
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BankWealth Manager
Online financial frauds and scams in an artificial intelligence world
No description available.
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BankWealth ManagerFintech
FCA stops Advantage Wealth Management Ltd from carrying out regulated activities and imposes assets restriction
The FCA has imposed restrictions on independent financial adviser Advantage Wealth Management Ltd (AWM), which means it must not dispose of any assets or conduct any regulated activities without the written consent of the FCA. The action follows concerns that AWM is not being managed in a way that ensures that its affairs are conducted in a sound and prudent manner. We issued a First Supervisory Notice (PDF)on 22 December 2025, outlining further details about our concerns and the basis for im...
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Wealth Manager
ASIC permanently bans former NSW financial adviser David Valvo
ASIC permanently bans former NSW financial adviser David Valvo
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Wealth ManagerBank
ASIC takes further steps to support Australians impacted by First Guardian and Shield collapse
ASIC takes further steps to support Australians impacted by First Guardian and Shield collapse
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Asset ManagerWealth ManagerBank
Others,Updated English version of Reference Cases on Suspicious Transactions
No description available.
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BankInsuranceAll Firms
The CSSF has updated its FAQ Crypto-Assets - Undertakings for collective investment (previously FAQ Virtual Assets - Undertakings for collective investment) and draws the attention to the following points
No description available.
AI Analysis
The Commission de Surveillance du Secteur Financier (CSSF) has updated its FAQ on crypto-asset investments by undertakings for collective investment, effective February 4, 2026, to align with the EU's Markets in Crypto-Assets Regulation (MiCAR). This update establishes clear investment limits and licensing requirements for UCITS and AIFs investing in crypto-assets, fundamentally reshaping how Luxembourg-regulated funds can structure crypto exposure.
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Asset ManagerHedge FundFintech
Warning concerning the website www.castleforbeswealth.com
No description available.
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Wealth Manager
Administrative sanction of 23 July 2025
Administrative sanction imposed on Genève Invest (Europe) S.A.
AI Analysis
The CSSF imposed an administrative sanction on 23 July 2025 against Genève Invest (Europe) S.A., a Luxembourg-regulated entity, for breaches of professional obligations, as detailed in a publication released on 4 February 2026. This enforcement action underscores the CSSF's focus on robust internal controls and compliance with investment rules, serving as a warning to investment firms on the consequences of organizational and conduct failures. Compliance professionals should note it as evidence of heightened CSSF scrutiny on fund managers handling client assets and counterparties.
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Asset ManagerWealth ManagerAll 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
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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
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Asset ManagerWealth ManagerBank
ASIC permanently bans Patrick Nong from the financial services industry
ASIC permanently bans Patrick Nong from the financial services industry
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Wealth Manager
Registration form for meetings with UCI Departments of the CSSF (Updated)
No description available.
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BankWealth ManagerAsset Manager
FAQ Crypto-Assets – Undertakings for collective investment (Updated)
Version 7 – 04/02/2026
AI Analysis
The CSSF has released Version 7 of its FAQ on Crypto-Assets for Undertakings for Collective Investment, updated on February 4, 2026, to reflect the entry into force of the Markets in Crypto-Assets Regulation (MiCAR). This guidance establishes binding investment limits, authorization requirements, and risk management standards for UCITS and AIFs investing in crypto-assets, fundamentally reshaping how Luxembourg-regulated collective investment schemes can engage with digital assets.
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Law of 12 July 2013 (consolidated version) (Updated)
on alternative investment fund managers
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Asset ManagerWealth Manager
“Singapore’s Grant to the International Monetary Fund’s Trust for the Special Poverty Reduction and Growth Operations for the Heavily Indebted Poor Countries (“PRG-HIPC Trust”), to Support Sudan’s Debt Relief” - Second Motion Speech by Mr Alvin Tan, Minister of State for Ministry of Trade and Indust
“Singapore’s Grant to the International Monetary Fund’s Trust for the Special Poverty Reduction and Growth Operations for the Heavily Indebted Poor Countries (“PRG-HIPC Trust”), to Support Sudan’s Debt Relief” - Second Motion Speech by Mr Alvin Tan, Minister of State for Ministry of Trade and Industry and Ministry of National Development and Board Member of the Monetary Authority of Singapore (MAS), on behalf of Mr Gan Kim Yong, Deputy Prime Minister and Minister for Trade and Industry, and Chai
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BankWealth ManagerAll Firms
“Singapore’s Contributions to the International Monetary Fund” – First Motion Speech by Mr Alvin Tan, Minister of State for Ministry of Trade and Industry and Ministry of National Development and Board Member of the Monetary Authority of Singapore (MAS), on behalf of Mr Gan Kim Yong, Deputy Prime Mi
First Motion Speech by Mr Alvin Tan, Minister of State for Ministry of Trade and Industry and Ministry of National Development and Board Member of the Monetary Authority of Singapore (MAS), on behalf of Mr Gan Kim Yong, Deputy Prime Minister and Minister for Trade and Industry, and Chairman of MAS on 4 February 2026.
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BankAsset ManagerWealth Manager
The AMF awards its Marie-Josèphe-Vanel thesis prize in law to Vincent Ramonéda
Institutional Regulatory developments Financing the economy Other professionals Journalists Listed companies and issuers The AMF awards its Marie-Josèphe-Vanel thesis prize in law to Vincent Ramonéda
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Asset ManagerBroker DealerBank
Upper Tribunal finds that Banque Havilland devised a plan to harm the Qatari economy
The Upper Tribunal has upheld the FCA’s decision that Rangecourt SA (formerly Banque Havilland), Edmund Rowland, the former London CEO and Vladimir Bolelyy, a former Bank employee, acted without integrity. The Tribunal agreed with the FCA that significant fines should be imposed, deciding that fines of £4m, £352,000 and £14,200 were appropriate for Rangecourt SA, Mr Rowland and Mr Bolelyy respectively. The Tribunal also upheld the FCA’s decision to ban Mr Rowland and Mr Bolelyy from working i...
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BankWealth ManagerAsset Manager
The AMF publishes a working group study on structured products
Derivatives or structured products Marketing MIFID The AMF publishes a working group study on structured products
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Asset ManagerBroker Dealer
Publication,FSA Weekly Review No.673 February 3, 2026
No description available.
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BankAsset ManagerBroker Dealer
Regulators announce first firms to join Scale-up Unit
The Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) have announced the first cohort of banks and building societies to benefit from their joint Scale-up Unit. The Scale-up Unit announced last year is designed to build stronger ties and provide tailored support for fast-growing and innovative financial firms, helping them to grow sustainably at pace.The 6 firms that expressed interest and have been accepted to the first cohort are:Allica BankClearBankMonument BankNo...
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BankFintechAll Firms
Patrick Montagner: Interview with l’Agefi
No description available.
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BankAsset ManagerInsurance
03 Feb 2026 Read more
03 Feb 2026 Read more
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BankWealth ManagerFintech
Reply to Adjournment Motion on “Make (Singapore) Equities Great Again” by Mr Chee Hong Tat, Minister for National Development, and Deputy Chairman of MAS, on behalf of Mr Gan Kim Yong, Deputy Prime Minister and Minister for Trade and Industry, and Chairman of MAS, on 3 February 2026
Reply to Adjournment Motion on “Make (Singapore) Equities Great Again” by Mr Chee Hong Tat, Minister for National Development, and Deputy Chairman of MAS, on behalf of Mr Gan Kim Yong, Deputy Prime Minister and Minister for Trade and Industry, and Chairman of MAS, on 3 February 2026.
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Asset ManagerBroker DealerWealth Manager
Texas Resident to Pay Over $14 million for Misappropriation of Confidential Information, Illegal Kickbacks
No description available.
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BankBroker DealerHedge Fund
Letter from Ruth Smith on firms’ preparations for the third Resolvability Assessment Framework (RAF) assessment
Letter to Chief Financial Officers of the major UK banks ahead of the third RAF assessment
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BankAsset ManagerWealth Manager
A study by the AMF finds widespread levels of adoption in artificial intelligence by French financial market participants
Artificial intelligence Innovation Fintech Journalists Investment services providers Investment management companies Listed companies and issuers A study by the AMF finds widespread levels of adoption in artificial intelligence by French...
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Asset ManagerBankFintech
SFC forges stronger industry collaboration to shape a compliant and innovative future
No description available.
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Broker DealerAsset ManagerBank
BaFin warns consumers about Verto and the services it is offering
The Federal Financial Supervisory Authority (BaFin) suspects the unknown operators of offering consumers financial, investment and cryptoasset services without the required authorisation. Verto is currently offering its services via the website ajadetrpe(.)life.
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BankFintechCrypto Exchange
Council Implementing Regulation (EU) 2026/259 of 29 January 2026
implementing Regulation (EU) 2024/2642 concerning restrictive measures in view of Russia’s destabilising activities
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BankAsset ManagerWealth Manager
PCAM: BaFin warns against offers on the website pc-asset-management[.]com, in the app “PCAU pro,” and in WhatisApp groups
In the WhatsApp groups, investors are recommended by “Harrison T Blake” and “Francesca Müller” to invest in financial instruments that can then be traded via the aforementioned app or the platform pc-asset-management[.]com.
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BankWealth ManagerFintech
Processing time of initial authorisations of regulated investment vehicles
No description available.
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Asset ManagerWealth Manager
02 Feb 2026 Read more
02 Feb 2026 Read more
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BankWealth ManagerFintech
SEC Appoints New Chairman and Board Members to PCAOB
The Securities and Exchange Commission today announced the appointment of Demetrios (Jim) Logothetis, as Chairman, and Mark Calabria, Kyle Hauptman, and Steven Laughton, as Board members, of the Public Company Accounting Oversight Board (PCAOB). George…
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Asset ManagerBroker DealerBank
Others,Stewardship Code: List of institutional investors accepted the Principles for Responsible Institutional Investors as of December 31, 2025
No description available.
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Asset ManagerInsuranceBank
Council Implementing Regulation (EU) 2026/259 of 29 January 2026
implementing Regulation (EU) 2024/2642 concerning restrictive measures in view of Russia’s destabilising activities
Sectors:
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BankWealth ManagerAsset Manager
Administrative sanction of 1 December 2025
Administrative sanction imposed on a registered alternative investment fund manager (“AIFM”)
AI Analysis
The CSSF imposed an administrative fine of EUR 10,000 on registered alternative investment fund manager (AIFM) C5 S.à r.l. on 11 September 2025 for failing to submit its annual financial crime questionnaire by the 4 April 2025 deadline, despite reminders, breaching the cooperation obligation under Article 5(1) of Luxembourg's AML/CFT Law of 12 November 2004. This enforcement action underscores the CSSF's strict enforcement of AML reporting duties and serves as a warning to supervised entities on the consequences of non-compliance with supervisory requests. It matters because it demonstrates the CSSF's willingness to publish names and impose fines for procedural lapses, potentially signaling increased scrutiny on AIFMs' AML/CFT obligations amid broader regulatory focus on financial crime risks.
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Asset ManagerHedge Fund
The FCA’s long term review into AI and retail financial services: designing for the unknown
Speech by Sheldon Mills, at the FCA's Supercharged Sandbox Showcase event. Before we begin, take a look around this room. This is the Supercharged Sandbox. 23 firms at the frontier of retail financial services, chosen from 132 applications. If anyone still doubts the pace of AI change in our sector, this room is the answer.The Board has asked me to lead the long-term review into AI and retail financial services. I will report to the FCA Board in the summer, setting out recommendations to help...
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BankWealth ManagerFintech
Getting fit for the future − speech by Afua Kyei
Given at the Audit and Risk Committee Dinner, Undercroft Gallery, Roman Amphitheatre, Guildhall
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BankAsset ManagerWealth Manager
Federal Court orders Australian Unity Funds Management to pay $7 million penalty for failing to confirm product suitability for investors
Federal Court orders Australian Unity Funds Management to pay $7 million penalty for failing to confirm product suitability for investors
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Asset ManagerWealth Manager
New speech by Alexandra Yeong: Luncheon remarks at Hong Kong REITS Association
No description available.
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Asset ManagerBroker Dealer
Cross Agency Steering Group announces Strategic Priorities for 2026-2028
No description available.
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BankAsset ManagerAll Firms
Dedicated data entry form for updating investment firm information (Updated)
No description available.
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Asset ManagerWealth Manager
Media contacts
Media contacts
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BankWealth ManagerAll Firms
Superintendent Routledge participates in a fireside chat at TD Annual Conference
Superintendent Routledge participates in a fireside chat at TD Annual Conference
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BankAsset ManagerWealth Manager
Brendan Gunn pleads guilty to dealing with money reasonably suspected of being proceeds of crime
Brendan Gunn pleads guilty to dealing with money reasonably suspected of being proceeds of crime
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BankWealth ManagerFintech
ASIC acts against 28 SMSF auditors, flags increased scrutiny on in-house audit breaches
ASIC acts against 28 SMSF auditors, flags increased scrutiny on in-house audit breaches
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Asset ManagerWealth ManagerBank
ESMA publishes report on cross-border marketing of funds including statistics on notifications
ESMA publishes report on cross-border marketing of funds including statistics on notifications 06 January 2026 The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has today published its third report on marketing requirements and marketing communications under the Regulation on cross-border distribution of funds . For the first time, the report includes statistics on notifications of cross-border marketing of funds. Drawing on input from ...
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Asset ManagerBank
Warning concerning the website www.quasir-investments.lu
No description available.
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Asset ManagerWealth ManagerBank
The role of economics during times of major change
In his latest blog, Governor Gabriel Makhlouf argues that economists must adapt their analytical frameworks and expand their focus beyond traditional topics to address emerging challenges—such as geopolitical upheaval and defence spending—in order to provide robust evidence-based policy advice that serves the public interest.
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BankAsset ManagerWealth Manager
Emil the Seal hijacks Waterloo station to warn commuters about investment scams
FCA stunt launches new Firm Checker tool as around 700,000 people lose money to investment scams. Morning commuters at London Waterloo got more than their usual caffeine hit today when a mysterious 'ATM' promising to 'give away a fortune' stopped them in their tracks – and revealed an unexpected surprise.As curious passers-by approached the machine, the screen slid open to unveil Emil the Seal, the FCA's finance-friendly mascot, delivering a blunt message about the dangers of investment scams...
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BankWealth ManagerFintech
Issue 1 2026
No description available.
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Asset ManagerBankHedge Fund
SFC and HKMA jointly consult on standard calculation periods under OTC derivative Clearing Rules
No description available.
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BankBroker DealerAsset Manager
Aktualisierte Sanktionsmeldung: Haiti
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung des Anhangs der Verordnung vom 16. Dezember 2022 über Massnahmen betreffend Haiti (SR 946.231.139.4) publiziert.
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BankAsset ManagerWealth Manager
New speech by Kelvin Wong: Speech at the Listing Ceremony of Hang Seng Gold ETF
No description available.
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Asset ManagerBroker DealerBank
Form relating to the creation of new share class(es) not requiring a prospectus update (Updated)
No description available.
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Topics:
Asset ManagerWealth Manager
Theresa Hinz, Executive Director of Policy and Risk Response, delivers remarks for OSFI’s Quarterly Release Day
Theresa Hinz, Executive Director of Policy and Risk Response, delivers remarks for OSFI’s Quarterly Release Day
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BankAsset ManagerWealth Manager
OSFI’s Quarterly Release: continuing to advance smart, well-calibrated risk-taking
OSFI’s Quarterly Release: continuing to advance smart, well-calibrated risk-taking
Sectors:
Topics:
BankAsset ManagerWealth Manager
Backgrounder: Consultative document on Senior Leader Accountability
Backgrounder: Consultative document on Senior Leader Accountability
Sectors:
Topics:
BankWealth ManagerAsset Manager
MAS Monetary Policy Statement - January 2026
Read the Monetary Policy Statement for January 2026.
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BankAsset ManagerWealth Manager
Central Bank of Ireland completes sale of Spencer Dock (East Wing) building to the Office of Public Works
Central Bank of Ireland has successfully completed the sale of its Spencer Dock (East Wing) building to the Office of Public Works for €23.7m. The sale of Spencer Dock was a key element of the Central Bank’s longer term property strategy aligned to our decision to develop a single Dockland Campus through the purchase of our North Wall Quay building and subsequent purchase of our Mayor Street building. This sale of the East Wing, to Office of Public Works on 22 January 2026, follows the earlie...
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BankAsset ManagerWealth Manager
Looking back on the 2026 CSSF AML/CFT Conference for Specialised PFS
No description available.
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BankWealth ManagerAsset Manager
2026 AML/CFT Conference dedicated Specialised PFS
No description available.
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Topics:
BankWealth ManagerAsset Manager
Next steps for establishing a bond consolidated tape provider
We have signed a contract with Etrading Software (ETS) to deliver the UK bond consolidated tape. A high-quality tape will provide investors with a comprehensive overview of the bond market and support price formation and liquidity. It will help maintain the UK’s position as a highly competitive and compelling place to invest and grow.ETS has now launched a website that sets out key milestones and provides technical information for data contributors and users. We will continue to support ETS a...
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Broker DealerAsset ManagerBank
Frank Elderson: Hearing of the Committee on Economic and Monetary Affairs of the European Parliament
No description available.
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Topics:
BankAsset ManagerWealth Manager
Warning concerning fraudulent activities performed under the name of the Luxembourg company ERSEL GESTION INTERNATIONALE S.A.
No description available.
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Topics:
Asset ManagerWealth Manager
Claudia Buch: Interview with Milano Finanza
No description available.
Sectors:
Topics:
BankWealth ManagerFintech
28 Jan 2026 Read more
28 Jan 2026 Read more
Sectors:
Topics:
BankWealth ManagerFintech
Singapore to Join International Efforts to Support IMF’s Initiatives for Vulnerable Countries
MAS announced that Singapore intends to join international efforts to enhance the capacity of the International Monetary Fund to help vulnerable member countries deal with economic shocks.
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BankAsset ManagerWealth Manager
Press Conference “Risks in BaFin’s Focus”, 28 January 2026
Opening Statement by Mark Branson
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BankFintechCrypto Exchange
Councils,Joint session of the 56th general meeting of Financial System Council and the 44th meeting of Sectional Committee on Financial System
No description available.
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Topics:
BankAsset ManagerBroker Dealer
Aktualisierte Sanktionsmeldung: Guatemala
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung des Anhangs der Verordnung über Massnahmen betreffend Guatemala (SR 946.231.137.6) publiziert.
Sectors:
Topics:
BankWealth ManagerAll Firms
Mills Review to consider how AI will reshape retail financial services
The FCA has launched a review into the implications of advanced AI on consumers, retail financial markets and regulators. The Review will be led by Sheldon Mills and builds on the FCA’s existing work on AI. This includes its AI Discussion Paper, AI Sprint, and AI Lab including AI Live Testing and its groundbreaking Supercharged Sandbox supported by NVIDIA.AI is already embedded across financial services. Rapid advances in generative, agentic and emerging forms of AI mean the next phase of cha...
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BankWealth ManagerFintech
Publication,FSA Weekly Review No.672 January 26, 2026
No description available.
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BankAsset ManagerBroker Dealer
The AMF Enforcement Committee fines an investment services provider and its director a total of €850,000
Sanctions & settlements MAR Compliance Journalists Investment services providers The AMF Enforcement Committee fines an investment services provider and its director a total of €850,000
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Broker DealerAll Firms
SFC suspends Choi Sau Wai for seven months
No description available.
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Broker DealerWealth Manager
SFC suspends Wong Chi Fai for 27 months
No description available.
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Broker DealerAsset ManagerBank
Equity-Indexed Annuities
Equity-Indexed Annuities
Sectors:
Topics:
Broker DealerWealth ManagerAsset Manager
Engagement
Engagement
Sectors:
Topics:
Broker DealerAsset ManagerWealth Manager
Enforcement Process
Enforcement Process
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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
Derivatives and Other Balance Sheet Items (OBS)
Derivatives and Other Balance Sheet Items (OBS)
Sectors:
Topics:
Broker DealerAsset ManagerBank
Derivatives
Derivatives
Sectors:
Topics:
Broker DealerAsset ManagerWealth Manager
Department of Labor
Department of Labor
Sectors:
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Broker DealerAsset ManagerWealth Manager
Deferred Annuities
Deferred Annuities
Sectors:
Topics:
Broker DealerAsset ManagerWealth Manager
Day Trading
Day Trading
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
Credit for Cooperation
Credit for Cooperation
Sectors:
Topics:
Broker DealerAsset ManagerBank
COVID-19 / Coronavirus
COVID-19 / Coronavirus
Sectors:
Topics:
Broker DealerAsset ManagerBank
Correspondence
Correspondence
Sectors:
Topics:
Broker DealerWealth ManagerAsset Manager
Corporate Financing
Corporate Financing
Sectors:
Topics:
Broker DealerAsset ManagerBank
Continuing Education
Continuing Education
Sectors:
Topics:
Broker DealerWealth ManagerAsset Manager
Consolidated Reports
Consolidated Reports
Sectors:
Topics:
Broker DealerAsset ManagerBank
Conflicts of Interest
Conflicts of Interest
Sectors:
Topics:
Broker DealerBankAsset Manager
Comprehensive Automated Risk Data System (CARDS)
Comprehensive Automated Risk Data System (CARDS)
Sectors:
Topics:
Broker DealerWealth ManagerAsset 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
Central Registration Depository (CRD)
Central Registration Depository (CRD)
Sectors:
Topics:
Broker DealerWealth ManagerAsset Manager
Cash Equivalents
Cash Equivalents
Sectors:
Topics:
Broker DealerWealth ManagerBank
Carrying Agreements
Carrying Agreements
Sectors:
Topics:
Broker DealerAsset ManagerBank
Capital Acquisition Brokers
Capital Acquisition Brokers
Sectors:
Topics:
Broker DealerWealth ManagerAll Firms
Business Continuity Planning
Business Continuity Planning
Sectors:
Topics:
Broker DealerBankAsset Manager
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
Branch Offices
Branch Offices
Sectors:
Topics:
Broker DealerWealth ManagerBank
Books and Records
Books and Records
Sectors:
Topics:
Broker DealerAsset ManagerBank
Bond Mutual Fund Volatility/Risk Rating
Bond Mutual Fund Volatility/Risk Rating
Sectors:
Topics:
Asset ManagerBroker Dealer
Blue Sheets
Blue Sheets
Sectors:
Topics:
Broker DealerAsset ManagerBank
Best Practices
Best Practices
Sectors:
Topics:
Broker DealerAsset ManagerBank
Best Execution
Best Execution
Sectors:
Topics:
Broker DealerAsset ManagerAll Firms
Auction Rate Securities
Auction Rate Securities
Sectors:
Topics:
Broker DealerWealth ManagerAsset Manager
Asset Backed Securities
Asset Backed Securities
Sectors:
Topics:
Broker DealerAsset ManagerBank
Artificial Intelligence
Artificial Intelligence
Sectors:
Topics:
Broker DealerAsset ManagerBank
Arbitration and Mediation
Arbitration and Mediation
Sectors:
Topics:
Broker DealerWealth ManagerBank
Anti-Money Laundering
Anti-Money Laundering
Sectors:
Topics:
Broker DealerBankAsset Manager
Annual Audit
Annual Audit
Sectors:
Topics:
Broker DealerAsset ManagerBank
Alternative Display Facility (ADF)
Alternative Display Facility (ADF)
Sectors:
Topics:
Broker DealerAsset ManagerBank
Alternative and Complex Products
Alternative and Complex Products
Sectors:
Topics:
Broker DealerWealth ManagerAsset Manager
Algorithmic Trading
Algorithmic Trading
Sectors:
Topics:
Broker DealerAsset ManagerFintech
Advertising Regulation
Advertising Regulation
Sectors:
Topics:
Broker DealerAsset ManagerWealth Manager
529 Savings Plans
529 Savings Plans
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
Regulatory Notice 25-01
Regulatory Notice 25-01
Sectors:
Topics:
Broker DealerBank
Regulatory Notice 25-02
Regulatory Notice 25-02
Sectors:
Topics:
Broker DealerBankAsset Manager
Regulatory Notice 25-03
Regulatory Notice 25-03
Sectors:
Topics:
Broker DealerBankAsset Manager
Regulatory Notice 25-04
Regulatory Notice 25-04
Sectors:
Topics:
Broker DealerWealth ManagerFintech
Regulatory Notice 25-05
Regulatory Notice 25-05
Sectors:
Topics:
Broker DealerWealth ManagerAsset Manager
Regulatory Notice 25-06
Regulatory Notice 25-06
Sectors:
Topics:
Broker DealerAsset Manager
Regulatory Notice 25-07
Regulatory Notice 25-07
Sectors:
Topics:
Broker DealerAsset ManagerFintech
Special Notice – 5/15/25
Special Notice – 5/15/25
Sectors:
Topics:
Broker DealerAsset ManagerAll Firms
Regulatory Notice 25-08
Regulatory Notice 25-08
Sectors:
Topics:
Broker DealerAsset Manager
Regulatory Notice 25-09
Regulatory Notice 25-09
Sectors:
Topics:
Broker DealerWealth ManagerBank
Election Notice – 9/4/25
Election Notice – 9/4/25
Sectors:
Topics:
Broker DealerAsset ManagerBank
Regulatory Notice 25-10
Regulatory Notice 25-10
Sectors:
Topics:
Broker DealerBankFintech
Regulatory Notice 25-11
Regulatory Notice 25-11
Sectors:
Topics:
Broker DealerBankAsset Manager
Regulatory Notice 25-13
Regulatory Notice 25-13
Sectors:
Topics:
Broker DealerWealth ManagerBank
Election Notice – 10/20/25
Election Notice – 10/20/25
Sectors:
Topics:
Broker DealerAsset ManagerAll Firms
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 25-14
Regulatory Notice 25-14
Sectors:
Topics:
Broker DealerAsset Manager
Regulatory Notice 25-16
Regulatory Notice 25-16
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
Regulatory Notice 25-17
Regulatory Notice 25-17
Sectors:
Topics:
Broker DealerAsset ManagerBank
Regulatory Notice 25-18
Regulatory Notice 25-18
Sectors:
Topics:
Broker DealerWealth ManagerBank
Regulatory Notice 25-19
Regulatory Notice 25-19
Sectors:
Topics:
Broker DealerAsset Manager
Regulatory Notice 26-01
Regulatory Notice 26-01
Sectors:
Topics:
Broker DealerAsset Manager
Regulatory Notice 26-02
Regulatory Notice 26-02
Sectors:
Topics:
Broker DealerWealth ManagerBank
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’s Decision on Repo and Reverse Repo Rates
SAMA’s Decision on Repo and Reverse Repo Rates
Sectors:
Topics:
BankWealth Manager
SAMA Hosts the FSB Plenary Meeting and EMDEs Forum
SAMA Hosts the FSB Plenary Meeting and EMDEs Forum
Sectors:
Topics:
BankAsset ManagerWealth Manager
SAMA Licenses “Madd Balas” Company to Provide Debt-Based Crowdfunding Solutions
SAMA Licenses “Madd Balas” Company to Provide Debt-Based Crowdfunding Solutions
Sectors:
Topics:
BankFintech
Governor of SAMA: 2026 Budget Aims to Enhance Sustainable Economic Growth in the Kingdom
Governor of SAMA: 2026 Budget Aims to Enhance Sustainable Economic Growth in the Kingdom
Sectors:
Topics:
BankWealth ManagerAsset Manager
ASIC acts against ESG investment fund responsible entity alleging governance failures and misleading conduct
ASIC acts against ESG investment fund responsible entity alleging governance failures and misleading conduct
Sectors:
Topics:
Asset ManagerWealth Manager
ASIC cancels Australian financial services licence of Velos Global Markets Pty Ltd
ASIC cancels Australian financial services licence of Velos Global Markets Pty Ltd
Sectors:
Topics:
Broker DealerWealth ManagerAll Firms
ASIC finds many auditors failing to demonstrate compliance with auditor independence obligations
ASIC finds many auditors failing to demonstrate compliance with auditor independence obligations
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Victorian man sentenced in Cann Group insider trading case
Victorian man sentenced in Cann Group insider trading case
Sectors:
Topics:
BankBroker DealerAsset Manager
ASIC Annual Forum to focus on the challenges of a rapidly evolving economy as it returns to Melbourne in November
ASIC Annual Forum to focus on the challenges of a rapidly evolving economy as it returns to Melbourne in November
Sectors:
Topics:
BankAsset ManagerBroker Dealer
ASIC’s annual report reveals strong growth in enforcement action and investigations and keen focus on strengthening markets
ASIC’s annual report reveals strong growth in enforcement action and investigations and keen focus on strengthening markets
Sectors:
Topics:
BankBroker DealerAsset Manager
ASIC bans former Lighthouse Partners director Timothy Archibald for 10 years for fees for no service conduct
ASIC bans former Lighthouse Partners director Timothy Archibald for 10 years for fees for no service conduct
Sectors:
Topics:
Wealth ManagerAll Firms
ASIC cancels AFS licence of CPG Research & Advisory for ceasing business operations and unpaid industry funding levies
ASIC cancels AFS licence of CPG Research & Advisory for ceasing business operations and unpaid industry funding levies
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC flags risks in offshore outsourcing after review identifies governance gaps
ASIC flags risks in offshore outsourcing after review identifies governance gaps
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC sends clear message to super trustees amid glaring retirement communications gaps
ASIC sends clear message to super trustees amid glaring retirement communications gaps
Sectors:
Topics:
Asset ManagerWealth ManagerInsurance
Federal Court orders remaining ALAMMC Group companies wound up
Federal Court orders remaining ALAMMC Group companies wound up
Sectors:
Topics:
BankAsset ManagerWealth Manager
Two former Statewide Super executives acquitted on charges of dishonesty offences
Two former Statewide Super executives acquitted on charges of dishonesty offences
Sectors:
Topics:
BankWealth ManagerAsset Manager
Directors of Perth-based financial services company charged over five-year failure to lodge financial accounts with ASIC
Directors of Perth-based financial services company charged over five-year failure to lodge financial accounts with ASIC
Sectors:
Topics:
BankWealth ManagerAll Firms
ASIC halts offers of TruePillars Investment Trust
ASIC halts offers of TruePillars Investment Trust
Sectors:
Topics:
Asset ManagerWealth Manager
ASIC permanently bans Noel Northcott from the financial services industry
ASIC permanently bans Noel Northcott from the financial services industry
Sectors:
Topics:
Asset ManagerWealth Manager
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
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
Construction industry director charged with breach of director’s duties and providing false and misleading documents
Construction industry director charged with breach of director’s duties and providing false and misleading documents
Sectors:
Topics:
BankWealth ManagerAsset Manager
ASIC statement - Clime entities
ASIC statement - Clime entities
Sectors:
Topics:
Asset ManagerWealth Manager
Perth fraudster Chris Marco sentenced to 14 years imprisonment
Perth fraudster Chris Marco sentenced to 14 years imprisonment
Sectors:
Topics:
BankWealth ManagerAsset Manager
ASIC highlights financial reporting and audit findings for FY 2024–25 as part of expanded program of work
ASIC highlights financial reporting and audit findings for FY 2024–25 as part of expanded program of work
Sectors:
Topics:
Asset ManagerBankWealth Manager
ASIC cancels AFS licence of Arrumar Private for licence failures
ASIC cancels AFS licence of Arrumar Private for licence failures
Sectors:
Topics:
Asset ManagerBankWealth Manager
Charges against Dean Scook, former officer of Rock Mining Australia Limited, have been discontinued
Charges against Dean Scook, former officer of Rock Mining Australia Limited, have been discontinued
Sectors:
Topics:
BankWealth ManagerAll Firms
Freezing orders against Gregory Cotton and First Mutual Private Equity continue
Freezing orders against Gregory Cotton and First Mutual Private Equity continue
Sectors:
Topics:
BankWealth ManagerAsset Manager
ASIC cancels AFS licence of Ricard Securities
ASIC cancels AFS licence of Ricard Securities
Sectors:
Topics:
Asset ManagerWealth Manager
Former CEO of AI marketing company Metigy pleads guilty to misleading investors and dishonestly using his position
Former CEO of AI marketing company Metigy pleads guilty to misleading investors and dishonestly using his position
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
A roadmap for capital markets to grow our economy
A roadmap for capital markets to grow our economy
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
Prime Super pays ASIC infringement notice alleging misleading statements about tobacco investments
Prime Super pays ASIC infringement notice alleging misleading statements about tobacco investments
Sectors:
Topics:
Asset ManagerWealth ManagerInsurance
HESTA pays ASIC infringement notices alleging misleading statements about carbon emissions
HESTA pays ASIC infringement notices alleging misleading statements about carbon emissions
Sectors:
Topics:
Asset ManagerInsurance
ASIC review raises fresh concerns over risks to retirement savings from poor SMSF advice
ASIC review raises fresh concerns over risks to retirement savings from poor SMSF advice
Sectors:
Topics:
Asset ManagerWealth ManagerBank
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 announces 2026 enforcement priorities
ASIC announces 2026 enforcement priorities
Sectors:
Topics:
BankAsset ManagerInsurance
ASIC takes action against MWL Financial Services, former director Nicholas Maikousis, and Imperial Capital Group Australia over alleged Shield advice failures
ASIC takes action against MWL Financial Services, former director Nicholas Maikousis, and Imperial Capital Group Australia over alleged Shield advice failures
Sectors:
Topics:
Asset ManagerWealth Manager
ASIC sues SQM Research alleging misleading reports related to Shield
ASIC sues SQM Research alleging misleading reports related to Shield
Sectors:
Topics:
Asset ManagerWealth Manager
ASIC sues Interprac over alleged Shield and First Guardian licensee failures
ASIC sues Interprac over alleged Shield and First Guardian licensee failures
Sectors:
Topics:
Wealth ManagerAsset Manager
ASIC suspends AFS licence of Surety Compliance Limited
ASIC suspends AFS licence of Surety Compliance Limited
Sectors:
Topics:
Asset ManagerWealth Manager
Infrabuild companies pay infringement notices for failing to lodge financial reports on time
Infrabuild companies pay infringement notices for failing to lodge financial reports on time
Sectors:
Topics:
BankAsset ManagerWealth Manager
ASIC suspends AFSL of Centurion Capital Limited
ASIC suspends AFSL of Centurion Capital Limited
Sectors:
Topics:
Asset ManagerWealth Manager
QLD shadow director charged with $8m debt factoring fraud involving Bunnings Warehouse
QLD shadow director charged with $8m debt factoring fraud involving Bunnings Warehouse
Sectors:
Topics:
BankWealth ManagerFintech
ASIC cancels AFS licence of Ivy League Capital
ASIC cancels AFS licence of Ivy League Capital
Sectors:
Topics:
Asset ManagerWealth Manager
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
Banned SMSF Auditor charged with continuing to act whilst disqualified and falsifying documents
Banned SMSF Auditor charged with continuing to act whilst disqualified and falsifying documents
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC takes contempt action against David McWilliams and Laura Fullarton over alleged freezing order breaches
ASIC takes contempt action against David McWilliams and Laura Fullarton over alleged freezing order breaches
Sectors:
Topics:
BankWealth ManagerFintech
ASIC calls for feedback on stamp duty and portfolio holdings disclosure requirements for super funds
ASIC calls for feedback on stamp duty and portfolio holdings disclosure requirements for super funds
Sectors:
Topics:
Asset ManagerWealth ManagerInsurance
ASIC 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 sues Diversa Trustees alleging failures relating to First Guardian
ASIC sues Diversa Trustees alleging failures relating to First Guardian
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC takes action against Adelaide-based Colin Oxlade and Spice Capital Partners over unlicensed financial services business
ASIC takes action against Adelaide-based Colin Oxlade and Spice Capital Partners over unlicensed financial services business
Sectors:
Topics:
Asset ManagerWealth Manager
ASIC issues over $2.2 million in infringement notices to 12 large proprietary companies for alleged failure to lodge financial reports
ASIC issues over $2.2 million in infringement notices to 12 large proprietary companies for alleged failure to lodge financial reports
Sectors:
Topics:
BankAsset ManagerWealth Manager
ASIC suspends AFS licence of MW Planning Pty Ltd following failure to replace responsible manager
ASIC suspends AFS licence of MW Planning Pty Ltd following failure to replace responsible manager
Sectors:
Topics:
Wealth Manager
Former CEO of Bruck Textile Technologies has conviction overturned following appeal
Former CEO of Bruck Textile Technologies has conviction overturned following appeal
Sectors:
Topics:
BankWealth ManagerAll Firms
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
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
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
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
Directors of collapsed agri-businesses linked to corruption scandal disqualified for maximum 5-year period
Directors of collapsed agri-businesses linked to corruption scandal disqualified for maximum 5-year period
Sectors:
Topics:
BankWealth ManagerAsset Manager
Richard Ernest Auricht’s liquidator registration cancellation overturned on appeal, substituted with five-year suspension
Richard Ernest Auricht’s liquidator registration cancellation overturned on appeal, substituted with five-year suspension
Sectors:
Topics:
BankWealth ManagerAll Firms
Former financial advisor Anthony Torre sentenced to six years imprisonment for fraud and stealing
Former financial advisor Anthony Torre sentenced to six years imprisonment for fraud and stealing
Sectors:
Topics:
Wealth ManagerBank
Former United Global Capital financial adviser Milutin Petrovic’s ban varied to three years
Former United Global Capital financial adviser Milutin Petrovic’s ban varied to three years
Sectors:
Topics:
Wealth ManagerAsset Manager
Fund manager sentenced to 6 years’ jail in $3 million Platinum Asset Management insider trading case
Fund manager sentenced to 6 years’ jail in $3 million Platinum Asset Management insider trading case
Sectors:
Topics:
Asset ManagerBroker Dealer
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
Forks in the Curve: whether and how to respond to monetary policy divergence - speech by Megan Greene
Given at the Resolution Foundation
Sectors:
Topics:
BankAsset ManagerBroker Dealer
Screening for success: Opening the gateway to growth
Speech by Sheree Howard at the FCA's Gateway to growth, Chicago Booth London Conference Centre. The first time I flew was in my teenage years, and like many of my generation, that was a flight to Europe for a family holiday. I didn’t make it further afield until I was in my mid to late twenties.Today, most, if not all of us, would think of international travel as the norm – especially given the global nature of our business.It is amazing, therefore, to think that right around this time in 197...
Sectors:
Topics:
BankFintechWealth Manager
Letter from Claudia Buch, Chair of the Supervisory Board, to Mr Bas Eickhout, MEP, on banking supervision
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
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
Aureus Trade: BaFin warns consumers about the website: aureus-trade(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered by Aureus Trade. BaFin suspects the unknown operators of the website aureus-trade(.)com of offering consumers financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankFintechCrypto Exchange
bxforex(.)com: BaFin warns consumers about website and identity theft
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website bxforex(.)com. According to information available to BaFin, this website is being used to offer financial, investment and cryptoasset services without the required authorisation.
Sectors:
Topics:
BankBroker DealerWealth Manager
Rostock24 Limited: BaFin warns consumers about the website Rostock24(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Rostock24 Limited and the services it is offering. BaFin suspects the unknown operators of the website rostock24(.)com of offering consumers financial, investment and cryptoasset services without the required authorisation. Rostock24 Limited, which purportedly has its head office in Nuremberg, claims to be registered with the British Companies House. This is not the case.
Sectors:
Topics:
BankFintechCrypto Exchange
Identity theft: BaFin warns against offers from the email address info[at]vcgmanagement.de
The Federal Financial Supervisory Authority BaFin warns against fixed-term deposit offers sent from the email address info[at]vcgmanagement.de. According to information available to BaFin, the unknown providers are conducting banking transactions without the required authorisation. The offers do not originate from VC Germany Management GmbH. This is a case of identity theft.
Sectors:
Topics:
BankWealth ManagerFintech
List of members of the Consultative Committee for Prudential Regulation (Updated)
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
List of members of the Consultative Committee for the Audit Profession (Updated)
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
List of members of the Board (Updated)
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
List of members of the Executive Board (Updated)
No description available.
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BankWealth ManagerAsset Manager
CSSF organisation chart (Updated)
No description available.
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BankWealth ManagerAsset Manager
SEC Seeks Candidates for Small Business Capital Formation Advisory Committee
The Securities and Exchange Commission is seeking candidates to fill a limited number of vacancies on the agency’s Small Business Capital Formation Advisory Committee, which provides advice and recommendations to the Commission on rules, regulations, and…
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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.
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FintechCrypto ExchangeAll Firms
CSSF Newsletter No 300 - January 2026
No description available.
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BankAsset ManagerWealth Manager
SFC obtains $595 million compensation order and disqualification orders up to 15 years against three former directors and senior executives of Superb Summit International Group Limited
No description available.
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BankBroker DealerAsset Manager
Press Conferences,Press Conference by KATAYAMA Satsuki, Minister of State for Financial Services (January 9, 2026)
No description available.
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BankAsset ManagerBroker Dealer
Others,Remarks by Minister KATAYAMA at the event “Japan’s Turn” of the 56th Annual Meeting of the World Economic Forum
No description available.
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BankWealth ManagerFintech
Resolution Reporting Requirements - track changes
No description available.
Sectors:
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BankAsset ManagerWealth Manager
BaFin product intervention regarding turbo certificates
No description available.
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BankBroker DealerAsset Manager
Keith E. Cassidy Named Director of the Division of Examinations
The Securities and Exchange Commission today announced that Keith E. Cassidy has been appointed Director of the Division of Examinations. Mr. Cassidy has served as Acting Director since May 2024 and previously was the division’s Deputy Director, Acting…
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BankBroker DealerAsset Manager
Publication,FSA Weekly Review No.671 January 20, 2026
No description available.
Sectors:
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BankAsset ManagerWealth Manager
The AMF publishes the findings of its inspections on the role and involvement of the compliance function at investment services providers
Supervision Compliance Journalists Investment services providers The AMF publishes the findings of its inspections on the role and involvement of the compliance function at investment services providers
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BankAsset ManagerBroker Dealer
PS1/26 – Implementation of Basel 3.1: Final rules
Policy statement 1/26
AI Analysis
PS1/26 represents the UK Prudential Regulation Authority's final implementation framework for the Basel 3.1 international banking standards, effective 1 January 2027 (with market risk internal models delayed to 1 January 2028). This policy statement establishes mandatory capital, credit risk, operational risk, and market risk requirements for UK-regulated banks, building societies, and investment firms, addressing post-financial crisis shortcomings in risk-weighted asset (RWA) calculations and capital adequacy frameworks.
Action Required
The Prudential Regulation Authority (PRA) has published the final rules for the implementation of Basel 3.1 standards in the UK, with an effective date of January 1, 2027. The rules aim to enhance the resilience of banks and improve the stability of the financial system. Firms must review and update their policies and procedures to ensure compliance with the new requirements.
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BankBroker DealerAsset Manager
PS3/26 – Restatement of CRR requirements – 2027 implementation – final
Policy statement 3/26
AI Analysis
PS3/26 is the PRA's final policy statement restating the remaining provisions of the UK Capital Requirements Regulation (CRR) into the PRA Rulebook and related policy materials, effective 1 January 2027. This represents a critical step in the UK's transition away from assimilated EU law, consolidating fragmented regulatory requirements into a unified domestic framework while introducing targeted amendments to securitisation rules and External Credit Assessment Institution (ECAI) mapping.
Action Required
The Prudential Regulation Authority (PRA) has published a policy statement (PS3/26) that restates the remaining relevant provisions in the Capital Requirements Regulation (CRR) within the PRA Rulebook and other policy materials. This change aims to ensure that the PRA's rules and policies are consistent with the UK's withdrawal from the EU. The policy statement is relevant to PRA-authorised banks, building societies, and other financial institutions.
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BankBroker DealerAsset Manager
Resolution Reporting Requirements (Updated)
No description available.
Sectors:
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BankAsset ManagerWealth Manager
Deactivated validation rules and EBA small validation packages COFREP (Updated)
No description available.
Sectors:
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BankAsset ManagerWealth Manager
Applications now open for next round of FCA’s AI Live Testing
We have opened applications for the second cohort of our AI Live Testing service. AI Live Testing is the first of its kind in the financial sector to help firms who are ready to use AI in UK financial markets. Participating firms receive tailored support from our regulatory team and our technical partner Advai to develop, assess and deploy safe and responsible AI.The service helps firms to consider key questions around evaluating AI including governance, risk management and monitoring to help...
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BankFintechAsset Manager
Sharon Donnery: The ECB’s approach to simplification in banking regulation and supervision
No description available.
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BankAsset ManagerWealth Manager
Tribunal upholds ban and fines for corrupt and dishonest adviser
The FCA's decision to ban Darren Antony Reynolds from working in financial services and fine him £2,037,892 has been upheld by the Upper Tribunal. The FCA's decision to ban Darren Antony Reynolds from working in financial services and fine him £2,037,892 has been upheld by the Upper Tribunal.Mr Reynolds was dishonest when he gave pension transfer advice and investment recommendations to his customers, causing them significant harm.Mr Reynolds showed a clear disregard for his customers’ intere...
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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.
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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...
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Wealth Manager
SAMA Decision on Repo and Reverse Repo Rates
SAMA Decision on Repo and Reverse Repo Rates
Sectors:
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BankWealth Manager
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:
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BankWealth ManagerFintech
iCapital Expands Global Footprint with New Office in the United Arab Emirates
iCapital Expands Global Footprint with New Office in the United Arab Emirates
Sectors:
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Asset ManagerWealth ManagerFintech
‘Courage’ Takes Centre Stage at RESOLVE 2025 as Experts Tackle Dispute Resolution in a Digital Era
‘Courage’ Takes Centre Stage at RESOLVE 2025 as Experts Tackle Dispute Resolution in a Digital Era
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BankWealth ManagerFintech
J.P. Morgan accelerates growth with full-scale Treasury services in ADGM
J.P. Morgan accelerates growth with full-scale Treasury services in ADGM
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BankWealth Manager
USD 9 Trillion in Assets Commit to ADGM as Abu Dhabi Finance Week Redefines Global Capital Flows
USD 9 Trillion in Assets Commit to ADGM as Abu Dhabi Finance Week Redefines Global Capital Flows
Sectors:
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Asset ManagerBankWealth Manager
UAE Sustainable Finance Working Group Publishes Fourth Statement During Abu Dhabi Finance Week 2025
UAE Sustainable Finance Working Group Publishes Fourth Statement During Abu Dhabi Finance Week 2025
Sectors:
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Asset ManagerBankWealth Manager
ADGM Registration Authority Publishes New Commercial Permits Rules for Events, Sales and Promotions and Temporary Commercial Activity
ADGM Registration Authority Publishes New Commercial Permits Rules for Events, Sales and Promotions and Temporary Commercial Activity
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BankWealth ManagerFintech
ADFW 2025 Delivers its Most Successful Edition, Showcasing Abu Dhabi’s Next Decade of Growth with Over 35,000 Attendees
ADFW 2025 Delivers its Most Successful Edition, Showcasing Abu Dhabi’s Next Decade of Growth with Over 35,000 Attendees
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BankWealth ManagerFintech
APIAC and Opus 2 Announce Office Openings in the ADGM Dispute Resolution Hearing Centre as Abu Dhabi’s Dispute Resolution Community Expands
APIAC and Opus 2 Announce Office Openings in the ADGM Dispute Resolution Hearing Centre as Abu Dhabi’s Dispute Resolution Community Expands
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BankWealth ManagerAll Firms
Bank of Palestine Expands Globally after Receiving an In-Principle Approval for a Full Banking License from ADGM Abu Dhabi, UAE
Bank of Palestine Expands Globally after Receiving an In-Principle Approval for a Full Banking License from ADGM Abu Dhabi, UAE
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Bank
ADGM’s FSRA issues alert concerning fraudulent scheme and false and misleading claims - SGV Advisory FZ LLC or Strategic Global Ventures
ADGM’s FSRA issues alert concerning fraudulent scheme and false and misleading claims - SGV Advisory FZ LLC or Strategic Global Ventures
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BankWealth ManagerFintech
ADGM’s Registration Authority Reshapes Services in the Real Estate Sector
ADGM’s Registration Authority Reshapes Services in the Real Estate Sector
Sectors:
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BankWealth ManagerFintech
Media releases
Media releases
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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...
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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.
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BankWealth ManagerFintech
Court approves FCA’s proposals to distribute Asset Land investor funds
On 19 December 2025 the High Court approved the FCA’s proposals to distribute funds to Asset Land investors. The Court has directed the FCA to pay funds to investors in the Asset Land schemes who provide valid bank account details to the FCA on or before 20 February 2026.Investors who have not received previous communications from the FCA or who have not updated their contact information are requested to immediately contact the FCA using the details below.Please ensure this is completed no la...
Deadline: 20 February 2026
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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
Sectors:
Topics:
BankFintech
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.
Sectors:
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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
Sectors:
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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
FCA fines oil rig consultant £309,843 for insider dealing
The FCA has fined Russel Gerrity £309,843 for using inside information to net himself £128,765. As a consultant, Mr Gerrity had access to information about whether oil and gas had been discovered during the drilling of wells. Between October 2018 and January 2022, he took advantage of this and used inside information to buy shares in Chariot Oil & Gas Limited and Eco (Atlantic) Oil and Gas Plc ahead of announcements that increased their price. On another occasion, he used inside information t...
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Broker DealerAsset Manager
Global imbalances in a more fragmented world – remarks by Andrew Bailey
Given at the Bellagio Group event, Bank of England
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BankAsset ManagerWealth Manager
ECB advances climate and nature work after delivering on 2024-2025 plan
No description available.
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BankAsset ManagerWealth Manager
Results of the enforcement of the 2024 financial and non-financial information published by issuers subject to the Transparency Law
Communiqué
AI Analysis
The CSSF's January 2026 enforcement report documents the results of its 2025 examination campaign on 2024 financial and non-financial disclosures by issuers under Luxembourg's Transparency Law. This publication is critical for compliance professionals because it reveals systematic compliance gaps across financial reporting (IFRS), sustainability reporting (ESRS), and Alternative Performance Measures (APMs), with 27% of enforcement decisions resulting in injunctions for non-compliance.
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All Firms
SFC warns public of suspicious AI-themed investment product offered by Gold Fun and Angel Guardian Alliance Technology
No description available.
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Asset ManagerWealth ManagerFintech
Grand-ducal Regulation of 23 December 2022 (consolidated version) (Updated)
relating to the fees to be levied by the Commission de Surveillance du Secteur Financier
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BankAsset ManagerWealth Manager
J. Russell McGranahan Named SEC General Counsel
The Securities and Exchange Commission today announced that J. Russell “Rusty” McGranahan has been named SEC General Counsel. As the SEC’s chief legal officer, Mr. McGranahan will oversee the provision of legal expertise and advice to the Office of the…
Sectors:
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BankAsset ManagerBroker Dealer
Commission Implementing Regulation (EU) 2026/124 of 14 January 2026
amending Council Regulation (EU) No 833/2014 concerning restrictive measures in view of Russia’s actions destabilising the situation in Ukraine
Sectors:
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BankWealth ManagerAsset Manager
Identity theft: BaFin warns against offers on website fidelity-ag(.)com
The Federal Financial Supervisory Authority BaFin warns against offers on the website fidelity-ag(.)com. According to information available to BaFin, banking transactions, especially fixed-term deposits, financial or investment services are being provided on this website without the required authorisation. The fixed-term deposit offers are sent, among others, from the email address festgeld[at]fidelity-ag(.)com. The offers do not originate from the Swiss company Fidelity Treuhand und Verwaltu...
Sectors:
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BankWealth ManagerFintech
Letter from Rebecca Jackson and Alison Scott – International Banks Supervision: 2026 priorities
Letter to Chief Executive Officers of PRA regulated international banks active in the UK
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BankWealth Manager
SSM Calendar Claude Wampach – 10/2025
No description available.
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BankWealth ManagerAsset Manager
Circular CSSF 19/708 - Annex (Updated)
Electronic transmission of documents to the CSSF
AI Analysis
Circular CSSF 19/708 mandates the electronic transmission of specified documents to the CSSF via secure platforms like e-file or SOFiE, effective from February 1, 2019, replacing prior paper or other methods. This updated annex (as amended by Circular CSSF 21/790 and further revisions up to April 1, 2025) standardizes submissions for investment funds and related entities, reducing administrative burdens while ensuring document integrity and CSSF accessibility. Compliance professionals must monitor the dynamic annex list on the CSSF website to avoid nullified submissions.
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Asset ManagerWealth ManagerInsurance
The AMF sets its priorities for 2026 for deeper, safer and more resilient financial markets open to innovation
Strategy Supervision Institutional Other professionals Retail investors Journalists Investment services providers Investment management companies Listed companies and issuers The AMF sets its priorities for 2026 for...
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Asset ManagerBroker DealerBank
The evolution of the Bank’s approach to resolution − speech by Dave Ramsden
Given at King’s College London
Sectors:
Topics:
BankWealth ManagerAll Firms
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
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
The European Supervisory Authorities and UK financial regulators sign Memorandum of Understanding on oversight of critical ICT third-party service providers under DORA
The European Supervisory Authorities and UK financial regulators sign Memorandum of Understanding on oversight of critical ICT third-party service providers under DORA 14 January 2026 Digital Finance and Innovation International cooperation The European Supervisory Authorities (EBA, EIOPA and ESMA – the ESAs) have today signed a Memorandum of Understanding (MoU) with the Bank of England (BoE), the Prudential Regulation Authority (PRA), and the Financial Conduct Authority (FCA). This agreement...
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BankAsset ManagerWealth Manager
UK and EU regulators sign Memorandum of Understanding to strengthen oversight of critical third parties
The Financial Conduct Authority, Bank of England and Prudential Regulation Authority (UK regulators) have together signed a Memorandum of Understanding (MoU) with the European Supervisory Authorities to enhance cooperation and oversight of critical third parties (CTPs) that fall under the UK’s CTP regime.
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BankAsset ManagerWealth Manager
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.
Sectors:
Topics:
BankWealth ManagerAsset Manager
Driving over the peak, or a false summit? − speech by Alan Taylor
Given at National University of Singapore
Sectors:
Topics:
BankAsset ManagerWealth Manager
Aktualisierte Sanktionsmeldung: Demokratische Republik Kongo
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung des Anhangs 2 der Verordnung vom 22. Juni 2005 über Massnahmen gegenüber der Demokratischen Republik Kongo (SR 946.231.12) publiziert.
AI Analysis
The Swiss Federal Department for Economic Affairs, Education and Research (WBF) updated Annex 2 of the Ordinance on Measures against the Democratic Republic of Congo (SR 946.231.12) on January 12, 2026, modifying the list of sanctioned persons, companies, and organizations, with changes effective January 13, 2026, at 23:00 UTC. This matters for Swiss financial intermediaries as it triggers immediate asset freezing, reporting to SECO, and potential AML checks under the Anti-Money Laundering Act (GwG), ensuring compliance with Switzerland's implementation of international sanctions via the Embargo Act (EmbG).
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BankAsset ManagerWealth Manager
Aktualisierte Sanktionsmeldung: Venezuela
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat Änderungen des Anhangs 1 der Verordnung vom 28. März 2018 über Massnahmen gegenüber Venezuela (SR 946.231.178.5) publiziert.
AI Analysis
On January 13, 2026, Switzerland's State Secretariat for Economic Affairs (SECO) updated Annex 1 of the Ordinance on Measures against Venezuela (SR 946.231.178.5), reflecting changes to the list of designated persons and entities subject to Swiss asset freezing measures. This update is critical for Swiss financial institutions and regulated entities as it directly impacts sanctions compliance obligations and requires immediate verification of client and counterparty lists against the revised designations.
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BankWealth ManagerAsset Manager
International central bankers on the statement by Federal Reserve Chair Powell on 11 January 2026
We stand in full solidarity with the Federal Reserve System and its Chair Jerome H. Powell.
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BankAsset ManagerWealth Manager
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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Topics:
BankInsuranceAsset Manager
Paul Tzur and David Morrell Named Deputy Directors of the Division of Enforcement
The Securities and Exchange Commission today announced that Paul H. Tzur and David M. Morrell have been named as Deputy Directors of the Division of Enforcement. Mr. Tzur joined the Commission on January 6, 2026, as the Deputy Director overseeing the…
AI Analysis
The SEC announced on January 12, 2026, the appointment of Paul H. Tzur and David M. Morrell as Deputy Directors of the Division of Enforcement, with Tzur joining on January 6, 2026, to oversee key operations. This personnel change is part of a broader reorganization replacing Regional Directors with Deputy Directors for more centralized oversight of investigations. It matters for compliance teams as it signals greater consistency in enforcement approaches, potentially affecting investigation timelines, Wells process strategies, and settlement negotiations across SEC-regulated entities.
Sectors:
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Asset ManagerBroker DealerHedge Fund
FCA highlights good practice and risks in complex ETPs for retail investors
We reviewed how firms sell complex exchange traded products (ETPs) to retail consumers. Complex ETPs are a subset of the wider ETP market and include high-risk investment strategies that can be difficult for retail consumers to understand.We assessed how firms of different sizes and business models evaluate these products, communicate key risks and monitor outcomes under the Consumer Duty.Given the complexity and risk profile of ETPs, it is essential firms make sure investors have the knowled...
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Asset ManagerBroker DealerWealth Manager
Commission Delegated Regulation (EU) 2026/46 of 3 December 2025
amending Delegated Regulation (EU) 2016/1675 to add Russia to the list of high-risk third countries with strategic deficiencies
Sectors:
Topics:
BankAsset ManagerWealth Manager
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…
Sectors:
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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...
Sectors:
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BankWealth ManagerFintech
Administrative sanction of 11 September 2025
Administrative sanction imposed on the alternative investment fund manager Premium Capital Management (“AIFM”)
AI Analysis
The CSSF imposed a €10,000 administrative fine on 11 September 2025 against alternative investment fund manager (AIFM) Premium Capital Management for failing to submit its annual financial crime questionnaire by the 4 April 2025 deadline, breaching the cooperation obligation under Article 5(1) of Luxembourg's AML/CFT Law of 12 November 2004. This enforcement action underscores the CSSF's strict enforcement of AML reporting duties, signaling heightened scrutiny on timely supervisory cooperation amid ongoing AML risks in Luxembourg. Compliance teams should view this as a reminder of the low tolerance for even administrative lapses, with potential for escalated fines in repeat cases.
Sectors:
Topics:
Asset ManagerHedge Fund
Administrative sanction of 11 September 2025
Administrative sanction imposed on the alternative investment fund manager Sunbricks GP S.à r.l. (“AIFM”)
AI Analysis
The CSSF imposed a **€10,000 administrative fine on Sunbricks GP S.à r.l.**, an alternative investment fund manager, for failing to submit a mandatory annual financial crime questionnaire by the April 4, 2025 deadline, despite two formal reminders. This enforcement action demonstrates the CSSF's strict approach to cooperation obligations under Luxembourg's anti-money laundering and counter-terrorist financing (AML/CFT) framework and signals that non-submission of required compliance documentation—even without evidence of underlying financial crime—triggers regulatory penalties.
Sectors:
Topics:
Asset ManagerAll Firms
Administrative sanction of 11 September 2025
Administrative sanction imposed on the alternative investment fund manager Capitalis Premiere Group (“AIFM”)
AI Analysis
The CSSF imposed a €10,000 administrative fine on alternative investment fund manager (AIFM) Capitalis Premiere Group on 11 September 2025 for failing to submit its annual financial crime questionnaire by the 4 April 2025 deadline, despite two reminders, breaching the cooperation obligation under Article 5(1) of Luxembourg's AML/CFT Law of 12 November 2004. This enforcement action underscores the CSSF's strict enforcement of AML reporting duties, signaling heightened scrutiny on timely supervisory cooperation for Luxembourg-regulated entities. Compliance teams should note this as a low-value but public reminder of potential fines for administrative lapses in AML processes.
Sectors:
Topics:
Asset ManagerHedge Fund
Administrative sanction of 11 September 2025
Administrative sanction imposed on the alternative investment fund manager Lion Management (“AIFM”)
AI Analysis
The CSSF imposed a €10,000 administrative fine on Lion Management, an alternative investment fund manager, on 11 September 2025 for failing to submit a mandatory annual financial crime questionnaire by the 4 April 2025 deadline. This enforcement action demonstrates the CSSF's commitment to enforcing cooperation obligations under Luxembourg's anti-money laundering and terrorist financing framework, with direct implications for all AIFMs regarding timely compliance with supervisory reporting requirements.
Sectors:
Topics:
Asset ManagerHedge Fund
Administrative sanction of 11 September 2025
Administrative sanction imposed on the alternative investment fund manager Max Gain Capital S.à r.l. (“AIFM”)
AI Analysis
The CSSF imposed a €10,000 administrative fine on Max Gain Capital S.à r.l., an alternative investment fund manager, on 11 September 2025 for failing to submit a mandatory annual financial crime questionnaire by the April 2025 deadline. This enforcement action demonstrates the CSSF's active monitoring of AML/CFT compliance obligations and its willingness to sanction non-cooperation, even for procedural failures unrelated to substantive money laundering violations.
Sectors:
Topics:
Asset ManagerAll Firms
Administrative sanction of 11 September 2025
Administrative sanction imposed on the alternative investment fund manager Agriland Management S.A. (“AIFM”)
AI Analysis
The Commission de Surveillance du Secteur Financier (CSSF), Luxembourg's financial regulator, imposed a **EUR 10,000 administrative fine on Agriland Management S.A.**, an alternative investment fund manager, on 11 September 2025 for failing to submit a mandatory annual financial crime questionnaire by the April 2025 deadline. This enforcement action demonstrates the CSSF's commitment to enforcing cooperation obligations under Luxembourg's anti-money laundering and terrorist financing (AML/CFT) framework and signals heightened scrutiny of compliance with supervisory reporting requirements.
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Asset Manager
Administrative sanction of 11 September 2025
Administrative sanction imposed on the alternative investment fund manager Bedrock I GP S.à r.l. (“AIFM”)
AI Analysis
The CSSF imposed a €10,000 administrative fine on alternative investment fund manager (AIFM) Bedrock I GP S.à r.l. on 11 September 2025 for failing to submit its annual financial crime questionnaire by the 4 April 2025 deadline, despite two reminders, breaching the cooperation obligation under Article 5(1) of Luxembourg's AML/CFT Law of 12 November 2004. This enforcement action underscores CSSF's strict enforcement of AML reporting duties and serves as a public warning to supervised entities on timely supervisory compliance. It matters because it demonstrates that even modest fines are pursued for basic reporting lapses, potentially signaling heightened scrutiny on AIFMs' AML processes amid ongoing regulatory focus on financial crime risks.
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Asset ManagerHedge Fund
Administrative sanction of 11 September 2025
Administrative sanction imposed on the alternative investment fund manager C5 Haven Cyber GP S.à r.l. (“AIFM”)
AI Analysis
The CSSF imposed a €10,000 administrative fine on alternative investment fund manager (AIFM) C5 Haven Cyber GP S.à r.l. on 11 September 2025 for failing to submit its annual financial crime questionnaire by the 4 April 2025 deadline, despite two reminders, breaching the cooperation obligation under Article 5(1) of Luxembourg's AML/CFT Law of 12 November 2004. This enforcement action underscores CSSF's strict enforcement of AML reporting duties and serves as a public warning to supervised entities on the consequences of non-cooperation. It matters because it demonstrates that even modest fines will be levied for procedural lapses, potentially signaling increased scrutiny on timely AML compliance submissions amid broader regulatory focus on financial crime risks.
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Asset ManagerHedge Fund
Administrative sanction of 11 September 2025
Administrative sanction imposed on the alternative investment fund manager C5 S.à r.l. (“AIFM”)
AI Analysis
The CSSF imposed a €10,000 administrative fine on alternative investment fund manager C5 Haven Cyber GP S.à r.l. on 11 September 2025 for failing to submit its annual financial crime questionnaire by the 4 April 2025 deadline, despite reminders, breaching the cooperation obligation under Article 5(1) of Luxembourg's AML/CFT Law of 12 November 2004. This enforcement action underscores CSSF's strict enforcement of reporting duties in AML/CFT compliance, serving as a warning to supervised entities on the consequences of administrative delays. It matters because it highlights low-tolerance for even minor procedural lapses, potentially signaling increased scrutiny on annual reporting amid broader AML/CFT priorities.
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Asset ManagerHedge Fund
Administrative sanction of 23 July 2025
Administrative sanction imposed on JTC (Luxembourg) S.A.
AI Analysis
The CSSF imposed a €102,000 administrative fine on JTC (Luxembourg) S.A. on 23 July 2025 for breaches in its professional obligations as a depositary of non-financial assets under the AIFM Law, identified during an on-site inspection from February 2023 to January 2024 covering activities up to December 2022. This enforcement action highlights CSSF's scrutiny of depositary functions, particularly risk assessment and oversight controls, serving as a warning for similar entities to strengthen compliance amid rising supervisory focus on AIFM depositaries.
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Asset Manager
Finfluencers – Tips for responsible promotion
No description available.
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Asset ManagerWealth ManagerBank
Principles for risk-based supervision: a critical pillar for ESMA’s simplification and burden reduction efforts
Principles for risk-based supervision: a critical pillar for ESMA’s simplification and burden reduction efforts 09 January 2026 Supervision The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, published today its principles for risk-based supervision . These principles support a common and effective EU-wide supervisory culture and strengthen the EU single market. The principles on risk-based supervision outline key concepts and foundationa...
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Asset ManagerBankBroker Dealer
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
Circular CSSF 24/853 (as amended by Circulars CSSF 25/870 and 26/904) (Updated)
Long Form Report – Practical rules concerning the self-assessment questionnaire to be submitted by investment firms – Mission and related reports of the réviseurs d’entreprises agréés (approved statutory auditors)
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Broker DealerAll Firms
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
Asset Purchase Facility: Gilt Sales Amendment – Market Notice 8 January 2026
This Market Notice sets out amendment to the schedule for sales in Q1 2026 of gilts held in the Asset Purchase Facility (APF) for monetary policy purposes.
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BankBroker DealerAsset Manager
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
Circular CSSF 26/904
Update of Circular CSSF 24/853 on the Long Form Report (as amended by Circular CSSF 25/870) – Practical rules concerning the self-assessment questionnaire to be submitted by investment firms Mission and related reports of the réviseurs d’entreprises agréés (approved statutory auditors)
AI Analysis
Circular CSSF 26/904 updates Circular CSSF 24/853 (as amended by Circular CSSF 25/870) by introducing a revised Long Form Report (LFR) for investment firms, featuring a digital self-assessment questionnaire (SAQ) and enhanced auditor reports focused on AML/CFT and risk management. This matters because it aligns reporting with CSSF's risk-based supervision under CSSF 4.0, reduces redundancies, applies proportionality based on business models, and mandates digital submission to improve efficiency and data analysis.
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Asset ManagerBroker DealerAll Firms
Pension value to be put under the spotlight
Pension schemes must now publish transparent data on their performance, costs, and service quality, according to new proposals from the FCA, DWP, and TPR. Pension schemes will need to publish clear data on their performance, costs and quality of service, under proposals announced today by the Financial Conduct Authority (FCA), the Department for Work and Pensions (DWP) and The Pensions Regulator (TPR). If a pension offers poor value, firms and trustees must then fix it by moving savers to bet...
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Asset ManagerWealth ManagerInsurance
2026 fines
This page contains information about fines published during 2026. The total amount of fines so far is £371,700. Firm or individual finedDateAmountReasonRichard Adam07/01/2026£232,800The Final Notice refers to knowing concern in breaches of Article 15 of the Market Abuse Regulations, Listing Rule 1.3.3R, Listing Principle 1 and Premium Listing Principle 2.Zafar Khan07/01/2026£138,900The Final Notice refers to knowing concern in breaches of Article 15 of the Market Abuse Regulations, Listing Ru...
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BankBroker DealerAsset Manager
SEC Proposes Amendments to the Small Entity Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act
The Securities and Exchange Commission today proposed amendments to the rules that define which registered investment companies, investment advisers, and business development companies qualify as small entities for purposes of the Regulatory Flexibility…
AI Analysis
The SEC proposed amendments on January 7, 2026, to expand the definitions of "small entities" under the Regulatory Flexibility Act (RFA) for registered investment advisers (RIAs), investment companies, and business development companies by significantly raising asset thresholds last updated in 1998. This would increase the number of qualifying small entities, enabling the SEC to better assess regulatory impacts and potentially provide tailored relief like extended compliance timelines during rulemaking. It matters because it could indirectly reduce compliance burdens for mid-sized firms by influencing future SEC rules to minimize disproportionate effects on smaller players.
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Asset Manager
Alpha Blue Capital und Blue Capital: BaFin warns against offers on the websites bluealphafx(.)com and h5.bluealphasystem(.)net, in the app “BCAAT,” and in WhatsApp groups
In the WhatsApp groups, investors are recommended to invest in financial instruments that can then be traded via the platform h5.bluealphasystem(.)net or the aforementioned app.
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BankWealth ManagerFintech
Cantor: BaFin warns against identity fraud in WhatsApp groups and against app CDAfin
The Federal Financial Supervisory Authority BaFin warns against offers in WhatsApp groups, which are allegedly operated by Cantor Fitzgerald and led by Leopold Schneider. BaFin is not aware of the existence of this person. According to information available to BaFin, recommendations for the purchase of financial instruments and cryptocurrencies, which can allegedly be traded via CDAfin app, are offered in various WhatsApp groups. According to the current state of knowledge, there is no connec...
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BankFintechCrypto Exchange
Future Banking Data: November CFO Roundtable: summary
On 12 November the PRA hosted a roundtable meeting with Chief Financial Officers (CFOs) of systemically important firms operating in the UK, to discuss Future Banking Data (FBD).
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BankAsset ManagerWealth Manager
Capital Holdings: BaFin warns about the website capitalholdings(.)icu
The German Financial Supervisory Authority (BaFin) warns about offers on the website capitalholdings(.)icu. According to information available to BaFin, the unknown operators of the websites are offering banking transactions and financial services without the required authorisation.
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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
FCA fines former finance directors of Carillion plc (in liquidation)
The FCA has fined 2 former finance directors for their part in misleading statements being issued by Carillion plc. Richard Adam and Zafar Khan were both aware of serious financial troubles in Carillion’s UK construction business but failed to reflect this in company announcements or alert the Board and audit committee, leading to poor oversight.Mr Adam and Mr Khan have been fined £232,800 and £138,900, respectively. The fines were imposed after Mr Adam and Mr Khan withdrew their challenges t...
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BankWealth ManagerAll Firms
AIFM II: the AMF updates its doctrine to make introducing liquidity management tools easier for UCITS and AIFs
Asset management AIFMD UCIT AIFM II: the AMF updates its doctrine to make introducing liquidity management tools easier for UCITS and AIFs
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Asset ManagerHedge Fund
Global situation of undertakings for collective investment at the end of November 2025
Press release 26/01
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Asset ManagerWealth Manager
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
Minutes of the UK Money Markets Code Sub-Committee – December 2025
The Money Markets Committee is a forum for market participants and authorities to discuss the UK unsecured deposits and funding market and securities lending and repo markets.
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BankBroker DealerAsset Manager
ESMA publishes report on cross-border marking of funds including statistics on notifications
ESMA publishes report on cross-border marking of funds including statistics on notifications 06 January 2026 The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has today published its third report on marketing requirements and marketing communications under the Regulation on cross-border distribution of funds . For the first time, the report includes statistics on notifications of cross-border marketing of funds. Drawing on input from Na...
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Asset ManagerWealth Manager
PRA Regulatory Digest - December 2025
The PRA Regulatory Digest is for people working in the UK financial services industry and highlights key regulatory news and publications delivered for the month.
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BankAsset ManagerWealth Manager
New ordinance on the freezing of assets in the context of Venezuela of 5 January 2026
No description available.
AI Analysis
The Swiss Federal Council adopted a new ordinance (RS 196.127.85) on 5 January 2026, mandating the immediate freezing of all assets in Switzerland belonging to Nicolás Maduro and 36 associated persons, under the Federal Act on the Freezing and Restitution of Illicit Assets held by Foreign Politically Exposed Persons (FIAA). This precautionary measure prevents asset outflows amid Venezuela's political upheaval, complementing existing sanctions since 2018, and enables future mutual legal assistance for potential restitution to the Venezuelan people. It matters for Swiss financial institutions as it imposes immediate reporting and freezing obligations with severe penalties for non-compliance.
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BankAsset ManagerWealth Manager
ESMA launches selection of Consolidated Tape Provider for OTC derivatives
ESMA launches selection of Consolidated Tape Provider for OTC derivatives 05 January 2026 MiFID - Secondary Markets Trading The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, is launching the first selection procedure for the Consolidated Tape Provider (CTP) for over the counter (OTC) derivatives. Entities interested to apply are encouraged to register and submit their requests to participate in the selection procedure by 11 February 20...
AI Analysis
ESMA has launched the first selection procedure for a **Consolidated Tape Provider (CTP) for OTC derivatives**, with applications due by 11 February 2026 and a decision expected by early July 2026. This initiative establishes a critical market infrastructure component to enhance transparency and efficiency in the EU's OTC derivatives market by consolidating post-trade data into a single, continuous electronic stream.
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Broker DealerAsset ManagerAll Firms
Main updated figures regarding the financial centre
Extract from the CSSF Newsletter No 300 – January 2026
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BankAsset ManagerWealth Manager
SFC welcomes Process Review Panel Report 2024-25
No description available.
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BankWealth ManagerAsset Manager
TPK Vermögensverwaltungs KG: suspected offer to the public of shares in AuA 24 AG without the required prospectus
The Federal Financial Supervisory Authority (BaFin) has sufficient grounds to suspect that TPK Vermögensverwaltungs KG is offering securities to the public in Germany in the form of shares in AuA 24 AG without the required prospectus. There are no indications that the conditions for exemption from the prospectus requirement are met.
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Asset ManagerWealth Manager
SEC Announces Retirement of Division of Corporation Finance Deputy Director Cicely LaMothe
The Securities and Exchange Commission today announced that Cicely LaMothe, Deputy Director of the Division of Corporation Finance, has retired from the agency.“Cicely has gone above and beyond the call of duty over the past twenty-four years to serve…
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Asset ManagerBroker DealerWealth Manager
SFC withdraws restriction notices to brokers to facilitate return of misappropriated funds to affected parties
No description available.
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Broker DealerWealth ManagerBank
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
ESMA publishes latest Spotlight on Markets newsletter featuring updates on market integration and transparency
ESMA publishes latest Spotlight on Markets newsletter featuring updates on market integration and transparency 23 December 2025 ESMA newsletter The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has today published the latest edition of its Spotlight on Markets newsletter. This edition opens with ESMA welcoming the European Commission’s ambitious proposal on market integration, underlining the importance of deeper, more integrated and ef...
AI Analysis
ESMA's latest *Spotlight on Markets* newsletter (November/December 2025 issue, published 23 December 2025) summarizes key regulatory updates on EU market integration, transparency enhancements, and supervisory actions, including welcoming the European Commission's market integration proposal and announcing an equity consolidated tape provider (CTP) selection. This matters for compliance professionals as it signals accelerating EU efforts to deepen capital markets integration, improve data transparency, and strengthen oversight under MiFID II and DORA, potentially requiring firms to adapt governance, reporting, and conflict management practices.
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Asset ManagerBroker DealerAll Firms
Minutes of the Meeting of the Court of Directors held on 28 October 2025
The Bank's Court of Directors acts as a unitary board, setting the organisation's strategy and budget and taking key decisions on resourcing and appointments. Required to meet a minimum seven times per year, it has five executive members from the Bank and up to nine non-executive members.
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BankAsset ManagerWealth Manager
Circular CSSF 25/903
Update of Circular CSSF 24/850 on the practical rules concerning the descriptive report and the self-assessment questionnaire to be submitted on an annual basis by support PFS, as well as the engagement of the réviseurs d’entreprises agréés (approved statutory auditors) of support PFS and practical rules concerning the management letter and the separate report to be drawn up on an annual basis.
AI Analysis
Circular CSSF 25/903 updates Circular CSSF 24/850, refining practical rules for support Professional of the Financial Sector (support PFS) in Luxembourg regarding their annual descriptive report, self-assessment questionnaire, and the roles of approved statutory auditors (réviseurs d’entreprises agréés). It specifies requirements for auditors' engagement, management letters, and separate annual reports. This matters for support PFS as it enhances supervisory oversight, ensures consistent reporting quality, and strengthens internal controls, directly impacting compliance and audit processes amid CSSF's focus on robust PFS supervision.
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All FirmsFintechPayment Provider
App “RBC NL”: BaFin warns against offers in WhatsApp groups and indicates identity fraud at the expense of Robeco
The German Financial Supervisory Authority (BaFin) warns against WhatsApp groups such as „S373 Robeco Kernmitgliedergruppe“, “M2 Robeco Value Investing Kreis“ and „999 Robeco Investment Strategiezentrum - Blockhandel“, which are allegedly operated by the Frankfurt a.M.-based company Robeco Deutschland, Zweigniederlassung der Robeco Institutional Asset Management B.V. („Robeco“). In the WhatsApp groups consumers are enticed to trade financial products via the app „RBC NL“. It is suspected that...
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BankWealth ManagerFintech
Circular CSSF 24/850 (as amended by Circular CSSF 25/903) (Updated)
Practical rules concerning the descriptive report and the self-assessment questionnaire to be submitted on an annual basis by support PFS.Engagement of the réviseurs d’entreprises agréés (approved statutory auditors) of support PFS and practical rules concerning the management letter and the separate report to be drawn up on an annual basis.
AI Analysis
Circular CSSF 24/850, as amended by Circular CSSF 25/903, establishes practical rules for support Professional of the Financial Sector (support PFS) in Luxembourg to submit annual descriptive reports and self-assessment questionnaires, while also defining the roles of approved statutory auditors (réviseurs d’entreprises agréés) in issuing management letters and separate reports. This guidance standardizes supervisory reporting and audit processes to enhance oversight of support PFS, which provide essential back-office services to authorized PFS. It matters because non-compliance risks supervisory sanctions, reputational damage, and operational disruptions for entities reliant on support PFS structures.
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BankWealth ManagerAll Firms
SEC Charges Three Purported Crypto Asset Trading Platforms and Four Investment Clubs with Scheme That Targeted Retail Investors on Social Media
The Securities and Exchange Commission today filed charges against purported crypto asset trading platforms Morocoin Tech Corp., Berge Blockchain Technology Co. Ltd., and Cirkor Inc. and investment clubs AI Wealth Inc., Lane Wealth Inc., AI Investment…
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Crypto ExchangeBroker DealerAsset Manager
AMF Enforcement Committee fines the depositary CACEIS Bank for breaches of its professional obligations
Sanctions & settlements professional obligations Journalists Investment management companies Listed companies and issuers AMF Enforcement Committee fines the depositary CACEIS Bank for breaches of its professional obligations
AI Analysis
The AMF Enforcement Committee fined CACEIS Bank €3.5 million and issued a warning on 17 December 2025 for breaches of its professional obligations as depositary for seven French-law UCITS funds managed by H2O AM LLP (later transferred to H2O AM Europe). This decision underscores the AMF's strict enforcement of depositary oversight duties, particularly in verifying fund managers' investment monitoring systems, asset valuations, and compliance with prospectus constraints like issuer limits and security ratings. It matters for compliance teams as it highlights personal accountability risks and potential fines for inadequate due diligence in fund depositary roles, signaling heightened scrutiny amid past H2O fund issues.
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BankAsset ManagerAll Firms
Beware of unregulated holiday park investment schemes
A growing number of investment schemes are being promoted unlawfully, are high risk and may even be scams. We've identified a growing number of investment schemes in holiday lodges and holiday homes being promoted to UK consumers by companies that are not FCA authorised.They may be unregulated collective investment schemes, where several investors invest their money. The schemes are being promoted unlawfully, are high risk and may even be scams. We remind consumers that if you invest in an un...
AI Analysis
The FCA has issued a consumer warning about unregulated investment schemes in holiday lodges and holiday homes, which are often promoted unlawfully by unauthorised firms, posing high risks or outright scams. These schemes typically involve collective investments without FCA authorisation, breaching UK financial promotion and collective investment scheme (CIS) rules. This matters for compliance professionals as it signals heightened FCA scrutiny on unauthorised promotions, potential enforcement actions, and the need for firms to review marketing materials and client referrals to avoid facilitation risks.
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Wealth ManagerAsset ManagerAll Firms
BaFin warns consumers about products and services offered by Marketplace24-7 GmbH
The Federal Financial Supervisory Authority (BaFin) warns consumers about “bearer bonds” being offered for subscription by Marketplace24-7 GmbH on the website non-dom(.)group. BaFin suspects the company of conducting banking business without the required authorisation. The company is furthermore suspected of making an unauthorised public offer of securities without a prospectus. Under the German Securities Prospectus Act (Wertpapierprospektgesetz - WpPG), a prospectus is required for an offer...
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BankFintechAll Firms
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
Dissolution and judicial liquidation: ALFA ASSET MANAGEMENT (EUROPE) S.A.
Press release 25/21(published on 22 December 2025, updated on 31 December 2025)
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Asset ManagerWealth Manager
CFTC Staff Issues No-Action Letter Regarding CPO Registration for Certain SEC-Registered Investment Advisers
No description available.
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Asset ManagerBroker Dealer
Asset Purchase Facility: Gilt Sales – Market Notice 19 December 2025
This Market Notice sets out the schedule for sales in Q1 2026 of gilts held in the Asset Purchase Facility (APF) for monetary policy purposes.
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BankBroker DealerAsset Manager
AMF 2025 Barometer: in search of autonomy, many French people turn to artificial intelligence when they want to invest
Long term investment Shares Artificial intelligence Retail investors Journalists AMF 2025 Barometer: in search of autonomy, many French people turn to artificial intelligence when they want to invest
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Asset ManagerWealth ManagerFintech
New Q&As available
New Q&As available 19 December 2025 Digital Finance and Innovation Fund Management Market Abuse Prospectus Sustainable finance The European Securities and Markets Authority (ESMA), the EU's securities markets regulator, has published or updated the following Questions and Answers: Alternative Investment Fund Managers Directive (AIFMD) Directive Exclusion related to UNGC/OECD Guidelines (2734) Environmental, Social and Governance (ESG) rating activities Regulation Group-affiliated small ESG ra...
AI Analysis
ESMA published new Q&As on December 19, 2025, addressing practical implementation questions across multiple regulatory frameworks including AIFMD, ESG rating activities, and sustainable finance rules. These guidance documents clarify regulatory expectations and promote consistent supervisory approaches across EU member states, making them essential for firms operating in affected areas to ensure compliant implementation.
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Asset ManagerBroker DealerAll Firms
FCA stops Verus Financial Services Limited from carrying out regulated activities and tightens asset restrictions
The FCA has removed all regulatory permissions from Verus Financial Services Limited requiring it to stop conducting all regulated activities and imposed a more stringent assets restriction. The action follows concerns that the firm has repeatedly breached an existing asset restriction, which prevented it from selling, transferring or diminishing its assets without our approval. It also failed to comply with a Financial Ombudsman Service decision. We issued a First Supervisory Notice (PDF) on...
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Wealth ManagerBroker DealerAll Firms
Minutes of the Money Market Committee meeting – December 2025
The Money Markets Committee is a forum for market participants and authorities to discuss the UK unsecured deposits and funding market and securities lending and repo markets.
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BankBroker DealerAsset Manager
Invesco Investment Management Limited (CLONE) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Invesco Investment Management Limited (CLONE) - Central Bank of Ireland Issues Warning on Unauthorised Firm
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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
UAE Sustainable Finance Working Group Publishes Fourth Statement During Abu…
19 DEC 2025, 10:55 AM UAE Sustainable Finance Working Group Publishes Fourth Statement During Abu…
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BankAsset ManagerAll Firms
Profit and loss account of credit institutions as at 30 September 2025
Press release 25/20
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Bank
LIAF03/25 – Low Impact Amendments Finalisation December 2025
The PRA has published LIAF03/25, a collection of final low impact rule amendments.
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BankAsset ManagerWealth Manager
ESMA selects EuroCTP to become the first Consolidated Tape Provider for shares and ETFs
ESMA selects EuroCTP to become the first Consolidated Tape Provider for shares and ETFs 19 December 2025 Press Releases Trading The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has selected EuroCTP as the first Consolidated Tape Provider (CTP) for shares and exchange-traded funds (ETFs) in the EU, in a step forward for the transparency of equity markets in the EU. Natasha Cazenave, ESMA’s Executive Director, said: “Today’s announcement...
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Asset ManagerBroker Dealer
Economics Winter Workshop 2025: Opening Remarks by Governor Gabriel Makhlouf
Economics Winter Workshop 2025: Opening Remarks by Governor Gabriel Makhlouf
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BankAsset ManagerWealth Manager
“The Year That Was and Will Be”
In this, his final blog for 2025, Governor Gabriel Makhlouf reflects on Ireland and the euro area’s economic performance and looks ahead to 2026, drawing on the Quarterly Bulletin and latest eurosystem staff projections published this week.
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BankAsset ManagerWealth Manager
List of supervised entities - cut-off date 1 November 2025
No description available.
Sectors:
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BankAsset ManagerWealth Manager
Circular CSSF 25/901
relating to specialised investment funds, investment companies in risk capital and undertakings for collective investment subject to Part II of the Law of 17 December 2010
AI Analysis
Circular CSSF 25/901 consolidates and modernizes the supervisory framework for Luxembourg specialised investment funds (SIFs), investment companies in risk capital (SICARs), and undertakings for collective investment subject to Part II of the Law of 17 December 2010 (Part II UCIs), including their sub-funds. It streamlines investment rules, diversification limits, borrowing, disclosures, and risk management while enhancing flexibility for sophisticated investors and formalizing prior informal guidance, reducing regulatory complexity without compromising investor protection.
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Asset ManagerHedge Fund
Guide on the notification of significant risk transfer and implicit support for securitisations
No description available.
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BankAsset ManagerBroker Dealer
Quarterly Bulletin 2025:4 Prudent ambition needed as multinational investment underpins more positive growth outlook
MDD is projected to grow by just below 4 per cent in 2025. From 2026 to 2028, MDD is forecast to grow at an annual average rate of 2.9 per cent per annum. More positive momentum in MNE investment amid lower uncertainty contrasts with slower pace of growth in domestic sectors and cooling of the labour market as drag from capacity constraints becomes evident. Outlook for slightly higher overall inflation, as underlying services price growth more persistent at a higher rate than pre-pandemic. Th...
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BankAsset ManagerWealth Manager
Circular IML 91/75 (as amended by Circulars CSSF 05/177, 18/697, 21/790, 22/811 and 25/901) (Updated)
Revision and remodelling of the rules to which Luxembourg undertakings governed by the Law of 30 March 1988 on undertakings for collective investment (“UCI”) are subject
AI Analysis
Circular IML 91/75, as amended up to CSSF Circular 25/901, consolidates and modernizes the supervisory framework for Luxembourg Part II UCIs, SIFs, and SICARs, refining rules on diversification, borrowing, risk-spreading, and disclosures while tailoring requirements to investor profiles. It matters because it streamlines fragmented regulations, enhances fund competitiveness, and formalizes CSSF expectations without mandating immediate changes for pre-existing funds, reducing compliance burdens while promoting transparency and flexibility. This update aligns administrative practices with market realities, repealing outdated circulars to eliminate ambiguity.
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Asset ManagerHedge FundAll Firms
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
Identity fraud: BaFin warns against offers from Ambassador Management GmbH, Ambassador Financial Group Ltd. and Ambassador Global Systems LLC
The Federal Financial Supervisory Authority BaFin warns against offers, in particular offers to purchase shares and alleged pre-IPO shares, which are purportedly brokered by Ambassador. According to information available to BaFin, Ambassador Management GmbH, supposedly based in Frankfurt am Main, Ambassador Financial Group Ltd. and Ambassador Global Systems LLC are providing financial or investment services without the required authorisation. According to the current state of knowledge, there...
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BankWealth ManagerFintech
Artificial Intelligence Consortium minutes – October 2025
The Artificial Intelligence Consortium (AIC) aims to provide a platform for public-private engagement to further dialogue on the capabilities, development, deployment, use, and potential risks of artificial intelligence (AI) in UK financial services.
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BankAsset ManagerWealth Manager
Exchange of letters between the Governor and the Chancellor regarding CPI Inflation - December 2025
Exchange of letters between the Governor and the Chancellor
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BankAsset ManagerWealth Manager
Monetary Policy Committee dates for 2027
Provisional dates for Monetary Policy Committee (MPC) announcements on Bank Rate and publication of MPC meeting minutes and the quarterly Monetary Policy Report.
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BankAsset ManagerWealth Manager
Bank Rate reduced to 3.75% - December 2025 Monetary Policy Summary and Minutes
The Bank of England’s Monetary Policy Committee is responsible for making decisions about Bank Rate.
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BankWealth ManagerAsset Manager
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
Joshua T. White Named SEC Chief Economist
The Securities and Exchange Commission today announced that financial economist and academic scholar Dr. Joshua T. White will return to the agency beginning the week of Jan. 5, 2026, to serve as its Chief Economist and Director of the Division of…
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Asset ManagerBroker DealerBank
SEC Office of the Investor Advocate Delivers to Congress Report on Activities for Fiscal Year 2025
The Securities and Exchange Commission’s Office of the Investor Advocate today delivered its Report on Activities for the Fiscal Year 2025 to Congress, highlighting the initiatives and work of the office during the fiscal year.The report includes:An…
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Asset ManagerBroker DealerCrypto Exchange
FCA welcomes reform to the UK Benchmarks Regulation
The FCA welcomes the Government’s consultation on a new benchmarks regime for the UK. Since the introduction of the current regulatory framework, the financial landscape has evolved significantly. We now have an opportunity to build a regime that is more targeted to current market conditions and to reduce unnecessary burdens on industry, without compromising high standards. We are working with the Government to reform the current benchmarks regime to ensure that the regulatory framework remai...
AI Analysis
The FCA welcomes HM Treasury's consultation on reforming the UK Benchmarks Regulation (BMR) to create a narrower, risk-based **Specified Authorised Benchmarks Regime (SABR)**, reducing regulatory scope by 80-90% to target only systemically important benchmarks and administrators while easing burdens on industry. This matters for compliance professionals as it shifts from broad regulation of all benchmarks to targeted oversight, requiring firms to reassess benchmark usage, prepare for transition, and adapt to FCA rules on risk management, enhancing UK competitiveness post-FSMA 2023 repeal of assimilated laws.
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Asset ManagerBankBroker Dealer
ECB proposes to extend Frank Elderson’s term as Vice-Chair of the Supervisory Board
No description available.
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BankAsset ManagerWealth Manager
Index-linked Treasury Stock
Index-linked treasury stocks are gilts issued by the UK Government. They pay out twice a year, with the amount indexed to the Retail Prices Index.
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BankAsset ManagerBroker Dealer
Issue 9 2025
No description available.
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Asset ManagerBankWealth Manager
ESMA reviews impact of Guidelines on ESG or sustainability related terms in fund names
ESMA reviews impact of Guidelines on ESG or sustainability related terms in fund names 17 December 2025 Risk monitoring Sustainable finance The European Securities and Markets Authority (ESMA), the EU’s financial market regulator and supervisor, released research today assessing the impact of its fund naming guidelines on ESG and sustainability-related terms. The study found that ESMA’s Guidelines have: Improved consistency in the use of ESG terms by increasing alignment of fund names and the...
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Asset ManagerWealth ManagerAll Firms
ECB publishes supervisory banking statistics on significant institutions for the third quarter of 2025
No description available.
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BankAsset ManagerWealth Manager
Supervisory Banking Statistics for significant institutions - Third quarter 2025
No description available.
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BankAsset ManagerWealth Manager
Circular CSSF 25/900
amending Circular CSSF 22/811.Authorisation and organisation of entities acting as UCI administrators.
AI Analysis
Circular CSSF 25/900, issued on 16 December 2025, amends Circular CSSF 22/811 to clarify governance principles, authorisation requirements, and operational standards for UCI (Undertakings for Collective Investment) administrators in Luxembourg, while reforming annual reporting obligations. It matters because it strengthens supervisory oversight, aligns with DORA for ICT outsourcing, and simplifies reporting to enhance efficiency and compliance in the fund administration sector.
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Asset ManagerWealth ManagerBank
The AMF Enforcement Committee fines an asset management company and its former director a total of €500,000
Sanctions & settlements professional obligations Journalists Investment management companies The AMF Enforcement Committee fines an asset management company and its former director a total of €500,000
AI Analysis
The AMF Enforcement Committee fined asset management company Novaxia Investissement €400,000 and its former director Joachim Azan €100,000 on 10 December 2025 for breaches of professional obligations, primarily due to an incomplete and non-operational investment/divestment procedure lacking traceability of compliance checks and formalized due diligence. This enforcement action underscores AMF's focus on robust operational procedures in asset management, serving as a deterrent and educational tool for ensuring honest, fair, and diligent business conduct. Compliance teams should prioritize procedure operationalization to avoid similar sanctions, as this fits a pattern of recent AMF fines targeting procedural deficiencies.
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Asset Manager
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
Circular CSSF 22/811 (as amended by Circular CSSF 25/900) (Updated)
Authorisation and organisation of entities acting as UCI administrators
AI Analysis
Circular CSSF 22/811, as amended by Circular CSSF 25/900, establishes CSSF requirements for the authorisation, governance, internal organisation, and oversight of entities acting as UCI (Undertakings for Collective Investment) administrators in Luxembourg. It matters because it standardises practices amid regulatory, technological, and market evolutions, ensuring robust controls, risk management, and supervision for fund administration activities critical to Luxembourg's fund industry.
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Asset ManagerBankAll Firms
Election Notice - 12/16/2025
Election Notice - 12/16/2025
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Broker DealerAsset Manager
FCA announces new members of its Sustainable Finance Advisory Committee
Earlier this year, we undertook a refresh of our Sustainable Finance Advisory Committee. In line with good governance, we planned to refresh the membership on a staggered basis, allowing us to bring in new expertise whilst benefiting from some continuity. Following this process, we are pleased to announce the appointment of two new members to the Committee:Elly Dowding, Director of ESG AccordFarnam Bidgoli, Independent AdviserThese appointments reflect our commitment to drawing on diverse exp...
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Asset ManagerWealth ManagerAll Firms
Closure of investigation into Mirabella Advisors LLP
An update on our investigation into Mirabella Advisors LLP. On 4 May 2021, we announced that we had opened an investigation into the oversight of Greensill Capital Securities Limited, an appointed representative, by its principal, Mirabella Advisors LLP. Our investigation reviewed the nature, conduct and scope of Mirabella’s business. We did not identify breaches by Mirabella that require further action. The investigation has therefore now closed. Mirabella applied to have its authorisation c...
AI Analysis
The FCA has closed its investigation into Mirabella Advisors LLP's oversight of its appointed representative (AR), Greensill Capital Securities Limited, finding no breaches warranting further action. This closure, announced after reviewing Mirabella's business nature, conduct, and scope, signals effective AR oversight in this high-profile case tied to the Greensill collapse, while Mirabella voluntarily cancelled its authorisation effective 12 September 2025. It matters for compliance professionals as it reinforces FCA expectations on principal-AR relationships without imposing new penalties or rules, but underscores ongoing scrutiny in trade finance and supply chain finance sectors.
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Asset ManagerBroker DealerAll Firms
The AMF examines the transparency of executive succession plans as part of its 2025 Corporate Governance Report
Governance Annual report Executive & other private individuals Journalists Listed companies and issuers The AMF examines the transparency of executive succession plans as part of its 2025 Corporate Governance Report
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BankAsset ManagerWealth Manager
Sanktionen: Die Schweiz weitet ihre Sanktionslisten betreffend Russland und Belarus aus
Der Bundesrat hat die Sanktionslisten betreffend Russland und Belarus am 12. Dezember 2025 ausgeweitet. Die Schweiz übernimmt damit diverse Änderungen, welche die EU im Rahmen ihres 19. Sanktionspakets beschlossen hat.
AI Analysis
The Swiss Federal Council expanded sanctions lists against Russia and Belarus on December 12, 2025, adopting changes from the EU's 19th sanctions package to align Swiss measures with EU restrictions. This matters for Swiss financial institutions as it imposes immediate asset freezes, transaction bans, and reporting obligations on newly listed entities, strengthening efforts to counter Russia's military-industrial complex and shadow oil fleet while preventing sanctions evasion.
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BankWealth ManagerPayment Provider
FCA confirms final guidance to tackle serious non-financial misconduct in financial services
We're providing guidance to support firms to tackle bullying, harassment and violence in financial services, after they asked for additional support. In July, we changed our rules – setting clearer standards for how financial services firms should address non-financial misconduct.This more closely aligned the rules for banks and non-banks. We wanted to give firms the confidence to act against serious misconduct, drive consistency and make it clearer when non-financial misconduct is a breach o...
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BankWealth ManagerAll Firms
ECB to assess banks’ stress testing capabilities to capture geopolitical risk
No description available.
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BankAsset ManagerWealth Manager
Notice of Consultation Paper Release: CP 169
11 DEC 2025, 06:08 PM Notice of Consultation Paper Release: CP 169
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BankWealth ManagerAsset Manager
Notice of Amendments to Legislation: December 2025
11 DEC 2025, 05:55 PM Notice of Amendments to Legislation: December 2025
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BankWealth ManagerAsset Manager
Issue 8 2025
No description available.
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Asset ManagerBankWealth Manager
David Roberts reappointed as Chair of the Bank of England’s Court of Directors and Dame Anne Glover and Diana Noble reappointed as Non‑Executive Directors
David Roberts has been reappointed as Chair of the Court of the Bank of England by His Majesty the King
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BankWealth Manager
The AMF adapts its policy on complex financial products in response to the rise of crypto-assets
MiCA Crypto-assets Financial products Marketing Journalists Investment management companies Listed companies and issuers The AMF adapts its policy on complex financial products in response to the rise of crypto-assets
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Crypto ExchangeAsset ManagerFintech
Promoting innovation while guarding against financial stability risks − speech by Randy Kroszner
Given at the 20th High-level meeting on financial stability and regulatory and supervisory priorities (jointly organised by the Arab Monetary Fund, the Basel Committee on Banking Supervision and the Financial Stability Institute of the Bank of International Settlements).
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BankAsset ManagerWealth Manager
Governing Council proposes simplification of EU banking rules
No description available.
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BankAsset ManagerWealth Manager
Streamlining supervision, safeguarding resilience: the ECB’s agenda for more effective, efficient and risk-based European banking supervision
No description available.
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BankAsset ManagerWealth Manager
Aktualisierte Sanktionsmeldung: Republik Irak
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung des Anhangs der Verordnung vom 7. August 1990 über Wirtschaftsmassnahmen gegenüber der Republik Irak (SR 946.206) publiziert.
AI Analysis
This FINMA publication announces a SECO update to the annex of the Ordinance on Economic Measures against the Republic of Iraq (SR 946.206), reflecting UN Sanctions Committee amendments to the list of sanctioned individuals, companies, and organizations made on December 9, 2025. It matters because these changes are directly applicable in Switzerland, requiring financial intermediaries to immediately block affected assets and report business relationships to SECO to ensure compliance with UN sanctions. Failure to act risks enforcement by FINMA under its supervisory mandate.
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BankAsset ManagerWealth Manager
Economic Resilience: What Next? – Speech by Governor Gabriel Makhlouf at The Royal Irish Academy
Good evening. Thank you for the invitation to join you today. This evening I want to talk about economic resilience, what it is and whether we have enough of it. I spoke about economic resilience in my first speech as Governor – 6 years ago – and wrote to the Minister for Finance about it in early February this year. After everything that’s happened since February, it feels timely to take stock of where we are. My conclusion is that we need to give it greater focus. Let me start by setting ou...
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BankAsset ManagerWealth Manager
Central Bank of Ireland publishes roadmap to deliver a more effective and efficient regulatory framework
New report outlines the Central Bank’s approach to more effective and efficient regulatory and supervisory framework, reducing complexity and improving clarity while maintaining resilience and important protections in the system. This work builds on the Central Bank’s strategy to transform regulation and supervision, including the introduction of our new integrated supervisory approach and the improvements made in our gatekeeping processes in recent years. The roadmap sets out a comprehensive...
AI Analysis
The Central Bank of Ireland published a comprehensive multi-year roadmap on December 10, 2025, aimed at streamlining its regulatory and supervisory framework across four pillars: supervision, regulation, gatekeeping, and reporting. This initiative represents a strategic shift toward more effective and efficient oversight while explicitly maintaining resilience standards and consumer protections, responding to EU calls for regulatory reform to enhance competitiveness.
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BankAsset ManagerInsurance
PRA letter to the Prime Minister - December 2025
The Prudential Regulation Authority’s (PRA) update to the Prime Minister on work to support economic growth.
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BankAsset ManagerWealth Manager
CFTC Obtains Over $2M Restitution for Victims of Precious Metals, Foreign Currency Pool Fraud
No description available.
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Broker DealerAsset ManagerBank
Claudia Buch: Evidence-based supervision: addressing evolving risks, maintaining resilience
No description available.
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BankAsset ManagerWealth 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
Update to lending and deposit spread of the Operational Standing Facility – Market Notice 8 December 2025
In line with the Bank's transition to a repo-led, demand-driven operational framework for providing reserves, the Bank is today announcing a reduction in the spread to Bank Rate of the Operational Standing Facility (OSF). This Market Notice confirms the new, recalibrated spread of the OSF at Bank Rate +15bps for the lending facility and Bank Rate -15bps for the deposit facility. As with all SMF facilities, the OSFs are 'open for business' and should be used by SMF participants for the purpose...
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BankWealth ManagerAsset Manager
Remarks at the Climate Risk and Sustainable Finance Forum – Governor Gabriel Makhlouf
Good morning and welcome everyone. I am delighted to address the eighth meeting of this Forum. When the Forum was established three years ago, the goal was to bring together participants from across Ireland to build a shared approach to understanding and managing the systemic risks that climate change poses, while supporting the orderly transition of households and businesses to the net zero objective that we’re all familiar with. The Forum has come a long way in those three years. We have es...
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BankAsset ManagerWealth Manager
Read more
08 Dec 2025 Read more
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BankAsset ManagerBroker Dealer
ECB concludes asset quality review of Raiffeisen-Holding Niederösterreich-Wien
No description available.
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Bank
Notice of Amendments to Legislation December 2025
05 DEC 2025, 02:37 PM Notice of Amendments to Legislation December 2025
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BankAsset ManagerBroker Dealer
SEC Announces Agenda and Panelists for Roundtable on Financial Surveillance and Privacy
The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its rescheduled Roundtable on Financial Surveillance and Privacy.“New technologies give us a fresh opportunity to recalibrate financial surveillance…
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BankBroker DealerCrypto Exchange
SEC to Host Webinar for Transfer Agents on Regulation S-P
The Securities and Exchange Commission today announced it will hold the second in its series of compliance outreach events regarding the 2024 adoption of amendments to Regulation S-P. The event, for transfer agents, is a webinar scheduled for December 17…
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Broker DealerAsset Manager
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
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
Mutuals landscape report
This report has been informed by the PRA and FCA’s ongoing regulation and supervision of mutuals and by direct engagement with mutuals and their trade associations in sessions around the country throughout 2025.
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BankAsset ManagerWealth Manager
The Autorité des Marchés Financiers takes note of the Cour de Cassation ruling in the Vivendi SE case
Financial disclosures & corporate financing Journalists Listed companies and issuers The Autorité des Marchés Financiers takes note of the Cour de Cassation ruling in the Vivendi SE case
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BankBroker DealerAsset Manager
Bank of England launches system-wide exploratory scenario exercise focused on private markets
The Bank of England (the Bank) has today launched its second system-wide exploratory scenario (SWES) exercise. This will focus on how the private markets ecosystem operates under stress and the potential implications for UK financial stability and the UK real economy.
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BankAsset ManagerWealth Manager
Rémi Bouchez, the new Ombudsman of the Autorité des Marchés Financiers
Mediation Appointment Institutional Other professionals Executive & other private individuals Retail investors Journalists Investment services providers Investment management companies Listed companies and issuers ...
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Asset ManagerBroker DealerWealth Manager
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
Global situation of undertakings for collective investment at the end of October 2025
Press release 25/19
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Asset ManagerWealth Manager
Financial Policy Committee Record - December 2025
Our Financial Policy Committee (FPC) meets to identify risks to financial stability and agree policy actions aimed at safeguarding the resilience of the UK financial system.
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BankAsset ManagerWealth Manager
Remit and recommendations for the Financial Policy Committee – November 2025
Exchange of letters between the Governor and the Chancellor
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BankAsset ManagerWealth Manager
PRA Regulatory Digest - November 2025
The PRA Regulatory Digest is for people working in the UK financial services industry and highlights key regulatory news and publications delivered for the month.
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BankAsset ManagerWealth Manager
Supply-chain attack using NPM packages
Press release 25/18
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BankFintechAll Firms
2025 list of UK headquartered Globally Systemically Important Institutions (G-SIIs)
The PRA disclosure of UK headquartered G-SIIs for 2025.
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BankWealth ManagerAsset Manager
2025 list of UK firms designated as Other Systemically Important Institutions (O-SIIs)
The PRA has published the list of designated O-SIIs for 2025
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BankWealth ManagerAll Firms
Deep, liquid, and transparent (DLT) assessment for January 2026 implementation
The table below shows the outcomes of the annual DLT assessment for PRA relevant currencies, which will be effective from 1 January 2026.
Effective Date: 1 January 2026
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BankAsset ManagerWealth Manager
Patrick Montagner: Supervision in uncertain times: vigilance, governance and the case for effective supervision
No description available.
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BankAsset ManagerWealth Manager
Swiss Takeover Board: Beat Fellmann’s term of office extended by one year
The Board of Directors of the Swiss Financial Market Supervisory Authority FINMA has extended Beat Fellmann’s term of office by one year until the end of 2026.
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BankWealth Manager
The Autorité des Marchés Financiers has amended its doctrine to clarify its expectations of ELTIFs
Asset management Collective investments The Autorité des Marchés Financiers has amended its doctrine to clarify its expectations of ELTIFs
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Asset Manager
New DFSA Thematic Review: Continuing Professional Development for Money…
27 NOV 2025, 10:25 AM New DFSA Thematic Review: Continuing Professional Development for Money…
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Asset ManagerWealth ManagerBank
PS23/25 – Margin requirements for non-centrally cleared derivatives: Amendments to BTS 2016/2251
Policy statement 23/25
AI Analysis
PS23/25 from the PRA and FCA finalizes amendments to Binding Technical Standards (BTS) 2016/2251 under UK EMIR, introducing an indefinite exemption for single-stock equity options and index options from bilateral margin requirements, removing IM obligations on legacy contracts for firms falling below thresholds, and allowing alignment with third-country jurisdictions' timelines for IM assessments. These changes reduce operational burdens and enhance competitiveness for UK firms trading non-centrally cleared derivatives, following feedback from CP5/25, while maintaining prudential standards.
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BankBroker DealerAsset Manager
DFSA and HKMA co-host second Joint Climate Finance Conference, showcasing…
26 NOV 2025, 03:15 PM DFSA and HKMA co-host second Joint Climate Finance Conference, showcasing…
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BankAsset ManagerFintech
Remit for the Monetary Policy Committee - November 2025
Letter from the Chancellor to the Governor
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BankWealth ManagerAsset Manager
Issue 7 2025
No description available.
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Asset ManagerBankWealth Manager
Ex-post evaluation of Circular 2019/2 “Interest rate risks – banks”
The Swiss Financial Market Supervisory Authority FINMA is today publishing its ex-post evaluation report on the requirements for interest rate risk management in the banking book. The evaluation has shown that the supervisory practice has essentially been successful and that the objectives have been achieved. Specific improvements will be made as part of a partial revision of Circular 2019/2, which is planned from 2026. The interest rate shock scenarios updated by the Basel Committee on Banki...
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BankAsset ManagerWealth Manager
Cristina Martin Firvida to Conclude Tenure as Investor Advocate
The Securities and Exchange Commission today announced that Cristina Martin Firvida, who has served as the Director of the Office of the Investor Advocate since January 2023, will conclude her tenure with the agency at the end of January 2026. As…
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Asset ManagerWealth ManagerBroker Dealer
The Macrofinancial effects of climate change in Ireland: What have we learned? – Speech by Deputy Governor Vasileios Madouros
Good morning everyone. 1 I am delighted to join you here today for this year’s Climate Finance week. “The scientific evidence that climate change is a serious and urgent issue is […] compelling.” “The benefits of strong, early action on climate change outweigh the costs.” And “the choices made in the next 10-20 years […] will affect greenhouse gas emissions for the next half-century.” These are not my words. And they are not recent words. They are key conclusions from the Stern Review on the ...
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BankAsset ManagerInsurance
CFTC Charges Two Men, their Unregistered Commodity Pool with Futures Fraud, Registration Violations
No description available.
AI Analysis
The CFTC filed a civil enforcement action on November 21, 2025, against Brian Mitchell, Kevin Mack Jr., and their unregistered entity Young Pros Investment Group LLC (YPIG) for fraudulently soliciting ~$1 million from 33 pool participants to trade commodity futures, using misrepresentations, Ponzi payments, false statements, and registration violations, including Mitchell's breach of a prior 2021 CFTC order. This case underscores the CFTC's aggressive enforcement against unregistered commodity pools and fraud, seeking restitution, disgorgement, penalties, trading bans, and injunctions under the Commodity Exchange Act (CEA). Compliance teams must prioritize registration checks and fraud prevention to avoid similar actions, as it highlights personal liability for controlling persons.
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Hedge FundAsset ManagerAll Firms
Pedro Machado: Fireside chat
No description available.
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BankAsset ManagerWealth Manager
Statement on the Bank’s Black Heritage Sponsored Internship
Statement from the Bank of England
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BankWealth ManagerAsset Manager
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
Claudia Buch: The evidence is in: resilient banks build Europe’s growth on solid ground
No description available.
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BankAsset ManagerWealth Manager
Federal Council appoints new member to FINMA’s Board of Directors
The Federal Council has appointed Katia Villard to the Board of Directors of the Swiss Financial Market Supervisory Authority FINMA. A professor of criminal law, Ms Villard will succeed Ursula Cassani Bossy who is stepping down from FINMA's Board of Directors at the end of the year.
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BankWealth Manager
Unpacking the puzzle of income growth and weak consumption in the UK and other mysteries - slides by Swati Dhingra
Slides by Swati Dhingra
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BankWealth ManagerFintech
Anneli Tuominen: Improving banks’ resilience to hybrid threats
No description available.
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BankWealth ManagerAll Firms
Claudia Buch: Introductory statement
No description available.
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BankAsset ManagerWealth Manager
ECB keeps capital requirements broadly stable for 2026 amid persisting global challenges
No description available.
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BankAsset ManagerWealth Manager
Supervisory priorities 2026-28
No description available.
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BankAsset ManagerWealth Manager
SEC Division of Examinations Announces 2026 Priorities
The Securities and Exchange Commission’s Division of Examinations today released its 2026 examination priorities. The Division publishes its annual examination priorities to provide transparency to registrants and investors about the topics that the…
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Asset ManagerBroker DealerCrypto Exchange
FINMA Risk Monitor 2025: accentuated geopolitical risks – cyber and real estate risks continue to grow
In its new 2025 Risk Monitor, FINMA reveals where it sees the greatest risks for the Swiss financial centre. It warns of an increase in geopolitical and technological risks and calls for more robust controls over the outsourcing of critical functions. The climate risk report is also part of the Risk Monitor for the first time.
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BankAsset ManagerWealth Manager
The ACPR and the AMF present their joint approach helping professionals taking into account clients' sustainability preferences
Sustainable Finance MIFID Investment advice Long term investment Other professionals Journalists Investment services providers Investment management companies The ACPR and the AMF present their joint approach helping...
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Asset ManagerWealth ManagerBank
Frank Elderson: Resilient banks through effective supervision: a pillar of Europe’s competitiveness
No description available.
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BankAsset ManagerWealth Manager
Megan Greene reappointed as external member of the Monetary Policy Committee
Megan Greene has been reappointed as an external member of the Monetary Policy Committee by the Chancellor of the Exchequer, Rachel Reeves
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BankAsset ManagerWealth Manager
Bank of England, Monetary Authority of Singapore, and Bank of Thailand to explore synchronised FX settlement across borders
The Bank of England, the Monetary Authority of Singapore, and the Bank of Thailand announced a collaboration to explore the technical and policy implications of settling foreign exchange (FX) transactions using synchronised settlement mechanisms.
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BankBroker DealerFintech
Written overview for the exchange of views of the Chair of the Supervisory Board of the ECB with the Eurogroup on 12 Nocember 2025
No description available.
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BankAsset ManagerWealth Manager
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
Strengthening market resilience: navigating evolving dynamics in sovereign markets − speech by Lee Foulger
Given at AFME's 20th Annual European Government Bond Conference
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BankBroker DealerAsset Manager
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
Exchange of letters between the Governor and the Chancellor on the Asset Purchase Facility - November 2025
Exchange of letters between the Governor and the Chancellor
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BankAsset ManagerBroker Dealer
Minutes of the Money Market Committee meeting – September 2025
The Money Markets Committee is a forum for market participants and authorities to discuss the UK unsecured deposits and funding market and securities lending and repo markets.
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BankBroker DealerAsset Manager
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung der Verordnung vom 21. März 2025 über Massnahmen gegenüber Personen und Organisationen, die mit den Organisationen ISIL (Da'esh) und Al-Kaida in Verbindung stehen (SR 946.231.08) publiziert.
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BankWealth ManagerAll Firms
Minutes of the SONIA Stakeholder Advisory Group - 22 October 2025
The SONIA Stakeholder Advisory Group supports the Bank’s administration of SONIA by providing advice and technical input to the Bank and the SONIA Oversight Committee
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BankAsset ManagerBroker Dealer
The evolving liquidity landscape − speech by Victoria Saporta
Elaborates on points made at the market panel of the ECB Conference on Money Markets 2025
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BankAsset ManagerBroker Dealer
Bank Rate maintained at 4% - November 2025 Monetary Policy Summary and Minutes
Find out more about the Monetary Policy Committee’s latest decision
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BankWealth ManagerAll Firms
The Autorité des Marchés Financiers is running a new financial education campaign aimed at young investors
Long term investment Savings protection Investing wisely Retail investors Journalists The Autorité des Marchés Financiers is running a new financial education campaign aimed at young investors
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Asset ManagerWealth ManagerFintech
Individual investors remain active on the markets in the 3rd quarter of 2025
Shares ETF Fixed income Individual investors remain active on the markets in the 3rd quarter of 2025
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Asset ManagerBroker DealerWealth Manager
UK Berne Financial Services Agreement (BFSA) Guidelines
Guidelines to assist firms considering providing services under the Berne Financial Services Agreement.
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BankWealth ManagerAsset Manager
PRA Regulatory Digest - October 2025
The PRA Regulatory Digest is for people working in the UK financial services industry and highlights key regulatory news and publications delivered for the month.
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BankAsset ManagerWealth Manager
Circular CSSF 22/821 (as amended by Circulars CSSF 24/865, CSSF 23/845 and CSSF 25/897) (Updated)
Long Form ReportPractical rules concerning the self-assessment questionnaire to be submitted by institutionsMission and related reports of the statutory auditors (réviseurs d’entreprises agréés)
AI Analysis
**Circular CSSF 22/821** (as amended) fundamentally restructures how Luxembourg credit institutions report to the Commission de Surveillance du Secteur Financier (CSSF) by replacing the traditional Long Form Report with a digital **self-assessment questionnaire (SAQ)**, complemented by auditor-prepared reports. This shift represents a significant operational change that requires institutions to directly participate in prudential self-assessment while maintaining robust external audit oversight, making it essential for compliance and operational teams to understand new submission requirements and digital workflows.
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Bank
Circular CSSF 25/898
Update of Circular CSSF 07/325 on Provisions relating to credit institutions and investment firms of EU origin established in Luxembourg by way of branches or exercising activities in Luxembourg by way of free provision of services, as amended by Circulars CSSF 21/765 and CSSF 22/827
AI Analysis
Circular CSSF 25/898 updates Luxembourg's supervisory framework for EU-origin credit institutions and investment firms operating in Luxembourg through branches or free provision of services. This amendment enhances the self-assessment questionnaire (SAQ) used by the CSSF to align supervisory oversight with current regulatory priorities, particularly adding UCI administration as a new thematic module. The update reflects the CSSF's evolving supervisory focus and requires affected institutions to demonstrate compliance with expanded assessment criteria.
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BankBroker DealerAsset Manager
Minutes of the Meeting of the Court of Directors held on 19 September 2025
The Bank's Court of Directors acts as a unitary board, setting the organisation's strategy and budget and taking key decisions on resourcing and appointments. Required to meet a minimum seven times per year, it has five executive members from the Bank and up to nine non-executive members.
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BankAsset ManagerWealth 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
SoP5/15 – The PRA's methodologies for setting Pillar 2 capital
Statement of Policy 5/15
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BankAsset ManagerWealth Manager
Global situation of undertakings for collective investment at the end of September 2025
Press release 25/17
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Asset ManagerWealth Manager
Issue 6 2025
No description available.
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Asset ManagerBankWealth Manager
List of supervised entities - Cut-off date 1 September 2025
No description available.
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BankAsset ManagerWealth Manager
Corporate sustainability reporting: AMF draws listed companies' attention to ESMA's 2025 recommendations
Periodic & ongoing disclosures Sustainable Finance Corporate sustainability reporting: AMF draws listed companies' attention to ESMA's 2025 recommendations
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Asset ManagerBankBroker Dealer
Financial stability and growth: The Financial Policy Committee’s mandate and the question of balance − speech by Jonathan Hall
Given at the Confederation of British Industry
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BankAsset ManagerWealth Manager
Tariffed with the same brush: confronting today’s challenges to trade − speech by Swati Dhingra
Given at central Bank of Ireland ninth annual workshop of the ESCB research cluster 2
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BankAsset ManagerWealth Manager
Acclimatised − speech by Sam Woods
Given at Mansion House
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BankWealth ManagerFintech
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung der Verordnung vom 21. März 2025 über Massnahmen gegenüber Personen und Organisationen, die mit den Organisationen ISIL (Da'esh) und Al-Kaida in Verbindung stehen (SR 946.231.08) publiziert.
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BankWealth ManagerAll Firms
Aktualisierte Sanktionsmeldung: Haiti
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung des Anhangs der Verordnung vom 16. Dezember 2022 über Massnahmen betreffend Haiti publiziert.
AI Analysis
The Swiss Federal Department of Economic Affairs, Education and Research (WBF, under which SECO operates) has published an update to the Annex of the Ordinance of 16 December 2022 on measures concerning Haiti, reflecting UN Security Council amendments to the sanctions list. This matters for Swiss financial institutions as it triggers immediate asset freeze checks and reporting obligations to ensure compliance with Switzerland's implementation of UN sanctions via FINMA and SECO oversight, avoiding enforcement risks amid Haiti's ongoing instability. The update aligns with global renewals of Haiti sanctions, emphasizing asset freezes on newly designated individuals and entities involved in destabilizing activities.
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BankWealth ManagerAll Firms
Aktualisierte Sanktionsmeldung: Nicaragua
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung des Anhangs der Verordnung vom 24. Juni 2020 über Massnahmen gegenüber Nicaragua (SR 946.231.158.5) publiziert.
AI Analysis
The Swiss Federal Department of Economic Affairs, Education and Research (WBF/EAER) amended the annex of the Ordinance on Measures against Nicaragua (SR 946.231.158.5) on 20 October 2025, modifying entries for two individuals, with measures entering into force immediately thereafter. This update requires Swiss financial intermediaries to promptly screen and adjust sanctions compliance programs to reflect the revised designations, ensuring no prohibited dealings with the updated list. It matters because failure to implement could trigger FINMA enforcement, asset blocking obligations, and reporting requirements under Switzerland's Embargo Act (EmbG).
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BankAsset ManagerWealth Manager
Aktualisierte Sanktionsmeldung: Islamischen Republik Iran
Am 20. Oktober 2025 hat das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF die Liste der in diesem Kontext sanktionierten Personen, Unternehmen und Organisationen geändert. Das WBF hat die für die Schweiz massgebliche Sanktionsdatenbank SESAM (SECO Sanctions Management) angepasst und die Anpassung auf seiner Internetseite dringlich veröffentlicht. Die Änderung tritt am 21. Oktober 2025 23:00 Uhr in Kraft. Die Finanzintermediäre werden gemäss den Vorschriften der Verordnu...
AI Analysis
This FINMA publication notifies Swiss financial intermediaries of updates to the Swiss sanctions list against the Islamic Republic of Iran, as amended by the Federal Department of Economic Affairs, Education and Research (WBF) on October 20, 2025, via the SESAM sanctions database. It matters because financial firms must immediately screen clients, freeze assets, and report matches to comply with Swiss sanction ordinances, amid escalating global Iran sanctions following UN snapback mechanisms. Failure to act risks enforcement by FINMA or SECO.
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BankAll Firms
UK Islamic Finance and the Alternative Liquidity Facility - slides by Victoria Saporta
Slides by Victoria Saporta
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BankAsset ManagerWealth Manager
Dubai advances position as Middle East, Africa and South Asia’s leading global…
20 OCT 2025, 10:00 AM Dubai advances position as Middle East, Africa and South Asia’s leading global…
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BankAsset ManagerBroker Dealer
Global Economic Outlook Panel – panel remarks by Andrew Bailey
Given at the Group of Thirty’s 40th International Banking Seminar 2025, Washington DC
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BankAsset ManagerWealth Manager
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung der Verordnung vom 21. März 2025 über Massnahmen gegenüber Personen und Organisationen, die mit den Organisationen ISIL (Da'esh) und Al-Kaida in Verbindung stehen (SR 946.231.08) publiziert.
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BankWealth ManagerAll Firms
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in the unregulated foreign exchange market (Forex) and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Warning Forex and binary options The AMF and the ACPR warn the public against the activities of several entities offering in France investments in the unregulated foreign exchange market (Forex) and in crypto-assets derivatives without being authorized to do so
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BankFintechCrypto Exchange
Evolving UK monetary policy in an evolving world − speech by Huw Pill
Speech at the Institute of Chartered Accountants of England and Wales annual conference Thriving in Transformation, London
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BankAsset ManagerWealth Manager
LIAF02/25 – Low Impact Amendments Finalisation October 2025
The PRA has published LIAF02/25, a collection of final low impact rule amendments.
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BankAsset ManagerWealth Manager
The Autorité des Marchés Financiers publishes the findings of its thematic inspections on governance and role of senior managers at asset management companies
Supervision Asset management Governance Journalists Investment management companies The Autorité des Marchés Financiers publishes the findings of its thematic inspections on governance and role of senior managers at asset management companies
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Asset Manager
PRA and FCA announce changes to banker bonuses for 2025
The PRA and FCA have today confirmed plans to increase flexibility around senior banker pay, alongside changes to create better links between bonus awards and responsible risk-taking.
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BankWealth Manager
PS21/25 – Remuneration Reform
Policy statement 21/25
AI Analysis
PS21/25 implements reforms to PRA remuneration rules for banks, building societies, and PRA-designated investment firms, simplifying Material Risk Taker (MRT) identification, aligning deferral periods with international standards (4 years for non-SMF MRTs and 5 years for SMFs), and enhancing links to individual accountability under the Senior Managers Regime (SMR). These changes matter as they reduce regulatory burden, increase flexibility in bonus structures (e.g., marginal deferral rates and cash payments), and promote competitiveness while maintaining risk alignment, potentially reversing trends toward higher fixed pay.
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BankAsset ManagerAll Firms
Diversion ahead − speech by Alan Taylor
Given at King’s College, Cambridge
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BankWealth ManagerAsset Manager
DFSA Connect: new digital services streamline regulatory approvals processes,…
13 OCT 2025, 09:43 AM DFSA Connect: new digital services streamline regulatory approvals processes,…
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BankWealth ManagerFintech
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung der Verordnung vom 21. März 2025 über Massnahmen gegenüber Personen und Organisationen, die mit den Organisationen ISIL (Da'esh) und Al-Kaida in Verbindung stehen (SR 946.231.08) publiziert.
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BankWealth ManagerAll Firms
Minutes of the Securities Lending Committee meeting – September 2025
The Securities Lending Committee is a forum for market participants and authorities to discuss the UK securities lending market.
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Asset ManagerBankBroker Dealer
DFSA and HKMA to co-host second Climate Finance Conference to strengthen…
09 OCT 2025, 12:00 PM DFSA and HKMA to co-host second Climate Finance Conference to strengthen…
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BankAsset ManagerFintech
PS16/25 – Markets in Financial Instruments Directive Organisational Regulation (MiFID Org Reg)
Policy statement 16/25
AI Analysis
PS16/25 is the PRA's policy statement restating firm-facing organisational requirements from the MiFID Org Reg (e.g., outsourcing, record-keeping, risk management, compliance, internal audit, and governance) into the PRA Rulebook, with no material changes, to align with HMT's revocation of the EU regulation under FSMA 2023. This matters because it ensures continuity of prudential oversight for PRA-authorised firms post-revocation, preventing enforcement gaps in systems and controls while adapting provisions (e.g., supervisory function) to UK governance structures.
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BankBroker DealerAll Firms
Explaining the consumption gap - speech by Catherine L Mann
Given at the Resolution Foundation
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BankWealth ManagerAsset Manager
FINMA publishes guidance on the extension of the transitional period for exchange of collateral in certain OTC derivatives transactions
The Swiss Financial Market Supervisory Authority FINMA today published guidance on the extension of the transitional period for exchange of collateral in certain OTC derivatives transactions. The current transitional period runs until 1 January 2026 and will be extended by a further three years.
AI Analysis
FINMA extended the transitional period for collateral exchange requirements in non-centrally cleared OTC derivatives from January 1, 2026 to January 1, 2029, providing Swiss market participants with three additional years of relief from mandatory collateral posting obligations on certain equity derivatives. This extension aligns Swiss regulation with the EU's indefinite exemption introduced in December 2024, preventing competitive disadvantages for Swiss derivatives traders while a permanent regulatory framework is developed.
Deadline: 1 January 2026
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Broker DealerBankAsset Manager
Uncertainty, structural change and monetary policy strategy - speech by Huw Pill
The Maxwell Fry Lecture of the Money, Macro and Finance Society given at the University of Birmingham
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BankAsset ManagerWealth Manager
Financial Policy Committee Record – October 2025
Our Financial Policy Committee (FPC) meets to identify risks to financial stability and agree policy actions aimed at safeguarding the resilience of the UK financial system.
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BankAsset ManagerBroker Dealer
Foreign Currency Reserves 2025 – Market Notice 7 October 2025
Not for distribution, directly or indirectly, in or into the United States, Canada, Australia, Japan or any other jurisdiction where it is unlawful to distribute this announcement.
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BankAsset ManagerWealth Manager
Corporate sustainability reporting: AMF’s response to EFRAG’s consultation on the simplification of European standards
Sustainable Finance Periodic & ongoing disclosures Corporate sustainability reporting: AMF’s response to EFRAG’s consultation on the simplification of European standards
AI Analysis
The Autorité des Marchés Financiers (AMF), France's financial markets regulator, responded to EFRAG's July 31, 2025, public consultation on simplified European Sustainability Reporting Standards (ESRS) under the CSRD, welcoming a 57% reduction in mandatory datapoints and 55% shorter standards while urging refinements in materiality, climate reporting, and financial effects disclosure. This matters for compliance professionals as it signals upcoming proportionate ESRS revisions that could ease reporting burdens for large listed companies starting voluntarily in 2026, enhancing investor usability without diluting key sustainability insights.
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Asset ManagerBankAll Firms
Aktualisierte Sanktionsmeldung: Burundi
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung des Anhangs der Verordnung über Massnahmen gegenüber Burundi (SR 946.231.121.8) publiziert.
AI Analysis
The Swiss Federal Department of Economic Affairs, Education and Research (WBF/DEFR) has updated the annex to the Ordinance on Measures against Burundi (SR 946.231.121.8), modifying the list of sanctioned persons, companies, and organizations in the SESAM database. This matters for Swiss financial institutions as it imposes immediate asset freeze and transaction restrictions, aligning with FINMA's heightened focus on sanctions risks amid geopolitical tensions.
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BankAsset ManagerWealth Manager
Sanktionsmeldung: Guinea-Bissau
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung (WBF) hat eine Änderung des Anhangs 1 der Verordnung vom 1. Juni 2012 über Massnahmen gegenüber Guinea-Bissau (SR 946.231.138.3) publiziert.
AI Analysis
The Swiss Federal Department of Economic Affairs, Education and Research (WBF) published an amendment to Annex 1 of the Ordinance on Measures against Guinea-Bissau (SR 946.231.138.3) on October 7, 2025, updating the sanctions list maintained in the SESAM database. This change, effective October 8, 2025, requires Swiss financial intermediaries to immediately screen clients, freeze assets of listed individuals, and report to SECO, reinforcing compliance with UN Security Council Resolution 2048 (2012) and EU measures following the 2012 military coup. It matters for preventing sanctions evasion and ensuring adherence to Switzerland's Embargogesetz (EmbG), with non-compliance risking FINMA enforcement.
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BankWealth ManagerAll Firms
Aktualisierte Sanktionsmeldung: Syrien
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung des Anhangs 7 der Verordnung vom 8. Juni 2012 über Massnahmen gegenüber Syrien (SR 946.231.172.7) publiziert.
AI Analysis
The Swiss Federal Department of Economic Affairs, Education and Research (WBF) updated Annex 7 of the Ordinance on Measures against Syria (SR 946.231.172.7) on October 6, 2025, modifying the list of sanctioned persons, companies, and organizations, effective October 8, 2025. This change requires Swiss financial intermediaries to immediately implement asset freezes and report affected relationships to SECO, amid broader Swiss alignment with EU and US easing of Syria sanctions earlier in 2025. It matters for compliance as it mandates swift screening updates to avoid violations of ongoing targeted financial sanctions.
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BankWealth ManagerAll Firms
Investment in Scotland - speech by Andrew Bailey
Given at the Scotland Global Investment Summit 2025
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Asset ManagerBankWealth Manager
Challenges to financial stability - speech by Andrew Bailey
Given at the Klaas Knot Farewell Symposium
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BankAsset ManagerBroker Dealer
The Banque de France, the ACPR and the AMF launch a first system-wide stress test on interconnections within the financial system
Stress-testing Markets Asset management Journalists Investment services providers Investment management companies The Banque de France, the ACPR and the AMF launch a first system-wide stress test on interconnections within the financial system
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BankAsset ManagerBroker Dealer
Global situation of undertakings for collective investment at the end of August 2025
Press release 25/16
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Asset ManagerWealth Manager
PRA Regulatory Digest - September 2025
The PRA Regulatory Digest is for people working in the UK financial services industry and highlights key regulatory news and publications delivered for the month.
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BankAsset ManagerWealth Manager
Election Notice - 1/10/2025
Election Notice - 1/10/2025
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Broker DealerAsset ManagerAll Firms
Bumps in the road? − speech by Sarah Breeden
Given at Cardiff Business School
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BankAsset ManagerWealth Manager
Profit and loss account of credit institutions as at 30 June 2025
Press release 25/15
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Bank
CFTC Obtains Order for Over $5.5M Restitution for Victims in Commodity Pool Fraud by Tennessee Couple
No description available.
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Asset ManagerBroker DealerBank
SEC Announces Departure of Chief Operating Officer Ken Johnson
The Securities and Exchange Commission today announced that Ken Johnson, who has been serving as Chief Operating Officer (COO) since December 2017, will retire from the agency in December. “Ken has been an integral leader at the SEC for more than two…
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BankAsset ManagerBroker Dealer
The supply side demands more attention − speech by Megan Greene
Given at the Adam Smith Business School, University of Glasgow
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BankAsset ManagerWealth Manager
The AMF Enforcement Committee fines an asset management company and its two managers a total of €1.3 million
Sanctions & settlements professional obligations Journalists Listed companies and issuers The AMF Enforcement Committee fines an asset management company and its two managers a total of €1.3 million
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) a total of €1.3 million on 15 September 2025 for breaches of professional obligations, including non-operational investment procedures, inadequate AML/CFT due diligence, deficient marketing materials, and unproven benefits from fee retrocessions to distributors. This decision underscores the AMF's heightened scrutiny on operational controls and senior accountability in asset management, serving as a critical enforcement signal for firms to strengthen procedures amid a pattern of similar sanctions.
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Asset Manager
On QT − remarks by Huw Pill
Given at the Inaugural Pictet Research Institute Symposium 2025
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BankAsset ManagerWealth Manager
The Autorité des marchés financiers (AMF) is warning professionals about the extensive fraudulent and malicious use of its name engaging people into running a malicious computer program.
Warning Identity theft The Autorité des marchés financiers (AMF) is warning professionals about the extensive fraudulent and malicious use of its name engaging people into running a malicious computer program.
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BankWealth ManagerFintech
Sustainable finance: retail investors have higher expectations of their financial advisors
Long term investment Sustainable Finance Retail investors Journalists Investment management companies Listed companies and issuers Sustainable finance: retail investors have higher expectations of their financial advisors
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Asset ManagerWealth ManagerBank
Masaar: DFSA welcomes 2025 cohort of its graduate programme, helping to foster…
22 SEP 2025, 11:05 AM Masaar: DFSA welcomes 2025 cohort of its graduate programme, helping to foster…
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Asset ManagerWealth ManagerBank
FINMA and the UK supervisory authorities strengthen cooperation in financial services
The Swiss Financial Market Supervisory Authority FINMA and the UK Financial Conduct Authority FCA and Prudential Regulation Authority PRA today signed a memorandum of understanding. The memorandum sets out details of the co-operation under the Berne Financial Services Agreement and opens up new cross-border opportunities in insurance and investment services.
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BankAsset ManagerInsurance
The AMF warns the public about group chats providing tips on shares
Warning Savings protection Warning The AMF warns the public about group chats providing tips on shares
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Asset ManagerWealth ManagerBroker Dealer
A systemic risk perspective on operational resilience − speech by Liz Oakes
Given at the Cross Market Operational Resilience Group (CMORG) conference
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BankAsset ManagerWealth Manager
Funded realignment: balancing innovation and risk − speech by Vicky White
Given at the 30th Annual Bank of America Financials CEO Conference
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BankAsset ManagerBroker Dealer
Supervisory Banking Statistics for significant institutions - Second quarter 2025
No description available.
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BankAsset ManagerWealth Manager
European supervision of capital markets: the AMF calls for an enhanced role for ESMA to promote a true Savings and Investments Union
Supervision Other professionals Fintech Market Infrastructures Professional investors Journalists Investment management companies Listed companies and issuers European supervision of capital markets: the AMF calls for an enhanced...
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Asset ManagerWealth ManagerBank
New DFSA Thematic Review: High-Growth Firms
16 SEP 2025, 02:18 PM New DFSA Thematic Review: High-Growth Firms
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Asset ManagerBankFintech
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
DFSA and Securities and Futures Commission bolster ties in supervising…
10 SEP 2025, 11:01 AM DFSA and Securities and Futures Commission bolster ties in supervising…
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Asset ManagerBroker DealerWealth Manager
Issue 5 2025
No description available.
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Asset ManagerBankWealth Manager
Withdrawal of KOREGRAF's authorisation as a crowdfunding service provider
Savings protection Withdrawal of KOREGRAF's authorisation as a crowdfunding service provider
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Topics:
Asset ManagerWealth ManagerFintech
FINMA publishes consolidated ordinance covering the insolvency proceedings at financial market institutions
The Swiss Financial Market Supervisory Authority FINMA is transferring the FINMA Banking Insolvency Ordinance, FINMA Insurance Bankruptcy Ordinance and FINMA Collective Investment Schemes Bankruptcy Ordinance to a new consolidated FINMA Insolvency Ordinance. The existing regulations have been revised and adapted where necessary – based on findings from practical experience and academia. In addition, the FINMA Insolvency Ordinance implements the amendments made necessary by the revisions to th...
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BankAsset ManagerWealth Manager
DFSA publishes FAQ on the annual AML Return and reminds Firms of 30 September…
03 SEP 2025, 03:20 PM DFSA publishes FAQ on the annual AML Return and reminds Firms of 30 September…
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BankAsset ManagerWealth Manager
Letter from Claudia Buch, Chair of the Supervisory Board, to Mr Markus Ferber, MEP, on banking supervision
No description available.
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BankWealth ManagerAsset Manager
Global situation of undertakings for collective investment at the end of July 2025
Press release 25/14
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Asset ManagerWealth Manager
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
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Wealth Manager
Magnum Options - Central Bank of Ireland Issues Warning on Unauthorised Firm
Magnum Options - Central Bank of Ireland Issues Warning on Unauthorised Firm
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Topics:
BankBroker DealerWealth Manager
LSFX Limited/ LightStocksFX- Central Bank of Ireland Issues Warning on Unauthorised Firm
LSFX Limited/ LightStocksFX- Central Bank of Ireland Issues Warning on Unauthorised Firm
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Topics:
Broker DealerWealth ManagerFintech
CFD Trades 24 – Central Bank of Ireland Issues Warning on Unauthorised Firm
CFD Trades 24 – Central Bank of Ireland Issues Warning on Unauthorised Firm
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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
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Topics:
BankWealth ManagerFintech
Five ‘C’s for Central Bank Research − speech by Catherine L. Mann
Given at The Future of Central Banking conference on the occasion of the 100th Anniversary, Banco de México
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BankAsset ManagerWealth Manager
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung der Verordnung vom 21. März 2025 über Massnahmen gegenüber Personen und Organisationen, die mit den Organisationen ISIL (Da'esh) und Al-Kaida in Verbindung stehen (SR 946.231.08) publiziert.
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Topics:
BankWealth ManagerAll Firms
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
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Topics:
Asset ManagerWealth Manager
Monument Financial Group - Central Bank of Ireland Issues Warning on Unauthorised Firm
Warning Unauthorised Investment Firm / Unauthorised Investment Business Firm Unauthorised Firm Name Monument Financial Group Website https://monumentfg.com/ Email addresses used admin@monumentfg.com [name].[surname]@monumentfg.com Phone number used +353 81 800 5284 Authorisation in Ireland This firm is not authorised to provide investment services in Ireland. Notes: Any person wishing to contact the Central Bank with information regarding such firms / persons may telephone (01) 224 5800 or re...
AI Analysis
The Central Bank of Ireland (CBI) has issued a warning notice under section 53 of the Central Bank (Supervision and Enforcement) Act 2013, identifying **Monument Financial Group** as an unauthorised firm providing investment services in Ireland without authorisation. This matters for compliance professionals because it underscores the CBI's proactive enforcement against unauthorised activity, heightens scam awareness, and signals risks of consumer harm, regulatory referrals to An Garda Síochána, and potential enforcement against facilitating parties.[https://www.centralbank.ie/news/article/monument-financial-group---central-bank-of-ireland-issues-warning-on-unauthorised-firm]
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Wealth ManagerAll Firms
Clermont Meridian Trading - Central Bank of Ireland Issues Warning on Unauthorised Firm
Clermont Meridian Trading - Central Bank of Ireland Issues Warning on Unauthorised Firm
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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
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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
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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
VintageFXsignals - Central Bank of Ireland Issues Warning on Unauthorised Firm
VintageFXsignals - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Wealth ManagerFintech
Aktualisierte Sanktionsmeldung: Islamischen Republik Iran
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung des Anhangs 7 der Verordnung vom 11. November 2015 über Massnahmen gegenüber der Islamischen Republik Iran (SR 946.231.143.6) publiziert.
AI Analysis
On August 18, 2025, the Swiss State Secretariat for Economic Affairs (WBF) published an updated sanctions notification regarding Iran, specifically modifying Annex 7 of the Ordinance on Measures against the Islamic Republic of Iran (SR 946.231.143.6). This update is critical for Swiss financial institutions and businesses because it reflects the evolving sanctions landscape following the automatic reinstatement of UN Security Council resolutions on Iran's nuclear program in September 2025.
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BankAsset ManagerPayment Provider
Aktualisierte Sanktionsmeldung: Südsudan
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung des Anhangs 2 der Verordnung vom 12. August 2015 über Massnahmen gegenüber der Republik Südsudan (SR 946.231.169.9) publiziert.
AI Analysis
FINMA has published an update notifying financial intermediaries of changes to Annex 2 of the Ordinance on Measures against the Republic of South Sudan (SR 946.231.169.9), as announced by SECO on August 18, 2025, effective August 20, 2025. This matters because it imposes immediate asset freeze and transaction ban obligations on Swiss financial institutions with exposure to newly or modified sanctioned entities, aligning with UN Security Council Resolution 2206 (2015) and EU measures to address South Sudan's ethnic conflict, human rights violations, and humanitarian crisis. Compliance failure risks enforcement actions under the Embargo Act (EmbG) and AML regulations (GwG).
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BankAll Firms
Aktualisierte Sanktionsmeldung: Sudan
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung (WBF) hat den Anhang 2 der Verordnung vom 25. Mai 2005 über Massnahmen gegenüber Sudan (SR 946.231.18) geändert.
AI Analysis
The Swiss Federal Department of Economic Affairs, Education and Research (WBF) has amended Annex 2 of the Ordinance of May 25, 2005, on Measures against Sudan (SR 946.231.18), updating Switzerland's sanctions list in alignment with the SESAM database managed by SECO. This change, effective immediately on a urgent basis, requires Swiss financial intermediaries to implement updated asset freezes and transaction restrictions without delay, heightening compliance risks amid ongoing international sanctions escalation on Sudan-related actors. It matters because non-compliance exposes firms to FINMA enforcement, reputational damage, and penalties under anti-money laundering and sanctions regimes.
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BankWealth ManagerAll Firms
List of supervised entities – cut-off date 1 July 2025
No description available.
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Topics:
BankAsset ManagerWealth Manager
Sanktionen: Harmonisierung von Sanktionsverordnungen
No description available.
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BankWealth ManagerAsset Manager
Aktualisierte Sanktionsmeldung: Republik Irak
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung des Anhangs der Verordnung vom 7. August 1990 über Wirtschaftsmassnahmen gegenüber der Republik Irak (SR 946.206) publiziert.
AI Analysis
The Swiss State Secretariat for Economic Affairs (SECO) published an updated sanctions notification on August 13, 2025, reflecting modifications to the UN sanctions list targeting Iraq under the Ordinance of August 7, 1990 (SR 946.206). This update is automatically applicable in Switzerland and requires immediate compliance by all financial institutions and regulated entities, as Switzerland implements UN Security Council sanctions lists without delay through its automatic application framework.
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BankPayment ProviderAll Firms
Aktualisierte Sanktionsmeldung: Belarus
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung der Anhänge 5, 13, 14 und 15 der Verordnung über Massnahmen gegenüber Belarus (SR 946.231.116.9) publiziert.
AI Analysis
The Swiss Federal Department of Economic Affairs, Education and Research (WBF) published updates to Annexes 5, 13, 14, and 15 of the Ordinance on Measures against Belarus (SR 946.231.116.9), aligning Switzerland with additional EU sanctions imposed on July 18, 2025, in response to Belarus's involvement in Russia's war against Ukraine. This matters for Swiss financial institutions as it expands asset freezes, reporting obligations, and prohibitions, strengthening sanctions parity with Russia to prevent circumvention and enhance enforcement effectiveness.
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BankWealth ManagerPayment Provider
Aktualisierte Sanktionsmeldung: Moldau
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung des Anhangs der Verordnung vom 28. Juni 2023 über Massnahmen betreffend Moldau (SR 946.231.156.5) publiziert.
AI Analysis
The Swiss Federal Department of Economic Affairs, Education and Research (WBF) published an update to Annex of the Ordinance on Measures concerning Moldova (SR 946.231.156.5) on August 11, 2025, expanding the sanctions list for Moldova-related destabilizing activities. This matters for Swiss financial intermediaries as it imposes immediate asset freeze and reporting obligations under the Embargo Act (EmbG) and Anti-Money Laundering Act (GwG), aligning Switzerland with EU measures to counter threats to Moldova's sovereignty amid regional instability.
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BankAsset ManagerAll Firms
The Autorité des Marchés Financiers (AMF) revoked the authorisation of alternative investment fund manager (AIFM) APICAP
Asset management The Autorité des Marchés Financiers (AMF) revoked the authorisation of alternative investment fund manager (AIFM) APICAP
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Asset Manager
Supervisory Banking Statistics for significant institutions - First quarter 2025
No description available.
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Topics:
BankAsset ManagerWealth Manager
Methodological note for the publication of aggregated Supervisory Banking Statistics
No description available.
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Topics:
BankAsset ManagerWealth Manager
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
Spreadsheet: High-level individual results for banks not included in the EBA sample
No description available.
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Topics:
BankAsset ManagerWealth Manager
Counterparty credit risk exploratory scenario exercise
No description available.
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BankAsset ManagerBroker Dealer
The AMF is warning the public against several entities proposing to invest in miscellaneous assets without being authorized to do so
Warning Warning Miscellaneous assets Savings protection The AMF is warning the public against several entities proposing to invest in miscellaneous assets without being authorized to do so
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Asset ManagerWealth ManagerBroker Dealer
Verordnung vom 7. März 2025 über die Sperrung von Vermögenswerten im Zusammenhang mit Syrien (Anpassung des Anhangs)
No description available.
AI Analysis
On July 31, 2025, Switzerland's State Secretariat for Economic Affairs (SECO) amended the annex to the Syria Asset Freezing Ordinance (SR 196.127.27), originally enacted March 7, 2025, to update the list of designated individuals subject to comprehensive asset freezes. This amendment reflects Switzerland's ongoing implementation of targeted financial sanctions against politically exposed persons connected to the former Assad regime, requiring immediate compliance from all financial intermediaries and asset holders operating in Swiss jurisdiction.
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BankWealth ManagerAsset Manager
Press release regarding BGL BNP Paribas
Press release 25/13
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Topics:
Bank
Global situation of undertakings for collective investment at the end of June 2025
Press release 25/12
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Topics:
Asset ManagerWealth Manager
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in the unregulated foreign exchange market (Forex) and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Warning Forex and binary options The AMF and the ACPR warn the public against the activities of several entities offering in France investments in the unregulated foreign exchange market (Forex) and in crypto-assets derivatives without being authorized to do so
Sectors:
Topics:
BankFintechCrypto Exchange
Isabelle Guezet and Julien Laroche appointed Deputy Directors of the Corporate Finance Division
Appointment Institutional Isabelle Guezet and Julien Laroche appointed Deputy Directors of the Corporate Finance Division
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BankAsset ManagerBroker Dealer
The AMF Enforcement Committee fines a Danish investment bank for breaches of professional obligations committed by a French branch
Sanctions & settlements professional obligations Disclosure Obligations Other professionals Journalists The AMF Enforcement Committee fines a Danish investment bank for breaches of professional obligations committed by a French branch
AI Analysis
The AMF Enforcement Committee imposed a €300,000 fine on Saxo Bank A/S on 16 July 2025 for multiple breaches of professional obligations committed through its French branch, including failures to properly inform clients about significant changes to derivatives procedures, margin calculations, and securities transaction incidents, as well as deficiencies in equity savings plan (PEA) transfers. This enforcement action demonstrates the AMF's active oversight of cross-border investment banks operating in France and highlights critical gaps in client disclosure practices that compliance teams must address.
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Broker DealerBank
Retail investor activity in equities at its highest since 2020
Shares ETF Retail investor activity in equities at its highest since 2020
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Asset ManagerBroker DealerWealth Manager
Election Notice - 7/18/2025
Election Notice - 7/18/2025
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Topics:
Broker DealerAsset ManagerAll Firms
The AMF and the AFA call for vigilance of the risk of private corruption by criminal networks of natural persons with access to inside information
MAR Financial disclosures & corporate financing Shares The AMF and the AFA call for vigilance of the risk of private corruption by criminal networks of natural persons with access to inside information
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BankAsset ManagerBroker Dealer
The AMF reminds distributors of their requirements regarding marketing of investment fund
Asset management Marketing PRIIPs The AMF reminds distributors of their requirements regarding marketing of investment fund
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Asset ManagerWealth Manager
The AMF Enforcement Committee fines eight individuals and two legal entities a total of €1,890,000 for late disclosure of inside information, insider dealing, and breaches of professional obligations
Sanctions & settlements MAR professional obligations Investment advice Other professionals Journalists Listed companies and issuers The AMF Enforcement Committee fines eight individuals and two legal entities a total of €1,890,000 for late...
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All Firms
Getting liquidity where it is needed − speech by Nathanaël Benjamin
Given at OMFIF Economic and Monetary Policy Institute
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BankAsset ManagerWealth Manager
Weathering the storm: stability in a changing climate - speech by Sarah Breeden
Based on remarks given at the Chapman-Barrigan lecture
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BankAsset ManagerWealth Manager
The AMF publishes a summary of its SPOT inspections on asset management companies' voting and engagement policies
Supervision Governance Sustainable Finance Journalists Investment management companies The AMF publishes a summary of its SPOT inspections on asset management companies' voting and engagement policies
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Asset Manager
Aktualisierte Sanktionsmeldung: Haiti
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung des Anhangs der Verordnung vom 16. Dezember 2022 über Massnahmen betreffend Haiti (SR 946.231.139.4) publiziert.
AI Analysis
The Swiss Federal Department of Economic Affairs, Education and Research (WBF) has published an update to Annex 2 of the Ordinance on Measures concerning Haiti (SR 946.231.139.4), dated December 16, 2022, aligning Switzerland's sanctions regime with recent UN Security Council decisions. This matters for Swiss financial institutions as it mandates immediate screening against potentially updated lists of designated persons and entities, reinforcing asset freezes, travel bans, and an expanded arms embargo to address Haiti's instability. Non-compliance risks FINMA enforcement actions under anti-money laundering and sanctions frameworks.
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BankPayment ProviderAll 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...
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Asset ManagerWealth ManagerBroker Dealer
The end of the road − speech by Alan Taylor
Given at the London School of Economics and Political Science
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BankWealth ManagerAsset Manager
Notice of Consultation Paper Release: CP 167
04 JUL 2025, 11:40 AM Notice of Consultation Paper Release: CP 167
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BankAsset ManagerBroker Dealer
The AMF publishes its 2025 Markets and Risk Outlook
Risk and Trend Mapping Markets Fixed income Asset management Other professionals Executive & other private individuals Fintech The AMF publishes its 2025 Markets and Risk Outlook
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Asset ManagerBroker DealerFintech
The meaning of reserve currency − remarks by Andrew Bailey
Given at the Andrew Crockett Memorial Lecture
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BankWealth ManagerAsset Manager
Global situation of undertakings for collective investment at the end of May 2025
Press release 25/11
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Topics:
Asset ManagerWealth Manager
FINMA launches consultations on the ordinances concerning risk diversification and liquidity for banks and securities firms
On 3 July 2025, the Swiss Financial Market Supervisory Authority FINMA launched the consultations on the new Ordinances on the Risk Diversification of Banks and Securities Firms and on the Liquidity of Banks and Securities Firms. The consultations will go on until 29 September 2025.
Deadline: 29 September 2025
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BankBroker DealerAsset Manager
Unexpected curves − remarks by Alan Taylor
Given at the ECB Forum on Central Banking in Sintra, Portugal
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BankAsset ManagerWealth Manager
Building tomorrow’s markets: the digitalisation of finance − speech by Sasha Mills
Given at City Week 2025
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Topics:
BankFintechAsset Manager
New DFSA report explores regulatory insights into cybersecurity, Artificial…
30 JUN 2025, 03:18 PM New DFSA report explores regulatory insights into cybersecurity, Artificial…
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Topics:
BankFintechAsset Manager
The UK economy in an unpredictable world – speech by Andrew Bailey
Given at British Chamber of Commerce 2025 Global Annual Conference
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BankAsset ManagerWealth Manager
Profit and loss account of credit institutions as at 31 March 2025
Press release 25/10
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Bank
Rene W. Keller resigns from FINMA’s Board of Directors
At its meeting on 25 June 2025, the Federal Council was informed of the resignation of Rene W. Keller from the Board of Directors of the Swiss Financial Market Supervisory Authority FINMA.
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Topics:
BankWealth Manager
The DFSA publishes FAQ on revised Client Assets regime
24 JUN 2025, 01:45 PM The DFSA publishes FAQ on revised Client Assets regime
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Asset ManagerBroker DealerWealth Manager
Navigating an uncertain outlook: the signals from the labour market − speech by Dave Ramsden
Given at the Barclays-CEPR Monetary Policy Forum 2025
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BankAsset ManagerWealth Manager
A feature not a bug − speech by Megan Greene
Speech given at the National Institute of Economic and Social Research
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Topics:
BankWealth ManagerFintech
Revisiting the Norman Conquest of $4.86. Thoughts for the world today - speech by Andrew Bailey
Given at Britain’s Return to the Gold Standard in 1925 Revisited, Bank of England
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BankWealth ManagerAll Firms
Crowdfunding: the AMF urges investors to exercise extreme caution due to the risks of project owner default or crowdfunding platform failure
Asset management Collective investments Savings protection Crowdfunding: the AMF urges investors to exercise extreme caution due to the risks of project owner default or crowdfunding platform failure
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Topics:
Asset ManagerWealth ManagerFintech
Central Banking in extreme adversity - speech by Andrew Bailey
Given at the 9th NBU-NBP Annual Research Conference, Kyiv
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Topics:
BankAsset ManagerWealth Manager
The AMF publishes the findings of its inspections on the verification and assessment of employee knowledge within asset management companies
Supervision Professional certification Asset management Journalists Investment management companies The AMF publishes the findings of its inspections on the verification and assessment of employee knowledge within asset management companies
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Topics:
Asset ManagerWealth Manager
Aktualisierte Sanktionsmeldung: ISIL (Da'esh) / Al-Kaida
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung der Verordnung vom 21. März 2025 über Massnahmen gegenüber Personen und Organisationen, die mit den Organisationen ISIL (Da'esh) und Al-Kaida in Verbindung stehen (SR 946.231.08) publiziert.
Sectors:
Topics:
BankWealth ManagerAll Firms
The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment has published its 2024 Annual Report
Annual report Savings protection Marketing Retail investors Journalists The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment has published its 2024 Annual Report
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Topics:
BankAsset ManagerInsurance
Innovation and regulation - striking the balance - speech by David Bailey
Given at Risk Live Europe
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Topics:
BankFintechAsset Manager
The stock market investor journey: the AMF analyses the mobile applications of 14 institutions
Marketing Long term investment Other professionals Retail investors Journalists The stock market investor journey: the AMF analyses the mobile applications of 14 institutions
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Topics:
Asset ManagerBroker DealerWealth Manager
Picking what matters – speech by Nathanaël Benjamin
Given at the Global Investment Management summit
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Topics:
Asset ManagerWealth ManagerBank
Learning by doing − speech by Victoria Saporta
Given at Bank of Finland & SUERF Conference, Helsinki
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Topics:
BankAsset ManagerWealth Manager
Global situation of undertakings for collective investment at the end of April 2025
Press release 25/09
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Topics:
Asset ManagerWealth Manager
The AMF publishes its 2024 Annual Report
Annual report Institutional Other professionals Executive & other private individuals Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers ...
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Topics:
Asset ManagerBroker DealerFintech
Retail investor activity up again
Shares ETF Retail investor activity up again
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Topics:
Asset ManagerBroker DealerWealth Manager
Second thematic review on the use of Artificial Intelligence in the Luxembourg financial sector
Press release 25/08
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Topics:
BankAsset ManagerWealth Manager
Election Notice - 5/15/2025
Election Notice - 5/15/2025
Sectors:
Topics:
Broker DealerAsset ManagerAll Firms
Issue 4 2025
No description available.
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Asset ManagerBankWealth Manager
Women on Boards Directive: the AMF is now the competent authority for analysing and monitoring gender balance among the directors of listed companies
Governance Journalists Listed companies and issuers Women on Boards Directive: the AMF is now the competent authority for analysing and monitoring gender balance among the directors of listed companies
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Topics:
Asset ManagerWealth ManagerBank
AMF Household Savings Newsletter: financial investment fees continue their downward trend
Fees Shares Collective investments AMF Household Savings Newsletter: financial investment fees continue their downward trend
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF applies ESMA's guidelines on updating stress scenario parameters, in accordance with Article 28 of the Money Market Funds Regulation
Asset management MMF The AMF applies ESMA's guidelines on updating stress scenario parameters, in accordance with Article 28 of the Money Market Funds Regulation
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Topics:
Asset ManagerBankBroker Dealer
Global situation of undertakings for collective investment at the end of March 2025
Press release 25/07
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Topics:
Asset ManagerWealth Manager
The AMF applies the joint guidelines issued by the European Supervisory Authorities to facilitate the exchange of information between National Competent Authorities
Cooperation Europe & international The AMF applies the joint guidelines issued by the European Supervisory Authorities to facilitate the exchange of information between National Competent Authorities
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Topics:
BankAsset ManagerWealth Manager
Fees: the AMF updates its doctrine following the announcement of the abolition of transaction fees in situations of discretionary management
Asset management Individual investment mandate Fees: the AMF updates its doctrine following the announcement of the abolition of transaction fees in situations of discretionary management
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Topics:
Asset ManagerWealth Manager
Issue 3 2025
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF reminds financial investment advisors of their professional obligations when using financial product listing platforms
Marketing Investment advice The AMF reminds financial investment advisors of their professional obligations when using financial product listing platforms
Sectors:
Topics:
Asset ManagerWealth Manager
Anti-money laundering and countering the financing of terrorism: the AMF applies the guidelines of the European Banking Authority on restrictive measures for crypto-asset service providers
Anti-money Laundering Asset management Crypto-assets Anti-money laundering and countering the financing of terrorism: the AMF applies the guidelines of the European Banking Authority on restrictive measures for crypto-asset service providers
Sectors:
Topics:
Crypto ExchangeBankAsset Manager
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 French and Italian authorities make proposals for a more competitive “Pilot Regime” in Europe
Market infrastructures Innovation Europe & international Cooperation Other professionals Market Infrastructures Journalists Investment management companies The French and Italian authorities make proposals for a more competitive...
AI Analysis
The French (AMF) and Italian (Consob) financial authorities have jointly proposed amendments to the EU's DLT Pilot Regime to increase its competitiveness and attract market participants. The Pilot Regime, which became operational in March 2023, has underperformed with only three authorized infrastructures and minimal live trading activity, prompting regulators to recommend structural changes including greater proportionality, expanded eligible instruments, and raised activity thresholds.
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Topics:
Asset ManagerBroker DealerFintech
Issue 2 2025
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF and ACPR Joint Unit publishes its analysis of the French structured product market
Marketing Derivatives or structured products Executive & other private individuals Journalists Listed companies and issuers The AMF and ACPR Joint Unit publishes its analysis of the French structured product market
Sectors:
Topics:
BankBroker DealerAsset Manager
Internal Auditors Committee Mandate and Audit Charter for the Eurosystem/ESCB and the Single Supervisory Mechanism
No description available.
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Topics:
BankAsset ManagerWealth Manager
Global situation of undertakings for collective investment at the end of February 2025
Press release 25/06
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Asset ManagerWealth Manager
Profit and loss account of credit institutions as at 31 December 2024
Press release 25/05
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BankAsset ManagerWealth Manager
Financial stability, artificial intelligence, data quality and financial education at the heart of the discussions at the AMF 2025 international seminar for securities regulators
Europe & international Cooperation Financial stability, artificial intelligence, data quality and financial education at the heart of the discussions at the AMF 2025 international seminar for securities regulators
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Asset ManagerBankBroker Dealer
Employee savings: employees and firms are genuinely satisfied, but there is still a great need for support and education
Employee savings scheme Retail investors Journalists Employee savings: employees and firms are genuinely satisfied, but there is still a great need for support and education
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Topics:
Asset ManagerWealth ManagerBank
The AMF introduces a fast-track approval procedure for “defence” investment funds
Asset management Journalists Investment management companies The AMF introduces a fast-track approval procedure for “defence” investment funds
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Asset ManagerWealth Manager
Employee savings: a high level of satisfaction but a persistent need for support
Employee savings scheme Employee savings: a high level of satisfaction but a persistent need for support
Sectors:
Topics:
Asset ManagerWealth ManagerBank
AMF invites financial market participants to take part in the EBA consultation on draft AML/CFT implementing standards
Anti-money Laundering Asset management AMF invites financial market participants to take part in the EBA consultation on draft AML/CFT implementing standards
AI Analysis
The AMF is urging French financial market participants to engage in the EBA's consultation launched on March 6, 2025, on draft Regulatory Technical Standards (RTS) for AML/CFT implementing standards under AMLD6 and AMLR, focusing on harmonized risk assessment methodologies for supervisors and obliged entities. This matters because it signals a shift to uniform EU-wide AML/CFT supervision via AMLA (post-EBA handover on January 1, 2026), requiring firms to adapt to standardized risk indicators, data reporting, and enforcement, with new CDD rules applying from July 2027. Participation ensures firms influence final standards amid the transition to a single EU AML rulebook.
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Asset ManagerBankAll Firms
The AMF calls on the European Commission for an ambitious strategy on the Savings and Investments Union project
Markets Europe & international Other professionals Journalists Investment services providers The AMF calls on the European Commission for an ambitious strategy on the Savings and Investments Union project
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Asset ManagerWealth ManagerBank
Issue 1 2025
No description available.
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Asset ManagerBankWealth Manager
Publication of the 2023 asset management key figures report
Asset management Publication of the 2023 asset management key figures report
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Asset ManagerWealth Manager
The AMF publishes the findings of its thematic inspections of asset management companies’ monitoring of fund investment ratios, compensation and claims
Supervision Asset management Collective investments UCIT Other professionals Journalists Investment services providers Investment management companies The AMF publishes the findings of its thematic inspections of asset management...
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Asset ManagerWealth Manager
DEROGATION TAKEOVER LAW: Iris Financial S.A. (renamed Younited Financial S.A.) - ISIN: KYG7552D1354
Press release 25/03
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BankWealth Manager
The Autorité des Marchés Financiers (AMF) has published an analysis of the performance of the French real estate crowdfunding market, based on data collected from the 10 largest platforms in terms of inflows.
Asset management The Autorité des Marchés Financiers (AMF) has published an analysis of the performance of the French real estate crowdfunding market, based on data collected from the 10 largest platforms in terms of inflows.
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Asset ManagerWealth ManagerFintech
End of life of private equity funds: the AMF amends its General Regulation and policy
Asset management Collective investments End of life of private equity funds: the AMF amends its General Regulation and policy
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Asset Manager
ETFs: strong growth for retail investors in 2024
Shares ETF ETFs: strong growth for retail investors in 2024
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
Publication of the first study on the performance of unlisted financial asset funds aimed at non-professional clients
Asset management Marketing Publication of the first study on the performance of unlisted financial asset funds aimed at non-professional clients
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Topics:
Asset ManagerWealth Manager
Operational resilience – The AMF applies the Joint Guidelines on the oversight cooperation and information exchange under the Digital Operational Resilience Act (DORA)
Europe & international Innovation Financial services providers Operational resilience – The AMF applies the Joint Guidelines on the oversight cooperation and information exchange under the Digital Operational Resilience Act (DORA)
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Topics:
BankAsset ManagerWealth Manager
The AMF publishes its action and supervisory priorities for 2025
Strategy Supervision Institutional Executive & other private individuals Journalists Investment services providers Investment management companies Listed companies and issuers The AMF publishes its action and supervisory...
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Asset ManagerBroker Dealer
Pilot Regime: the AMF publishes an in-depth report on the implementation of the regulation
Innovation Market infrastructures MIFID Pilot Regime: the AMF publishes an in-depth report on the implementation of the regulation
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Asset ManagerBroker Dealer
AMF 2024 Barometer: French equity investment intentions remain high
Long term investment Shares Collective investments AMF 2024 Barometer: French equity investment intentions remain high
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 Enforcement Committee fines a US investment fund and its director a total of €10 million for price manipulation during an initial public offering on the Nasdaq
Sanctions & settlements MAR Other professionals Executive & other private individuals Listed companies and issuers The AMF Enforcement Committee fines a US investment fund and its director a total of €10 million for price manipulation during an initial public offering...
AI Analysis
The AMF Enforcement Committee fined US-based investment fund EcoR1 Capital €7 million and its director Oleg Nodelman €3 million (total €10 million) on 13 December 2024 for price manipulation via "marking the close" trades on Euronext Paris during Innate Pharma's 2019 Nasdaq IPO, plus reporting failures on 5% ownership thresholds. This case demonstrates AMF's extraterritorial reach over foreign actors impacting French markets and underscores personal liability for executives in market abuse violations under MAR.
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Hedge FundAsset Manager
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:
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Broker DealerWealth ManagerFintech
The AMF awards its 2024 prize for young researchers in economics to Maxime Bonelli
Asset management Marketing Innovation Other professionals Professional investors Journalists Investment management companies Listed companies and issuers The AMF awards its 2024 prize for young researchers in economics to Maxime...
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Asset Manager
The AMF updates its policy following its decision to comply with the ESMA guidelines on the names of ESG funds
Asset management The AMF updates its policy following its decision to comply with the ESMA guidelines on the names of ESG funds
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Topics:
Asset Manager
The authorities are taking action to combat the massive phenomenon of financial scams catching out an increasing number of individuals
Savings protection Financial Scams Crypto-assets Retail investors Journalists The authorities are taking action to combat the massive phenomenon of financial scams catching out an increasing number of individuals
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Topics:
BankFintechCrypto Exchange
EMIR Refit: Update of the AMF website on notifications forms
Derivatives or structured products EMIR Refit: Update of the AMF website on notifications forms
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Asset ManagerBroker DealerBank
Closing of the 2024 accounts: The AMF publishes recommendations and the results of its examinations of financial statements
Financial disclosures & corporate financing Periodic & ongoing disclosures Reporting ESEF Closing of the 2024 accounts: The AMF publishes recommendations and the results of its examinations of financial statements
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Topics:
Asset ManagerBankBroker Dealer
The AMF amends its Programme of Operations Guide for Asset Management Companies
Asset management The AMF amends its Programme of Operations Guide for Asset Management Companies
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Topics:
Asset Manager
The Autorité des Marchés Finances has decided to apply ESMA's Guidelines on funds' names
Sustainable Finance Asset management The Autorité des Marchés Finances has decided to apply ESMA's Guidelines on funds' names
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Topics:
Asset ManagerWealth Manager
ECB Interest Rates
At our meeting yesterday, the ECB’s Governing Council cut our three policy rates by 25 basis points (or, one quarter of a percent). The disinflation process remains on track, allowing us to reduce rates. However, with some components of inflation still too high for comfort – notably, services inflation – I continue to favour a gradual reduction in rates over large moves. As policy rates fall, we should see a reduction in the costs of borrowing for households and firms. We are already seeing s...
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BankAsset ManagerWealth Manager
Issue 13 2024
No description available.
Sectors:
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Asset ManagerBankWealth Manager
Faced with dense and complex information, the AMF is encouraging financial institutions to continue their efforts to improve the transparency of their Taxonomy reporting
Sustainable Finance Periodic & ongoing disclosures Journalists Listed companies and issuers Faced with dense and complex information, the AMF is encouraging financial institutions to continue their efforts to improve the transparency of their Taxonomy reporting
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Asset ManagerBankWealth Manager
The AMF publishes an educational report on listed companies' sustainability reporting
Sustainable Finance Periodic & ongoing disclosures Journalists Listed companies and issuers The AMF publishes an educational report on listed companies' sustainability reporting
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Asset ManagerBroker Dealer
Issue 12 2024
No description available.
Sectors:
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Asset ManagerBankWealth Manager
The AMF releases an updated stocktake of French funds equipped with liquidity management tools
Asset management Collective investments The AMF releases an updated stocktake of French funds equipped with liquidity management tools
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Topics:
Asset ManagerWealth Manager
The tangle of ageing populations and productivity growth - Governor Gabriel Makhlouf at Society of Professional Economists
Governor of the Central Bank of Ireland Gabriel Makhlouf today (25 November) addressed the UK Society of Professional Economists annual dinner . Speaking this evening, Governor Makhlouf said: “Europe is at a pivotal moment in its economic development. The tangle of ageing populations with weak productivity growth raise questions about the long-term growth outlook. The need to build economic resilience to both short-term shocks and longer-term transitions become self-evident by the day. Produc...
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BankWealth ManagerAsset Manager
Issue 11 2024
No description available.
Sectors:
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Asset ManagerBankWealth Manager
Stock market tumbles: still a rare phenomenon on the Paris market
Short selling Equity Stock market tumbles: still a rare phenomenon on the Paris market
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Broker DealerAsset ManagerWealth Manager
ETFs win over newcomers as they invest into the stock market
ETF Equity MIFID Executive & other private individuals Professional investors Journalists Listed companies and issuers ETFs win over newcomers as they invest into the stock market
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Topics:
Asset ManagerWealth ManagerBroker Dealer
The AMF Enforcement Committee fines a financial investment advisor, two asset management companies and their directors, and a credit institution a total of €5,670,000
Sanctions & settlements professional obligations Journalists Investment management companies The AMF Enforcement Committee fines a financial investment advisor, two asset management companies and their directors, and a credit institution a total of €5,670,000
AI Analysis
The AMF Enforcement Committee imposed total fines of €5,670,000 on a financial investment advisor (FIA), two asset management companies (AMCs), their directors, and a credit institution for breaches of professional obligations. This enforcement action underscores the AMF's rigorous scrutiny of operational controls, due diligence, and governance in investment services, serving as a critical reminder for firms to maintain robust procedures to avoid similar sanctions. It matters because it highlights personal liability for directors and escalating fines for systemic failures, potentially influencing peer reviews and audit priorities.
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Asset ManagerWealth ManagerBank
Issue 10 2024
No description available.
Sectors:
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Asset ManagerBankWealth Manager
Publication of the first CSRD sustainability statements: AMF draws issuers’ attention to ESMA's 2024 recommendations
Periodic & ongoing disclosures Sustainable Finance Publication of the first CSRD sustainability statements: AMF draws issuers’ attention to ESMA's 2024 recommendations
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Topics:
Asset ManagerBankBroker Dealer
The AMF and the AMMC are strengthening their cooperation
Cooperation Markets Executive & other private individuals Professional investors Journalists Investment services providers Investment management companies Listed companies and issuers The AMF and the AMMC are strengthening their...
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Asset ManagerBankBroker Dealer
The Autorité des Marchés Financiers (AMF) has published a recommendation governing the distribution of actively managed certificates (AMCs) to retail clients
Asset management Marketing The Autorité des Marchés Financiers (AMF) has published a recommendation governing the distribution of actively managed certificates (AMCs) to retail clients
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Topics:
Asset ManagerBroker DealerWealth Manager
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.
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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
The AMF publishes the findings of a new series of SPOT inspections on the quality of regulatory reporting data
Supervision Asset management MMF AIFMD Journalists Investment services providers Investment management companies The AMF publishes the findings of a new series of SPOT inspections on the quality of regulatory reporting data
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Asset Manager
The AMF analyses new investment practices: listed shares, ETFs and crowdfunding
Shares ETF The AMF analyses new investment practices: listed shares, ETFs and crowdfunding
Sectors:
Topics:
Asset ManagerBroker DealerFintech
The Autorité des Marchés Financiers (AMF) launches a major financial education campaign aimed at young investors
Long term investment Savings protection Retail investors Journalists The Autorité des Marchés Financiers (AMF) launches a major financial education campaign aimed at young investors
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Topics:
Asset ManagerWealth ManagerAll Firms
AMF amends its Programme of Operations Guide for Asset Management Companies
Asset management Regulatory developments AMF amends its Programme of Operations Guide for Asset Management Companies
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Topics:
Asset Manager
ESMA’s communications to support the implementation and supervision of corporate sustainability reporting
Sustainable Finance Periodic & ongoing disclosures ESMA’s communications to support the implementation and supervision of corporate sustainability reporting
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Asset ManagerBankBroker Dealer
Corporate Sustainability Reporting directive (CSRD): EFRAG and the European Commission publish implementation guidance and FAQs
Sustainable Finance Periodic & ongoing disclosures Corporate Sustainability Reporting directive (CSRD): EFRAG and the European Commission publish implementation guidance and FAQs
AI Analysis
The AMF publication announces implementation guidance and FAQs on the Corporate Sustainability Reporting Directive (CSRD) released by EFRAG and the European Commission, aimed at clarifying reporting standards under the European Sustainability Reporting Standards (ESRS). This matters for compliance professionals as it provides actionable tools to meet expanded sustainability disclosure requirements, ensuring audit-ready reporting amid phased rollouts and third-party assurance mandates. It supports harmonized EU-wide compliance for nearly 50,000 companies, enhancing data comparability and investor transparency.
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Asset ManagerBankInsurance
Issue 8 2024
No description available.
Sectors:
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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).
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Asset Manager
Issue 7 2024
No description available.
Sectors:
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Asset ManagerBankWealth Manager
The Autorité des Marchés Financiers (AMF) signs #JamaisSansElles Charter
Institutional Organisational rules Journalists The Autorité des Marchés Financiers (AMF) signs #JamaisSansElles Charter
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Asset ManagerBroker DealerWealth Manager
The AMF publishes its 2023 CSR Report
AMF activity Institutional The AMF publishes its 2023 CSR Report
Sectors:
Topics:
Asset ManagerBankWealth Manager
The Autorité des Marchés Financiers (AMF) announces withdrawal of the authorisation of the portfolio asset management company Wide Asset Management as of 8 July 2024
Asset management The Autorité des Marchés Financiers (AMF) announces withdrawal of the authorisation of the portfolio asset management company Wide Asset Management as of 8 July 2024
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Asset Manager
The AMF reminds retail investors to be extremely vigilant regarding Immediate Connect's fraudulent investment offer
Warning Savings protection Warning Forex and binary options Crypto-assets The AMF reminds retail investors to be extremely vigilant regarding Immediate Connect's fraudulent investment offer
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Topics:
Crypto ExchangeFintechAll Firms
Central Bank publishes feedback statement on macroprudential policy for investment funds
The Central Bank of Ireland has today (Tuesday 23 July) published a Feedback Statement to the Discussion Paper on an approach to macroprudential policy for investment funds.
AI Analysis
The Central Bank of Ireland (CBI) published a Feedback Statement on 23 July 2024 summarizing stakeholder responses to its Discussion Paper (DP11) on developing a macroprudential policy framework for investment funds, emphasizing the sector's growth and systemic risks. This matters for compliance professionals as it signals ongoing domestic and international efforts to enhance fund resilience amid rapid expansion of non-bank financial intermediation (NBFI), with Ireland's funds sector reaching €6.2 trillion in assets by end-2022. No immediate new rules are imposed, but it underscores evaluation of existing measures and future policy evolution.
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Asset ManagerHedge Fund
AMF and Banque de France call for a well-anticipated move to T+1 Settlement Cycle
Regulatory developments Post-trading infrastructures Market infrastructures Cooperation Journalists AMF and Banque de France call for a well-anticipated move to T+1 Settlement Cycle
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Topics:
BankBroker DealerAsset Manager
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.
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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
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Topics:
Asset ManagerBroker DealerWealth Manager
Notification forms for the cross-border exercise of the activities of passemanagement companies, and the marketing of UCITS and AIFs: the AMF updates its doctrine
Asset management Notification forms for the cross-border exercise of the activities of passemanagement companies, and the marketing of UCITS and AIFs: the AMF updates its doctrine
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Topics:
Asset ManagerWealth Manager
The Autorité des Marchés Financiers (AMF) publishes the findings of three supervisory initiatives on sustainable finance
Sustainable Finance Asset management Other professionals Journalists Investment management companies The Autorité des Marchés Financiers (AMF) publishes the findings of three supervisory initiatives on sustainable finance
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Asset ManagerWealth ManagerAll Firms
The AMF publishes the summary of responses received to its Discussion Paper on Decentralised Finance
Crypto-assets Innovation The AMF publishes the summary of responses received to its Discussion Paper on Decentralised Finance
AI Analysis
The Autorité des Marchés Financiers (AMF) has published a summary of stakeholder responses to its June 2023 Discussion Paper on Decentralised Finance (DeFi), analyzing regulatory challenges posed by automated, decentralized crypto-asset activities. This matters for compliance professionals as it signals the AMF's ongoing commitment to developing a balanced DeFi framework amid MiCA's implementation, potentially shaping future supervision of decentralized protocols while emphasizing investor protection and innovation.
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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"
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Topics:
BankAsset ManagerFintech
Artificial intelligence: the AMF encourages market stakeholders to take part in two European Commission initiatives on issues specific to the financial sector
Artificial intelligence Innovation Financial products Financial services providers Artificial intelligence: the AMF encourages market stakeholders to take part in two European Commission initiatives on issues specific to the financial sector
Sectors:
Topics:
Asset ManagerBankFintech
The AMF has published a summary of its SPOT inspections of financial management delegation arrangements at asset management companies
Supervision Asset management Journalists Investment management companies The AMF has published a summary of its SPOT inspections of financial management delegation arrangements at asset management companies
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Asset Manager
AMF Enforcement Committee fines a financial investment advisor and its director for breaches of their professional obligations
Sanctions & settlements professional obligations Other professionals Journalists AMF Enforcement Committee fines a financial investment advisor and its director for breaches of their professional obligations
AI Analysis
The AMF Enforcement Committee has issued multiple enforcement decisions against financial investment advisors and their management for breaches of professional obligations, with the most recent and significant case involving Carat GP and its directors receiving combined fines of €2.5 million and permanent/extended bans from operating as financial investment advisors. These cases establish critical precedent regarding advisor duties around client disclosure, product authorization, conflict of interest management, and honest/fair conduct—requirements that apply across the entire financial investment advisory sector.
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Asset ManagerWealth ManagerBroker Dealer
The AMF and the ACPR have published their report on the monitoring and assessment of the climate commitments made by Paris financial centre participants
Sustainable Finance Governance Financing the economy Other professionals Journalists Investment management companies Listed companies and issuers The AMF and the ACPR have published their report on the monitoring and assessment of the climate...
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Asset ManagerBankBroker Dealer
AMF Chair Marie-Anne Barbat-Layani meets with CSRC Vice Chairman, Fang Xinghai
Institutional Europe & international Cooperation AMF Chair Marie-Anne Barbat-Layani meets with CSRC Vice Chairman, Fang Xinghai
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Topics:
BankAsset ManagerBroker Dealer
Issue 6 2024
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment has published its 2023 Annual Report
Annual report Savings protection Marketing Retail investors Journalists The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment has published its 2023 Annual Report
Sectors:
Topics:
BankAsset ManagerInsurance
Mystery shopping visits to bank branches: the collection of client sustainability preferences remains fragmented
Sustainable Finance Investment advice Long term investment Retail investors Journalists Mystery shopping visits to bank branches: the collection of client sustainability preferences remains fragmented
Sectors:
Topics:
BankWealth ManagerAsset Manager
Money laundering and terrorist financing: the AMF publishes its sectoral risk analysis
Asset management Anti-money Laundering Money laundering and terrorist financing: the AMF publishes its sectoral risk analysis
Sectors:
Topics:
Asset ManagerWealth Manager
The Autorité des Marchés Financiers (AMF) withdraws the authorisation of the portfolio asset management company Wide Asset Management
Asset management The Autorité des Marchés Financiers (AMF) withdraws the authorisation of the portfolio asset management company Wide Asset Management
Sectors:
Topics:
Asset Manager
AMF Ombudsman publishes her 2023 Annual Report
Mediation Annual report Retail investors Professional investors Journalists AMF Ombudsman publishes her 2023 Annual Report
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Active ETFs: the AMF publishes a recommendation on the transparency of portfolios
Asset management ETF Active ETFs: the AMF publishes a recommendation on the transparency of portfolios
Sectors:
Topics:
Asset ManagerBroker DealerCrypto Exchange
AMF complies with ESMA guidelines on updating the stress scenario parameters provided for in Article 28 of the Money Market Funds Regulation for 2024
Asset management MMF AMF complies with ESMA guidelines on updating the stress scenario parameters provided for in Article 28 of the Money Market Funds Regulation for 2024
Sectors:
Topics:
Asset ManagerBankBroker Dealer
The AMF has set up a CSR Committee
AMF activity Institutional The AMF has set up a CSR Committee
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF publishes a research paper on French funds’ costs
Financial products The AMF publishes a research paper on French funds’ costs
Sectors:
Topics:
Asset ManagerWealth Manager
Article 29 of the Energy and Climate Law (29LEC): the French Treasury published FAQs in April 2024
Asset management Sustainable Finance Article 29 of the Energy and Climate Law (29LEC): the French Treasury published FAQs in April 2024
AI Analysis
The AMF publication highlights FAQs issued by the French Treasury in April 2024, clarifying key aspects of Article 29 of the Energy and Climate Law (29LEC) reporting obligations for French financial institutions on sustainability integration in investment activities. This matters for compliance teams as it addresses practical ambiguities in scope, consolidation, and EU interactions post-2023 reporting cycles, reducing interpretive risks amid expanding ESG mandates like SFDR. Firms must review these to ensure accurate 2024+ submissions via the Climate Transparency Hub (CTH).
Sectors:
Topics:
Asset ManagerAll Firms
Marie Seiller appointed Resources, Operations and Transformation Director at the Autorité des Marchés Financiers
Appointment AMF activity Journalists Marie Seiller appointed Resources, Operations and Transformation Director at the Autorité des Marchés Financiers
Sectors:
Topics:
Asset ManagerBankBroker Dealer
AMF publishes its 2023 Annual Report
Annual report Institutional AMF activity Other professionals Executive & other private individuals Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment...
Sectors:
Topics:
Asset ManagerBroker DealerFintech
ESMA's 20 recommendations for more efficient and attractive European markets
Markets Investment services Financing the economy Supervision ESMA's 20 recommendations for more efficient and attractive European markets
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
France Mayer appointed Retail Investor Relations and Protection Director at the Autorité des Marchés Financiers
Appointment AMF activity Retail investors Journalists France Mayer appointed Retail Investor Relations and Protection Director at the Autorité des Marchés Financiers
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Issue 5 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
Dashboard of retail investors active on the stock market: sharp increase in retail ETF activity in Q1 2024
Long term investment Equity ETF Retail investors Professional investors Journalists Dashboard of retail investors active on the stock market: sharp increase in retail ETF activity in Q1 2024
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Topics:
Asset ManagerBroker DealerWealth Manager
Central Bank of Ireland introduces macroprudential measures for Irish-authorised GBP-denominated LDI funds
The Central Bank of Ireland has today (29 April 2024) announced the introduction of macroprudential measures for Irish-authorised GBP-denominated Liability Driven Investment (LDI) funds. Building on the recent Consultation Paper “Macroprudential measures for GBP Liability Driven Investment funds”, the measures require that GBP-denominated LDI funds authorised in Ireland maintain sufficient resilience to be able to withstand a sudden and adverse shocks to UK interest rates.
AI Analysis
The Central Bank of Ireland (CBI) introduced binding macroprudential measures on 29 April 2024 requiring Irish-authorised GBP-denominated Liability Driven Investment (LDI) funds to maintain a minimum **300 basis point yield buffer** to withstand adverse UK interest rate shocks. This regulatory intervention directly addresses systemic risks exposed during the September-October 2022 UK gilt market crisis, where excessive leverage in LDI funds amplified financial stress across markets.
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Topics:
Asset ManagerHedge FundWealth 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
Austrian, French, Italian and Spanish financial market authorities give their key priorities for a macro-prudential approach to asset management
Asset management Europe & international Journalists Investment management companies Austrian, French, Italian and Spanish financial market authorities give their key priorities for a macro-prudential approach to asset management
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Asset ManagerBankBroker Dealer
Less expensive investment funds for savers in 2023 according to the AMF's Household Savings Newsletter
Fees Collective investments Shares ETF Less expensive investment funds for savers in 2023 according to the AMF's Household Savings Newsletter
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Topics:
Asset ManagerWealth ManagerBank
The Autorité des Marchés Financiers announces the new composition of the Financial Skills Certification Board
Professional certification AMF activity Journalists The Autorité des Marchés Financiers announces the new composition of the Financial Skills Certification Board
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Asset ManagerBroker DealerBank
Pauline Briand joins the Autorité des Marchés Financiers (AMF) as Head of Communications
Appointment AMF activity Journalists Pauline Briand joins the Autorité des Marchés Financiers (AMF) as Head of Communications
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Asset ManagerBankBroker Dealer
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Forex and binary options Warning The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
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Topics:
BankBroker DealerCrypto Exchange
ROSA Extranet: changes to authorisation and declaration processes for collective investments
Asset management ROSA Extranet: changes to authorisation and declaration processes for collective investments
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Asset ManagerWealth Manager
The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Warning Savings protection Warning Miscellaneous assets The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
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Topics:
Asset ManagerWealth ManagerBroker Dealer
Valérie Michel-Amsellem becomes Chair of the AMF Enforcement Committee
Appointment Sanctions & settlements Journalists Valérie Michel-Amsellem becomes Chair of the AMF Enforcement Committee
AI Analysis
This AMF publication announces the appointment of Valérie Michel-Amsellem as the new Chair of the AMF Enforcement Committee, the independent body responsible for imposing sanctions in financial market violations. It matters for compliance professionals because leadership changes in enforcement can signal shifts in sanctioning priorities, rigor, or focus areas, potentially influencing how firms approach risk management and remediation. While no immediate policy changes are introduced, monitoring the new Chair's tenure is essential given the Committee's role in upholding market integrity.
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Asset ManagerBroker DealerBank
Combatting money laundering and terrorist financing: AMF applies two sets of European Banking Authority guidelines
Asset management Anti-money Laundering Combatting money laundering and terrorist financing: AMF applies two sets of European Banking Authority guidelines
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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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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
Appointements to the AMF Enforcement Committee
Appointment Sanctions & settlements Journalists Appointements to the AMF Enforcement Committee
AI Analysis
This AMF publication announces the partial renewal of the Enforcement Committee, including four new appointments, two reappointments, and the subsequent election of Valérie Michel-Amsellem as Chair on 28 February 2024. It matters for compliance professionals as changes in committee composition can influence enforcement priorities, sanction severity, and interpretations of financial regulations under AMF jurisdiction.
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Asset ManagerBroker DealerBank
The AMF publishes, in a position paper, the key principles it believes should guide the SFDR review
Sustainable Finance Financial products Asset management Europe & international Regulatory developments The AMF publishes, in a position paper, the key principles it believes should guide the SFDR review
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Asset Manager
Ten new key figures admitted to the Board of the Autorité des Marchés Financiers
AMF activity Appointment Journalists Ten new key figures admitted to the Board of the Autorité des Marchés Financiers
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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
EMIR Refit: Update of the AMF website on notifications forms
Derivatives or structured products EMIR Refit: Update of the AMF website on notifications forms
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Asset ManagerBroker DealerBank
The European single access point for financial and non-financial information on European entities (ESAP) enters its implementation phase
Europe & international Periodic & ongoing disclosures The European single access point for financial and non-financial information on European entities (ESAP) enters its implementation phase
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Asset ManagerBankBroker Dealer
Issue 1 2024
No description available.
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Asset ManagerBankWealth Manager
AMF publishes an educational guide on companies’ climate transition plans prepared by its Climate and Sustainable Finance Commission
Sustainable Finance Periodic & ongoing disclosures Journalists Listed companies and issuers AMF publishes an educational guide on companies’ climate transition plans prepared by its Climate and Sustainable Finance Commission
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Asset ManagerWealth Manager
Consequences from 2024 of the transposition of the CSRD for large listed companies
Periodic & ongoing disclosures Sustainable Finance Consequences from 2024 of the transposition of the CSRD for large listed companies
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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
Astrid Milsan will act as Secretary General of the AMF until 15 April 2024
AMF activity Institutional Journalists Astrid Milsan will act as Secretary General of the AMF until 15 April 2024
Deadline: 15 April 2024
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BankAsset ManagerWealth Manager
The AMF warns the public about fraudulent press advertisements proposing investments in car parks with electric charging points
Warning Savings protection Financial Scams Warning The AMF warns the public about fraudulent press advertisements proposing investments in car parks with electric charging points
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BankWealth ManagerFintech
Entry into force of the revised European Long-Term Investment Fund Regulation (ELTIF 2) - AMF clarifies fund authorisation requirements
Asset management Entry into force of the revised European Long-Term Investment Fund Regulation (ELTIF 2) - AMF clarifies fund authorisation requirements
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Asset ManagerWealth Manager
The AMF publishes its action plan and supervisory priorities for 2024
Strategy Supervision Institutional Other professionals Executive & other private individuals Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services...
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Asset ManagerBroker DealerFintech
AMF Enforcement Committee fines a financial investment advisor and its director for breach of professional obligations
Sanctions & settlements professional obligations Other professionals Journalists AMF Enforcement Committee fines a financial investment advisor and its director for breach of professional obligations
AI Analysis
The AMF Enforcement Committee imposed sanctions on SPI (a financial investment advisor) and its director Vincent Rhodes on 9 January 2024 for breaching professional obligations. This case demonstrates the AMF's enforcement priorities regarding advisor conduct standards and establishes precedent for disciplinary action against both firms and individual managers who fail to meet regulatory requirements.
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Wealth ManagerBroker DealerAsset Manager
The 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
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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:
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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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Wealth ManagerAll Firms
The AMF publishes summary of third thematic inspection of asset management companies' cybersecurity systems
Supervision Asset management Journalists Investment management companies The AMF publishes summary of third thematic inspection of asset management companies' cybersecurity systems
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Asset Manager
The AMF updates its policy on disclosures by collective investment schemes incorporating non-financial methods
Asset management UCIT Collective investments The AMF updates its policy on disclosures by collective investment schemes incorporating non-financial methods
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Asset ManagerWealth ManagerAll Firms
Changes to CIU authorisation and declaration processes
Asset management Changes to CIU authorisation and declaration processes
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Asset Manager
Requirements for investment committees and the affiliation of fund managers of asset management companies: the AMF updates its policy
Asset management Requirements for investment committees and the affiliation of fund managers of asset management companies: the AMF updates its policy
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Asset Manager
AMF proposes enhanced investor information when evaluating boards of listed companies
Governance Periodic & ongoing disclosures Journalists Listed companies and issuers AMF proposes enhanced investor information when evaluating boards of listed companies
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Asset ManagerWealth ManagerBank
The AMF presents its 2023 Young Researcher Award to Sylvain Carré
Markets Institutional Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers Investment management companies Listed companies and issuers The AMF presents...
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Asset Manager
The AMF 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.
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Asset ManagerBankWealth Manager
The AMF Enforcement Committee fines a French tied agent of a Cypriot investment services provider and its manager for breaches of their professional obligations
Sanctions & settlements Journalists The AMF Enforcement Committee fines a French tied agent of a Cypriot investment services provider and its manager for breaches of their professional obligations
AI Analysis
The AMF Enforcement Committee fined France Safe Media (FSM), a French tied agent of Cypriot provider VPR Safe Financial Group Limited (Alvexo platform), €300,000 and imposed a 10-year ban from tied agent activities and reception/transmission of orders (RTO) services, while its manager Lior Mattouk received a €100,000 fine and similar 10-year ban, for breaches occurring January 2019–September 2021. This decision, dated 10 November 2023 and upheld by Conseil d'Etat on 16 June 2025, underscores AMF's strict enforcement of professional obligations for tied agents marketing high-risk CFDs, emphasizing staff qualifications, client assessments, risk warnings, disclosures, and diligence. It matters for cross-border intermediaries as it highlights personal liability for managers and the finality of sanctions post-appeal, signaling heightened scrutiny on CFD promotion and tied agent compliance in France.
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Broker DealerWealth ManagerAll Firms
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
The AMF publishes a second educational report on taxonomy reporting by listed companies
Sustainable Finance Periodic & ongoing disclosures Journalists Investment services providers Investment management companies Listed companies and issuers The AMF publishes a second educational report on taxonomy reporting by listed companies
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Asset Manager
An OECD study for the AMF profiles new French retail investors
Long term investment Equity Journalists Investment services providers Investment management companies Listed companies and issuers An OECD study for the AMF profiles new French retail investors
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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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BankWealth ManagerAll Firms
Issue 9 2023
No description available.
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Asset ManagerBankWealth Manager
The AMF and the US CFTC sign MOU for supervision of certain cross-border firms
Cooperation Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers Investment management companies Listed companies and issuers The AMF and the US...
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Asset ManagerBroker Dealer
Pan-European Personal Pension Products: the AMF complies with EIOPA guidelines
Asset management Pan-European Personal Pension Products: the AMF complies with EIOPA guidelines
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Asset ManagerInsurance
Loans originated by AIFs: the AMF amends its guidelines on reporting requirements
Asset management Loans originated by AIFs: the AMF amends its guidelines on reporting requirements
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Asset ManagerBank
Regulatory reporting by asset management companies: the AMF calls for greater diligence
Supervision Asset management Compliance Journalists Investment management companies Regulatory reporting by asset management companies: the AMF calls for greater diligence
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Asset Manager
AMF Chair Marie-Anne Barbat-Layani meets with ASIC Chair Joseph Longo
Cooperation AMF Chair Marie-Anne Barbat-Layani meets with ASIC Chair Joseph Longo
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BankWealth ManagerAll Firms
The AMF ensures that retail investors are properly informed on fees of financial products
Fees Savings protection Other professionals Retail investors Journalists Investment services providers The AMF ensures that retail investors are properly informed on fees of financial products
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Asset ManagerWealth ManagerBank
The AMF announces the appointment of its new Secretary General, Sébastien Raspiller
Appointment Institutional AMF activity Other professionals Executive & other private individuals Retail investors Fintech Professional investors Journalists Investment services providers Investment management...
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Asset ManagerBankBroker Dealer
Issue 8 2023
No description available.
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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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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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Asset ManagerBroker DealerBank
Decentralised Finance (DeFi): IOSCO publishes its consultation report
Innovation Markets Decentralised Finance (DeFi): IOSCO publishes its consultation report
AI Analysis
The AMF publication announces IOSCO's consultation report on Decentralised Finance (DeFi), highlighting ongoing global efforts to regulate DeFi activities under IOSCO's 2023 policy recommendations. This matters for compliance professionals as it signals intensifying scrutiny on DeFi platforms for investor protection, market integrity, and financial stability risks, potentially leading to harmonized rules that bridge traditional finance and crypto assets. Firms involved in DeFi must monitor this to align with emerging "same risk, same rule" standards across jurisdictions.
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Asset ManagerCrypto ExchangeFintech
The AMF Enforcement Committee fines an asset management company and its directors for breaches of their professional obligations
Sanctions & settlements Journalists The AMF Enforcement Committee fines an asset management company and its directors for breaches of their professional obligations
AI Analysis
The AMF Enforcement Committee fined asset management company M Capital Partners €200,000 and its directors Rudy Secco (€70,000) and Stéphanie Minissier (€35,000) on 31 December 2025 for breaches of professional obligations spanning August 2019 to December 2023, including unauthorized investment services, deficient investment processes, conflicts of interest failures, and inadequate AML/CFT systems. This decision underscores AMF's focus on operational robustness in asset managers, particularly those acting as tied agents, and holds senior managers personally accountable. It matters for compliance as it exemplifies enforcement trends targeting systemic deficiencies, with potential appeals signaling ongoing scrutiny.
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Asset Manager
The AMF Enforcement Committee fines the Association Nationale des Conseillers Financiers-CIF for breaches of its professional obligations
Sanctions & settlements professional obligations Journalists The AMF Enforcement Committee fines the Association Nationale des Conseillers Financiers-CIF for breaches of its professional obligations
AI Analysis
The AMF Enforcement Committee fined the Association Nationale des Conseillers Financiers-CIF (ANACOFI-CIF), a professional association approved for investment advisors (CIFs), €250,000 with a warning, and its former president €20,000 with a warning, for breaching professional obligations in membership vetting, controls, archiving, and conflicts of interest management. This decision, dated September 5, 2023, underscores AMF's scrutiny of professional associations' gatekeeping and oversight roles in ensuring CIF compliance. It matters as it signals heightened enforcement against associations failing to uphold regulatory standards, potentially impacting CIF ecosystem integrity and prompting reviews of similar bodies.
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Wealth ManagerAll Firms
The AMF and the ARPP launch the Responsible Influence Certificate in Finance
Savings protection Cooperation Crypto-assets Retail investors Fintech Journalists The AMF and the ARPP launch the Responsible Influence Certificate in Finance
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Asset ManagerFintechCrypto Exchange
Investment service: amendment of the French definition of reception and transmission of orders
Investment services Investment service: amendment of the French definition of reception and transmission of orders
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Asset ManagerBroker DealerWealth Manager
The AMF pays tribute to Jacques Delmas-Marsalet
Institutional AMF activity Journalists The AMF pays tribute to Jacques Delmas-Marsalet
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BankWealth ManagerAsset Manager
The Autorité des Marchés Financiers (AMF) announces withdrawal of the authorisation of the portfolio asset management company Quantology Capital Management as of 30 June 2023
Asset management The Autorité des Marchés Financiers (AMF) announces withdrawal of the authorisation of the portfolio asset management company Quantology Capital Management as of 30 June 2023
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Asset Manager
The AMF updates its policy on the information to be provided by collective investment schemes incorporating non-financial approaches
Collective investments Asset management The AMF updates its policy on the information to be provided by collective investment schemes incorporating non-financial approaches
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Asset ManagerWealth 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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Asset ManagerBankWealth Manager
Central counterparties’ recovery and resolution: AMF complies with ESMA guidelines
Regulatory developments Post-trading infrastructures Market infrastructures Central counterparties’ recovery and resolution: AMF complies with ESMA guidelines
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Asset ManagerBroker DealerBank
Close to 40% of new equity investors are under 35
Long term investment Equity Retail investors Journalists Close to 40% of new equity investors are under 35
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Asset ManagerWealth ManagerBroker Dealer
The AMF updates its instructions on AMF certification and the sustainable finance module
Professional certification Sustainable Finance The AMF updates its instructions on AMF certification and the sustainable finance module
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Asset ManagerWealth ManagerAll Firms
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
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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
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Asset ManagerWealth ManagerBank
The AMF responds to the European Commission’s public consultation on the draft European sustainability reporting standards
Periodic & ongoing disclosures Sustainable Finance Regulatory developments The AMF responds to the European Commission’s public consultation on the draft European sustainability reporting standards
AI Analysis
The AMF's response to the European Commission's public consultation advocates for simplified European Sustainability Reporting Standards (ESRS) under the CSRD, emphasizing retained quality in climate reporting, interoperability with ISSB standards, and proportionality while opposing overly complex materiality assessments. This matters for compliance professionals as it signals upcoming ESRS revisions that could reduce reporting burdens but maintain investor-focused disclosures, influencing 2026-2028 sustainability statements for listed firms and financial institutions. https://www.amf-france.org/en/news-publications/news/amf-responds-european-commissions-public-consultation-draft-european-sustainability-reporting
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Asset ManagerBankAll Firms
The AMF publishes its 2023 Markets and Risk Outlook
Risk and Trend Mapping Markets Europe & international Asset management Other professionals Market Infrastructures Journalists Investment services providers Investment management companies Listed companies and issuers ...
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Asset 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 Warning Savings protection Forex and binary options The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Sectors:
Topics:
Broker DealerFintechCrypto Exchange
The AMF warns the public against companies proposing atypical investments without being authorised to do so
Warning Warning Savings protection Miscellaneous assets The AMF warns the public against companies proposing atypical investments without being authorised to do so
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Topics:
Asset ManagerWealth ManagerFintech
Pump-and-dump practice: market manipulation sanctioned by the Paris Tribunal Correctionnel
MAR Anti-money Laundering Pump-and-dump practice: market manipulation sanctioned by the Paris Tribunal Correctionnel
AI Analysis
The Paris Tribunal Correctionnel sanctioned a pump-and-dump market manipulation scheme, where perpetrators artificially inflated small-cap stock prices via social media hype before selling off, violating France's Market Abuse Regulation (MAR). This enforcement action by the AMF underscores aggressive judicial backing for anti-manipulation efforts, signaling heightened scrutiny on coordinated trading schemes, especially in illiquid assets. Compliance teams must prioritize surveillance enhancements to mitigate similar risks amid rising digital promotion tactics.
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Broker DealerCrypto ExchangeAll Firms
The AMF examines the systems for valuation of the less liquid assets of UCITS and AIFs
Supervision Asset management Journalists Investment management companies The AMF examines the systems for valuation of the less liquid assets of UCITS and AIFs
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Asset ManagerWealth Manager
The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment publishes its 2022 annual report
Annual report Savings protection Marketing Financial products Retail investors Journalists The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment publishes its 2022 annual report
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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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Asset ManagerWealth ManagerBank
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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Broker DealerWealth ManagerBank
The AMF supports issuers in implementing new sustainability reporting obligations
Periodic & ongoing disclosures Sustainable Finance The AMF supports issuers in implementing new sustainability reporting obligations
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Asset ManagerBankAll Firms
European Crowdfunding Services Providers: the AMF publishes a position on marketing communications
Financial services providers Asset management Marketing European Crowdfunding Services Providers: the AMF publishes a position on marketing communications
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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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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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Asset ManagerWealth Manager
The AMF publishes a summary on the internal processes that aim to ensure compliance with non-financial contractual commitments by asset management companies of ESG/SRI funds
Supervision Asset management Sustainable Finance Journalists Investment management companies The AMF publishes a summary on the internal processes that aim to ensure compliance with non-financial contractual commitments by asset management companies of ESG/SRI funds
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Asset Manager
The AMF Ombudsman publishes her 2022 Annual Report
Mediation Annual report Retail investors Journalists Investment services providers Investment management companies Listed companies and issuers The AMF Ombudsman publishes her 2022 Annual Report
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Asset ManagerWealth ManagerBroker Dealer
The AMF Enforcement Committee 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
MiFID II remuneration requirements: the AMF applies the ESMA Guidelines
Asset management Governance MiFID II remuneration requirements: the AMF applies the ESMA Guidelines
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Topics:
Asset Manager
The AMF Enforcement Committee fines a portfolio asset management company for breaches of its professional obligations
Sanctions & settlements Journalists Investment management companies The AMF Enforcement Committee fines a portfolio asset management company for breaches of its professional obligations
AI Analysis
The AMF Enforcement Committee fined portfolio asset management company M Capital Partners €200,000, and its directors Rudy Secco (€70,000) and Stéphanie Minissier (€35,000) on 31 December 2025, for multiple breaches spanning August 2019 to December 2023, including unauthorized placement of financial instruments as a tied agent, non-operational investment allocation processes, inadequate compliance with investment procedures, deficient conflicts of interest management, and non-operational AML/CFT systems. This decision underscores AMF's strict enforcement of operational compliance and scope limitations for asset managers, serving as a critical reminder for firms to ensure robust, traceable systems and director accountability. It matters because it highlights personal liability for managers and recurring AMF focus on AML/CFT and procedural deficiencies, potentially signaling increased scrutiny in 2026.
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Asset Manager
Reporting under Article 29 of the Energy-Climate Law: the AMF updates its policy on how to prepare and submit reports
Asset management Sustainable Finance Organisational rules Reporting under Article 29 of the Energy-Climate Law: the AMF updates its policy on how to prepare and submit reports
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Asset ManagerWealth Manager
The AMF Enforcement Committee fines a portfolio asset management company and its manager for breaches of their professional obligations
Sanctions & settlements Asset management Compliance Anti-money Laundering Executive & other private individuals Investment management companies The AMF Enforcement Committee fines a portfolio asset management company and its manager for breaches of their...
AI Analysis
The AMF Enforcement Committee fined portfolio asset management company M Capital Partners €200,000 and its managers Rudy Secco (€70,000) and Stéphanie Minissier (€35,000) on 31 December 2025 for multiple breaches of professional obligations from August 2019 to December 2023, including unauthorized investment services as a tied agent, non-operational investment allocation processes, deficient conflict-of-interest management, and inadequate AML/CFT systems. This decision underscores AMF's strict enforcement against operational failures in asset management, particularly for firms balancing portfolio management with tied agent roles, emphasizing personal accountability for managers. Compliance teams must review this for gaps in procedures, as it highlights how imprecise processes and poor traceability lead to substantial sanctions.
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Asset Manager
Equity savings plans : the AMF working group proposes avenues for improvement
Savings protection Equity Savings Plan Shares Long term investment Retail investors Journalists Investment services providers Listed companies and issuers Equity savings plans : the AMF working group proposes avenues for...
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Asset ManagerWealth ManagerBroker Dealer
Provision of market data: the AMF conducts a series of SPOT inspections and identifies shortcomings in compliance with requirements
Supervision MIFID Financial services providers Other professionals Journalists Investment services providers Provision of market data: the AMF conducts a series of SPOT inspections and identifies shortcomings in compliance with requirements
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Asset ManagerBroker DealerWealth Manager
The Autorité des Marchés Financiers (AMF) has withdrawn the authorisation of the portfolio asset management company Quantology Capital Management
Asset management The Autorité des Marchés Financiers (AMF) has withdrawn the authorisation of the portfolio asset management company Quantology Capital Management
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Asset Manager
Slight recovery of retail investor activity in the stock market
Long term investment Equity Savings Plan Retail investors Journalists Slight recovery of retail investor activity in the stock market
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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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BankBroker DealerAsset Manager
The AMF complies with the ESMA guidelines on updating stress test scenarios in accordance with Article 28 of the Money Market Fund Regulation for 2023
MMF Asset management Regulatory developments The AMF complies with the ESMA guidelines on updating stress test scenarios in accordance with Article 28 of the Money Market Fund Regulation for 2023
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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 Warning Savings protection Forex and binary options The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
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Broker DealerFintechCrypto Exchange
Laure Tertrais is appointed Head of the AMF Chair’s Executive Office with effect from 1 April 2023
Appointment AMF activity Institutional Journalists Laure Tertrais is appointed Head of the AMF Chair’s Executive Office with effect from 1 April 2023
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Asset ManagerBankAll Firms
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
Sustainable Finance Disclosure Regulation: the AMF publishes a study on classifications and fossil fuel exposure in the French funds universe
Sustainable Finance Asset management Sustainable Finance Disclosure Regulation: the AMF publishes a study on classifications and fossil fuel exposure in the French funds universe
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Asset ManagerBankBroker Dealer
Employee savings: a sharp increase in awareness and ownership of employee savings schemes; support for employees and company managers should be reinforced
Employee savings scheme Long term investment Collective investments Retail investors Professional investors Journalists Employee savings: a sharp increase in awareness and ownership of employee savings schemes; support for employees and company managers...
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Asset ManagerWealth ManagerAll Firms
The AMF has produced the standard profile of active investors in 2022
Long term investment Equity Retail investors Professional investors Journalists The AMF has produced the standard profile of active investors in 2022
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Asset ManagerWealth ManagerBroker Dealer
Publication by the Climate and Sustainable Finance Commission: climate resolutions
Sustainable Finance Publication by the Climate and Sustainable Finance Commission: climate resolutions
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Asset ManagerBankWealth Manager
Shareholder dialogue on environmental and climate issues
Sustainable Finance Executive & other private individuals Journalists Listed companies and issuers Shareholder dialogue on environmental and climate issues
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Asset ManagerBankBroker Dealer
Mystery shopping campaign to bank branches: progress made in the questioning to client, improvements needed in the information provided
MIFID Supervision Retail investors Journalists Mystery shopping campaign to bank branches: progress made in the questioning to client, improvements needed in the information provided
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BankWealth Manager
The AMF warns the public about fraudulent investment offers through trading robots
Warning Warning Savings protection Forex and binary options The AMF warns the public about fraudulent investment offers through trading robots
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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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Asset ManagerWealth Manager
AI enthusiasts, the AMF challenges you
Innovation Markets AI enthusiasts, the AMF challenges you
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Asset ManagerWealth ManagerFintech
Anti-money laundering and combating the financing of terrorism: the AMF applies the guidelines of the European Banking Authority
Asset management Anti-money Laundering Anti-money laundering and combating the financing of terrorism: the AMF applies the guidelines of the European Banking Authority
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Asset ManagerBankWealth Manager
Money Laundering and Terrorist Financing: update of the COLB’s National Risk Assessment
Asset management Anti-money Laundering Money Laundering and Terrorist Financing: update of the COLB’s National Risk Assessment
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Asset ManagerWealth Manager
The AMF Enforcement Committee fines a financial investment advisor for breaches of its professional obligations
Sanctions & settlements professional obligations Investment advice Other professionals Journalists The AMF Enforcement Committee fines a financial investment advisor for breaches of its professional obligations
AI Analysis
The AMF Enforcement Committee fined financial investment advisor Capexis €120,000 on 15 February 2023 for breaches including receiving prohibited payments from client loan repayments and failing to disclose commissions from SCPI usufruct subscriptions, with the Conseil d'Etat later increasing the fine to €150,000 on 3 March 2025. This enforcement action underscores AMF's strict oversight of **financial investment advisors (Conseillers en Investissements Financiers - CIFs)** on professional obligations like payment restrictions and transparency. It matters for compliance as it highlights personal liability risks and the educational role of such decisions in clarifying regulations.
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Wealth ManagerAll Firms
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
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Asset ManagerWealth Manager
The Sustainable Finance Disclosure Regulation: the AMF proposes a targeted review to include minimum environmental criteria
Financial products Sustainable Finance Asset management Journalists Investment management companies The Sustainable Finance Disclosure Regulation: the AMF proposes a targeted review to include minimum environmental criteria
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Asset ManagerWealth ManagerBank
Taxonomy Article 8 reporting: publication of Frequently Asked Questions by the European Commission
Sustainable Finance Periodic & ongoing disclosures Taxonomy Article 8 reporting: publication of Frequently Asked Questions by the European Commission
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Asset ManagerWealth ManagerAll Firms
Marketing of financial products to ageing populations: publication of an independent academic research report on customer relations and sales processes
Savings protection Marketing Marketing of financial products to ageing populations: publication of an independent academic research report on customer relations and sales processes
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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...
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Asset ManagerBroker DealerWealth Manager
Publication of the new directive on corporate sustainability reporting (CSRD)
Sustainable Finance Periodic & ongoing disclosures Publication of the new directive on corporate sustainability reporting (CSRD)
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Asset ManagerBankBroker Dealer
The AMF warns the public about calls from fraudsters claiming to help recover funds
Warning Warning Savings protection The AMF warns the public about calls from fraudsters claiming to help recover funds
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BankWealth Manager
Artificial intelligence, towards new contributions for regulators
Artificial intelligence Financial disclosures & corporate financing Innovation Prospectus Artificial intelligence, towards new contributions for regulators
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Asset ManagerBroker DealerFintech
The AMF has published its action and supervisory priorities for 2023
Strategy Executive & other private individuals Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers Investment management companies Listed companies and...
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Asset ManagerBroker DealerFintech
The AMF 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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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"
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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
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Asset ManagerWealth ManagerFintech
The AMF Enforcement Committee fines a portfolio asset management company for breaches of its professional obligations
Sanctions & settlements Journalists Investment management companies The AMF Enforcement Committee fines a portfolio asset management company for breaches of its professional obligations
AI Analysis
The AMF Enforcement Committee imposed a €150,000 fine on **Inocap Gestion**, a portfolio asset management company, for multiple operational and compliance failures between 2022 and the enforcement decision date. This case demonstrates the AMF's enforcement priorities around liquidity risk management, market abuse detection systems, and anti-money laundering (AML/CFT) procedures—critical control areas that asset managers must operationalize effectively to avoid substantial penalties.
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Asset ManagerWealth Manager
Marie-Anne Barbat-Layani to chair ESMA's Investor Protection Standing Committee
Europe & international Savings protection Marie-Anne Barbat-Layani to chair ESMA's Investor Protection Standing Committee
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Asset ManagerWealth ManagerBank
The AMF renews its consultative commissions and the Climate and Sustainable Finance Commission
Institutional AMF activity Executive & other private individuals Retail investors Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers ...
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Asset ManagerWealth ManagerAll Firms
The AMF publishes its proposals for an open finance framework
Innovation The AMF publishes its proposals for an open finance framework
AI Analysis
The Autorité des Marchés Financiers (AMF), France's financial markets authority, has published proposals for an **open finance framework** via a public consultation, extending open banking principles to broader financial data sharing for enhanced innovation and competition. This matters for compliance professionals as it signals upcoming regulatory requirements for secure data access, APIs, and customer consent mechanisms, aligning with EU trends toward open finance while prioritizing consumer protection and market resilience. Firms must engage early to shape the final rules and prepare systems for compliance.
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BankAsset ManagerFintech
The AMF’s latest savings barometer finds that the French are a little less inclined to invest in the stock market
Long term investment Shares Collective investments Retail investors Journalists The AMF’s latest savings barometer finds that the French are a little less inclined to invest in the stock market
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Asset ManagerWealth ManagerBroker Dealer
Social and environmental responsibility, the focus of the AMF's 2022 report on corporate governance and executive compensation of listed companies
Governance Sustainable Finance Executive & other private individuals Journalists Listed companies and issuers Social and environmental responsibility, the focus of the AMF's 2022 report on corporate governance and executive compensation of listed companies
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Asset ManagerBankWealth Manager
The AMF is supplementing its policy on liquidity management tools
Asset management The AMF is supplementing its policy on liquidity management tools
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Asset ManagerWealth Manager
The AMF warns the public about fraudulent offers to invest in the energy transition
Warning Savings protection Warning The AMF warns the public about fraudulent offers to invest in the energy transition
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Asset ManagerWealth ManagerBank
AMF modifies its policy to facilitate the implementation by asset management companies of the Delegated Regulation of the SFDR
Asset management AMF modifies its policy to facilitate the implementation by asset management companies of the Delegated Regulation of the SFDR
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Asset Manager
The AMF publishes two analyses of the information provided by listed companies under Taxonomy reporting and concerning the effects of climate risk in financial statements
Sustainable Finance Periodic & ongoing disclosures Executive & other private individuals Journalists Listed companies and issuers The AMF publishes two analyses of the information provided by listed companies under Taxonomy reporting and concerning the effects of...
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Asset 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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Wealth ManagerAll Firms
Marie-Anne Barbat-Layani appointed Chair of the Autorité des Marchés Financiers
Appointment Institutional AMF activity Other professionals Executive & other private individuals Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services...
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BankAsset ManagerWealth Manager
The Autorité des marchés financiers (AMF) has requested the resumption of listing of ORPEA’s securities today
Markets Financial disclosures & corporate financing The Autorité des marchés financiers (AMF) has requested the resumption of listing of ORPEA’s securities today
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Asset ManagerBroker DealerBank
The AMF and the ACPR publish their third report on the monitoring and assessment of the climate commitments of Paris financial centre actors
Sustainable Finance Governance Financing the economy Other professionals Executive & other private individuals Fintech Market Infrastructures Professional investors Journalists Investment services providers ...
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Asset ManagerBankBroker Dealer
The AMF issues a request for candidates for its consultative commissions
Institutional AMF activity Executive & other private individuals Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers Investment management companies ...
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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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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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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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Asset ManagerWealth Manager
The AMF encourages French participants to provide feedback to ESMA’s call for evidence on the implementation of the Shareholders Rights Directive (SRD 2)
Governance Europe & international The AMF encourages French participants to provide feedback to ESMA’s call for evidence on the implementation of the Shareholders Rights Directive (SRD 2)
AI Analysis
The AMF publication urges French market participants to submit feedback to ESMA's call for evidence evaluating the implementation of the Shareholder Rights Directive II (SRD II), which aims to enhance long-term shareholder engagement, transparency in voting processes, and issuer-shareholder dialogue across the EU/EEA. This matters for compliance teams as it signals ongoing regulatory scrutiny of SRD II transposition and operational compliance, potentially leading to harmonized amendments that could require process updates in shareholder identification, voting transmission, and engagement disclosures. French firms' input can influence future EU rules, mitigating risks of non-compliance with evolving standards.
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Asset ManagerBroker DealerBank
The AMF calls on investment fund depositaries to strengthen their arrangements for the onboarding and monitoring of asset management companies
Supervision UCIT Asset management Journalists Investment management companies The AMF calls on investment fund depositaries to strengthen their arrangements for the onboarding and monitoring of asset management companies
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Asset ManagerBank
The AMF awards its 2022 prize for young researchers in economics
Markets Executive & other private individuals Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers Investment management companies Listed companies and issuers ...
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Asset ManagerBroker Dealer
The AMF updates its doctrine to facilitate the adoption of liquidity management tools
Asset management The AMF updates its doctrine to facilitate the adoption of liquidity management tools
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Asset ManagerWealth ManagerBank
The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Warning Miscellaneous assets Savings protection Warning The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
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Asset ManagerWealth ManagerBroker Dealer
AMF Chair: Proposal to appoint Marie-Anne Barbat-Layani
AMF activity AMF Chair: Proposal to appoint Marie-Anne Barbat-Layani
AI Analysis
This AMF publication announces a proposal to appoint Marie-Anne Barbat-Layani as Chair of the AMF, France's financial markets authority responsible for investor protection, market supervision, and regulatory enforcement. It matters for compliance professionals because leadership changes at key regulators like the AMF can signal shifts in enforcement priorities, supervisory focus, or policy directions affecting investment firms, asset managers, and market participants across the EU. While not imposing immediate rules, it warrants monitoring for potential impacts on ongoing consultations and governance expectations.
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Asset ManagerBroker DealerBank
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
Call for candidates: renewal of the members of the Climate and Sustainable Finance Commission
Sustainable Finance AMF activity Journalists Call for candidates: renewal of the members of the Climate and Sustainable Finance Commission
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Asset ManagerBankWealth Manager
The AMF calls for vigilance against fraudulent sites usurping its name
Warning Savings protection Warning The AMF calls for vigilance against fraudulent sites usurping its name
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BankWealth ManagerFintech
The AMF publishes a summary of its SPOT inspections on simple, transparent and standardised securitisation
Supervision Journalists Investment services providers The AMF publishes a summary of its SPOT inspections on simple, transparent and standardised securitisation
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Asset ManagerBankBroker Dealer
Sustainability requirements in the distribution of financial instruments: update on upcoming legislation and its implementation dates
MIFID Sustainable Finance Asset management Sustainability requirements in the distribution of financial instruments: update on upcoming legislation and its implementation dates
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Asset ManagerWealth ManagerBank
The AMF informs the public of the partial suspension by the CySEC of VPR Safe Financial Group Limited’s authorisation to operate in France
Investment services Savings protection Europe & international Retail investors Investment services providers The AMF informs the public of the partial suspension by the CySEC of VPR Safe Financial Group Limited’s authorisation to operate in France
AI Analysis
The AMF publication notifies the public of CySEC's August 3, 2022, decision to partially suspend VPR Safe Financial Group Limited's (operating as Alvexo) authorization to provide investment services in France, prompted by AMF findings of regulatory violations including misleading marketing, inadequate client suitability assessments, and poor tied agent oversight. This cross-border enforcement highlights escalating EU supervisory cooperation under MiFID II, serving as a warning for firms using tied agents in France. It matters for compliance as it underscores risks of AMF referrals leading to home-state suspensions, with subsequent developments including suspension revocation and full license withdrawal by September 2025.
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Broker DealerFintech
The AMF complies with the ESMA guidelines on updating stress test scenarios in accordance with Article 28 of the Money Market Fund Regulation
MMF Asset management The AMF complies with the ESMA guidelines on updating stress test scenarios in accordance with Article 28 of the Money Market Fund Regulation
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Asset Manager
End of the term of office of the AMF chairman and interim chairmanship
AMF activity Appointment Journalists End of the term of office of the AMF chairman and interim chairmanship
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BankAsset ManagerBroker Dealer
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
AMF's response to the International Sustainability Standards Board’s consultation on the exposure drafts on international sustainability disclosures
Regulatory developments Europe & international Sustainable Finance Periodic & ongoing disclosures AMF's response to the International Sustainability Standards Board’s consultation on the exposure drafts on international sustainability disclosures
AI Analysis
The Autorité des Marchés Financiers (AMF), France's financial markets regulator, issued a position paper on July 27, 2022, responding to the International Sustainability Standards Board's (ISSB) consultation on exposure drafts for international sustainability disclosure standards (IFRS S1 and S2). This matters for compliance professionals as it signals France's push for global-EU interoperability in ESG reporting, influencing how firms align ISSB "investor-focused" standards with Europe's double-materiality CSRD/ESRS framework to avoid dual reporting burdens. https://www.amf-france.org/en/news-publications/amfs-eu-positions/amf-response-issb-consultation-exposure-drafts-sustainability-disclosure-standards; https://www.amf-france.org/sites/institutionnel/files/private/2022-07/Position%20paper%20ISSB%20AMF%20-%20July%202022_0.pdf
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Asset ManagerBankAll Firms
AMF's response to the EFRAG consultation on the draft European sustainability reporting standards
Regulatory developments Europe & international Sustainable Finance Periodic & ongoing disclosures AMF's response to the EFRAG consultation on the draft European sustainability reporting standards
AI Analysis
The AMF's position paper responds to EFRAG's 2022 public consultation on the first set of draft European Sustainability Reporting Standards (ESRS) under the CSRD, welcoming their ambition on ESG topics and double materiality while urging proportionality, international interoperability, materiality focus, and alignment with EU laws like SFDR. This matters for compliance professionals as it shapes final ESRS, influencing mandatory sustainability disclosures for EU firms and financial market participants from 2024 onward, with potential simplifications affecting reporting burdens. https://www.amf-france.org/en/news-publications/news/amfs-response-efrag-consultation-draft-european-sustainability-reporting-standards
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Asset ManagerBankInsurance
The AMF Enforcement Committee fines a depositary for breaches of its professional obligations
Sanctions & settlements Compliance Journalists Investment services providers The AMF Enforcement Committee fines a depositary for breaches of its professional obligations
AI Analysis
The AMF Enforcement Committee fined RBC Investor Services Bank France SA (RBC ISBF) €500,000 plus a warning on 20 July 2022 (published 08 January 2026) for breaches as a UCITS and AIF depositary, including 25 confirmed failures in tiered intervention procedures for investment ratio overruns and deficient monitoring of 14 questionable cash flows over 45 months. This decision underscores AMF's strict enforcement of depositary duties under French regulations implementing UCITS/AIFMD, emphasizing robust controls for ratio compliance, cash flow verification, and documentation. It matters for compliance teams as it provides precedent on what constitutes "irregular and deficient" oversight, potentially increasing scrutiny and fines for similar lapses in depositary functions.
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Asset ManagerBankWealth Manager
The AMF and the ARPP are stepping up their cooperation to promote clear and responsible advertising of financial products
Savings protection Cooperation Crypto-assets Fintech Journalists The AMF and the ARPP are stepping up their cooperation to promote clear and responsible advertising of financial products
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Topics:
BankFintechCrypto Exchange
The AMF reviews the key issues raised by the Veolia-Suez public offer
Bids Financial disclosures & corporate financing The AMF reviews the key issues raised by the Veolia-Suez public offer
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BankAsset ManagerBroker Dealer
The AMF Enforcement Committee fines one natural person and five legal entities, including an investment management company, for failing to comply with several reporting obligations in relation to a concerted action carried out in the context of a part...
Sanctions & settlements Journalists The AMF Enforcement Committee fines one natural person and five legal entities, including a management company, for failing to comply with several reporting obligations in relation to a concerted action carried out in the context of a takeover bid and, in the case of the...
AI Analysis
The AMF Enforcement Committee imposed fines on one natural person and five legal entities, including an investment management company, for failing to comply with multiple reporting obligations related to a concerted action during a partial takeover bid.[User Query]. This enforcement action underscores the AMF's strict enforcement of transparency rules in takeover scenarios, serving as a critical reminder for market participants to adhere to disclosure timelines to avoid significant financial penalties and reputational damage.
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Asset ManagerAll Firms
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
Publication of the SPOT inspection campaign summary on market abuse prevention systems in asset management companies
Supervision MAR Journalists Investment services providers Investment management companies Publication of the SPOT inspection campaign summary on market abuse prevention systems in asset management companies
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Asset Manager
The AMF publishes its 2022 Markets and Risk Outlook
Risk and Trend Mapping Markets Europe & international Asset management Executive & other private individuals Journalists Investment services providers Investment management companies Listed companies and issuers The...
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Asset ManagerBroker Dealer
The AMF publishes a summary of its SPOT inspections on the theme of best execution in asset management companies
Supervision MIFID Journalists Investment services providers Investment management companies The AMF publishes a summary of its SPOT inspections on the theme of best execution in asset management companies
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Asset Manager
Grégoire Vuarlot is appointed coordinator of the ACPR and AMF Joint Unit starting 1st July 2022
AMF activity Appointment Journalists Grégoire Vuarlot is appointed coordinator of the ACPR and AMF Joint Unit starting 1st July 2022
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Topics:
BankWealth ManagerAsset Manager
The AMF continues its data strategy with the release of short selling data to the public
Innovation AMF activity Journalists Investment services providers Investment management companies Listed companies and issuers The AMF continues its data strategy with the release of short selling data to the public
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Asset 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:
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
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Topics:
Asset ManagerWealth ManagerFintech
Appointments to the Legal Affairs Directorate and Enforcement Assistance Directorate of the Autorité des Marchés Financiers
Institutional AMF activity Appointment Journalists Appointments to the Legal Affairs Directorate and Enforcement Assistance Directorate of the Autorité des Marchés Financiers
AI Analysis
This AMF publication announces internal appointments to its **Legal Affairs Directorate** and **Enforcement Assistance Directorate**, signaling potential enhancements in legal oversight and enforcement capabilities within France's financial markets regulator. Compliance professionals should note this as it may indicate a renewed focus on rigorous enforcement of market rules, though it imposes no direct regulatory changes on firms.
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Asset ManagerBroker DealerBank
The AMF ensures compliance with major holding reporting obligations
Financial disclosures & corporate financing The AMF ensures compliance with major holding reporting obligations
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Asset ManagerBroker DealerBank
The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment publishes its 2021 annual report
Annual report Savings protection Journalists Investment services providers Investment management companies Listed companies and issuers The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment publishes its 2021 annual report
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Asset ManagerBankInsurance
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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Asset ManagerBroker Dealer
The AMF reiterates its call for a European regulation of ESG data, ratings, and related services
Europe & international Sustainable Finance Asset management The AMF reiterates its call for a European regulation of ESG data, ratings, and related services
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Asset ManagerWealth ManagerBank
The AMF Enforcement Committee fines a financial investment advisor and its manager for breaches of their professional obligations
Sanctions & settlements Other professionals Journalists The AMF Enforcement Committee fines a financial investment advisor and its manager for breaches of their professional obligations
AI Analysis
The AMF Enforcement Committee fined financial investment advisor Séquence 13 and its director Jean-Louis Lehmann €15,000 each and imposed a five-year ban from acting as financial investment advisors in its decision of 19 December 2023, due to failures in client disclosures, justifying remuneration, operating within regulatory limits, and managing conflicts of interest. This enforcement action underscores the AMF's strict enforcement of professional obligations for investment advisors, with personal liability for managers, serving as a deterrent against conduct breaches that harm client interests. Compliance teams should note this as part of a pattern of similar sanctions, emphasizing robust governance and documentation.
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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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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
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Topics:
Asset ManagerWealth Manager
With the publication of its 2021 annual report, the AMF reviews its five-year strategic plan, #Supervision2022
Annual report Institutional Other professionals Executive & other private individuals Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers ...
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Asset ManagerBroker DealerFintech
War in Ukraine: the AMF alerts asset management companies
Asset management War in Ukraine: the AMF alerts asset management companies
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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 AMF launches a consultation on the integration of sustainability requirements into its General Regulation
Asset management Regulatory developments Other professionals Journalists Investment services providers Investment management companies The AMF launches a consultation on the integration of sustainability requirements into its General Regulation
AI Analysis
The AMF has launched a public consultation to integrate sustainability requirements into its General Regulation, aiming to embed ESG considerations directly into core operational rules for regulated entities. This matters for compliance professionals as it signals a shift toward mandatory sustainability integration across asset management and investment services, aligning with EU frameworks like SFDR and CSRD, and potentially increasing reporting and risk management obligations.
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Asset Manager
Appointments in the Investigations Directorate and the Asset Management Directorate
Appointment AMF activity Other professionals Executive & other private individuals Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers Investment management...
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Asset ManagerWealth ManagerBank
The ACPR and AMF are urging professionals to improve their practices in online marketing of savings products and financial instruments
Marketing Investing wisely Retail investors Journalists The ACPR and AMF are urging professionals to improve their practices in online marketing of savings products and financial instruments
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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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Asset ManagerWealth ManagerBank
Review of the central clearing framework in the EU: the AMF publishes a position paper
Market infrastructures Post-trading infrastructures Review of the central clearing framework in the EU: the AMF publishes a position paper
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BankBroker DealerAsset Manager
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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Asset ManagerWealth Manager
The AMF updates its policy on portfolio asset management company control systems and programmes of operations
Asset management The AMF updates its policy on portfolio asset management company control systems and programmes of operations
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Asset ManagerWealth Manager
The AMF announces the appointment of Jessica Reyes as Director of the Asset Management Regulation Division
Appointment Journalists Investment management companies The AMF announces the appointment of Jessica Reyes as Director of the Asset Management Regulation Division
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Asset ManagerWealth Manager
The AMF and TRACFIN sign a new cooperation protocol
Anti-money Laundering Asset management The AMF and TRACFIN sign a new cooperation protocol
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Asset ManagerBankWealth Manager
The AMF warns the public against fraudulent offers to buy listed shares at preferential prices
Warning Savings protection Warning The AMF warns the public against fraudulent offers to buy listed shares at preferential prices
Sectors:
Topics:
Broker DealerWealth ManagerBank
The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Warning Savings protection Atypical products Warning The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
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Asset ManagerWealth ManagerBank
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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Broker DealerWealth ManagerAsset Manager
The AMF publishes a stock-take analysis of the market for short-term debt instruments in Europe
MMF The AMF publishes a stock-take analysis of the market for short-term debt instruments in Europe
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Asset ManagerBankBroker Dealer
The AMF announces the appointment of Viet-Linh Nguyen as Head of the Strategy and Sustainable Finance Unit as well as Secretary of the Executive Committee
Appointment AMF activity Other professionals Executive & other private individuals Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers ...
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Asset ManagerBankFintech
Consequences of the Ukrainian crisis: the AMF alerts asset management companies
Asset management Consequences of the Ukrainian crisis: the AMF alerts asset management companies
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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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Asset Manager
French and Dutch market authorities publish a joint analysis of the impact of the short selling ban at the onset of the Covid-19 crisis
Short selling Equity Financial Crisis Executive & other private individuals Market Infrastructures Post-trade Infrastructures Professional investors Journalists French and Dutch market authorities publish a joint analysis of the...
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Asset ManagerBroker DealerWealth Manager
The AMF announces the creation of a working group on the end-of-life of private equity funds
Asset management Savings protection Journalists Investment management companies The AMF announces the creation of a working group on the end-of-life of private equity funds
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Asset ManagerWealth Manager
The AMF to call for an amendment of the law on obstructing investigations and inspections
Sanctions & settlements Journalists The AMF to call for an amendment of the law on obstructing investigations and inspections
AI Analysis
The AMF announced its intention to propose legislative amendments to the French Monetary and Financial Code following a January 28, 2022 Constitutional Council decision that found dual prosecution for obstructing AMF investigations and inspections unconstitutional. The amendment aims to eliminate the possibility of simultaneous administrative and criminal penalties for the same obstruction conduct, while preserving the AMF's enforcement authority.
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Asset ManagerBroker DealerAll Firms
Focus on inDECx: the new tool to be used when interacting with the AMF during an inspection or investigation
AMF activity Focus on inDECx: the new tool to be used when interacting with the AMF during an inspection or investigation
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Topics:
Asset ManagerBroker DealerCrypto Exchange
The AMF invites providers, users and rated entities to respond to ESMA's Call for evidence on the ESG rating market in Europe
Europe & international Sustainable Finance Asset management The AMF invites providers, users and rated entities to respond to ESMA's Call for evidence on the ESG rating market in Europe
AI Analysis
The AMF is urging French stakeholders—ESG rating providers, users, and rated entities—to respond to ESMA's 2022 Call for Evidence on the EU ESG rating market to inform European Commission efforts on improving transparency and reliability. This matters as it contributes to the foundational data driving the ESG Ratings Regulation (EU 2024/3005), which imposes authorization, disclosure, and conflict-of-interest rules on providers, affecting sustainable finance compliance across the EU. With the regulation applying from 2 July 2026, early engagement helps shape final rules amid ongoing ESMA consultations on technical standards.
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Asset ManagerBankInsurance
Closing of the 2021 financial statements: the AMF publishes its recommendations and the results of its recent work examining financial statements
Financial disclosures & corporate financing Covid-19 Closing of the 2021 financial statements: the AMF publishes its recommendations and the results of its recent work examining financial statements
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Asset ManagerBankBroker Dealer
The AMF proposes measures to promote a wider adoption of liquidity management tools by fund managers
Asset management Prospectus Journalists Investment services providers Investment management companies The AMF proposes measures to promote a wider adoption of liquidity management tools by fund managers
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Asset Manager
Benchmarks: the AMF will apply ESMA Guidelines
Market infrastructures Benchmark Benchmarks: the AMF will apply ESMA Guidelines
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Asset ManagerBankBroker Dealer
The AMF proposes targeted measures to make financial markets more attractive for companies
Financial disclosures & corporate financing Executive & other private individuals Journalists Listed companies and issuers Takeover listed companies The AMF proposes targeted measures to make financial markets more attractive for companies
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BankBroker DealerAsset Manager
The AMF updates its policy on the marketing communications of collective investments
Asset management Collective investments The AMF updates its policy on the marketing communications of collective investments
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Topics:
Asset ManagerWealth Manager
Update of the AMF's policy on funds that use Total Return Swaps and communicate about their consideration of non-financial criteria
Asset management Update of the AMF's policy on funds that use Total Return Swaps and communicate about their consideration of non-financial criteria
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Topics:
Asset Manager
Central Bank publishes three Behind the Data papers examining the international activities of the Irish financial sector
Recent increase in cross-border financial assets is largely due to migration of assets from UK banks to subsidiaries in Ireland, to continue to serve EU clients after Brexit. Paper examining the strength of the connectedness of Irish insurance sector and investment funds finds insurers primarily hold shares in equity, bond, and mixed funds. The Irish non-bank financial intermediation sector – as measured using a Financial Stability Board framework - is the fifth largest in the world. The Cent...
AI Analysis
The Central Bank of Ireland (CBI) published three "Behind the Data" papers on 20 January 2022 analyzing the international activities of Ireland's banking, insurance, investment funds, and non-bank financial intermediation (NBFI) sectors, highlighting post-Brexit asset migrations, insurer exposures via funds, and Ireland's fifth-largest global NBFI sector per FSB metrics. This matters for compliance professionals as it signals heightened CBI scrutiny on cross-border exposures, interconnectedness, and data granularity needs, potentially informing future supervisory expectations, macro-prudential policies, and reporting enhancements without imposing immediate rules.
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Topics:
BankAsset ManagerInsurance
More than one million new retail investors have entered equity markets in France over the last 3 years, according to the AMF's dashboard
Long term investment Retail investors Journalists More than one million new retail investors have entered equity markets in France over the last 3 years, according to the AMF's dashboard
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Topics:
Asset ManagerBroker DealerWealth Manager
The AMF informs about the liquidation of the portfolio asset management company « Nestadio Capital »
Asset management The AMF informs about the liquidation of the portfolio asset management company « Nestadio Capital »
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Asset Manager
Stimulating the diversification of long-term savings: the AMF proposes an educational approach to equity investment
Long term investment Shares Stimulating the diversification of long-term savings: the AMF proposes an educational approach to equity investment
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Topics:
Asset ManagerWealth ManagerBank
The AMF publishes its priorities for 2022, the last year of its five-year strategy
Strategy Supervision Other professionals Executive & other private individuals Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers ...
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Asset ManagerBroker DealerFintech
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 ACPR and AMF publish their report on climate-related commitments of French financial institutions
Sustainable Finance Journalists Investment services providers Investment management companies Listed companies and issuers The ACPR and AMF publish their report on climate-related commitments of French financial institutions
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Asset ManagerBankWealth Manager
Settlement discipline: supervisory approach on the implementation of the CSDR provisions
CSDR Supervision Settlement discipline: supervisory approach on the implementation of the CSDR provisions
Sectors:
Topics:
BankBroker DealerAsset Manager
The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Warning Savings protection Miscellaneous assets Warning The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
Money laundering and terrorist financing: the AMF applies EBA guidelines on risk factors
Asset management Anti-money Laundering Money laundering and terrorist financing: the AMF applies EBA guidelines on risk factors
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF warns the public against the offerings of UGE Group
Warning Savings protection Atypical products Warning The AMF warns the public against the offerings of UGE Group
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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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Topics:
Asset ManagerBankWealth Manager
Market Data: the AMF applies ESMA Guidelines
MIFID Market Data: the AMF applies ESMA Guidelines
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Asset ManagerBroker DealerBank
Responsible finance: the AMF draws an overview of communications practices abroad
Sustainable Finance Savings protection Collective investments Responsible finance: the AMF draws an overview of communications practices abroad
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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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Asset ManagerWealth ManagerBank
The AMF updates its investigation and inspection charters
Supervision The AMF updates its investigation and inspection charters
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Topics:
BankAsset ManagerBroker Dealer
Marketing communications under the Regulation on cross-border distribution of funds : the AMF complies with ESMA’s Guidelines
Asset management Marketing communications under the Regulation on cross-border distribution of funds : the AMF complies with ESMA’s Guidelines
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Asset ManagerWealth Manager
The AMF and the European Central Bank (ECB) sign a supervisory cooperation arrangement
Europe & international Cooperation The AMF and the European Central Bank (ECB) sign a supervisory cooperation arrangement
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Topics:
BankAsset ManagerWealth Manager
The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Warning Savings protection Forex and binary options Crypto-assets Warning The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so
Sectors:
Topics:
BankFintechCrypto Exchange
The AMF is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Savings protection Miscellaneous assets Warning The AMF is warning the public against several companies proposing atypical investments without being authorized to do so
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Taxonomy Article 8: The AMF informs issuers about the phased application of reporting requirements
Sustainable Finance Annual report Disclosure Obligations Taxonomy Article 8: The AMF informs issuers about the phased application of reporting requirements
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Asset ManagerBankAll Firms
The AMF updates its policy on the pre-approval of changes to UCITS and AIFs during their lifetime
Asset management The AMF updates its policy on the pre-approval of changes to UCITS and AIFs during their lifetime
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Asset Manager
Transposition of the directive on the cross-border distribution of collective investment undertakings: the AMF amends its General Regulation and its policy
Asset management Transposition of the directive on the cross-border distribution of collective investment undertakings: the AMF amends its General Regulation and its policy
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Topics:
Asset ManagerWealth Manager
The AMF complies with the ESMA guidelines on updating stress test scenarios in accordance with Article 28 of the Money Market Fund Regulation
Asset management MMF The AMF complies with the ESMA guidelines on updating stress test scenarios in accordance with Article 28 of the Money Market Fund Regulation
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Asset Manager
The AMF publishes a study about potential explanatory variables for the record outflows that French MMFs faced in March 2020
MMF The AMF publishes a study about potential explanatory variables for the record outflows that French MMFs faced in March 2020
Sectors:
Topics:
Asset ManagerBankBroker Dealer
The AMF has postponed the effective date of the authorisation withdrawal of the asset management company Nestadio Capital
Asset management The AMF has postponed the effective date of the authorisation withdrawal of the asset management company Nestadio Capital
AI Analysis
The Autorité des Marchés Financiers (AMF) postponed the effective date of the authorization withdrawal for Nestadio Capital, a portfolio asset management company, to allow time for fund transfers or liquidation following repeated non-compliance with authorization terms. This matters for compliance professionals as it illustrates AMF's enforcement approach to regulatory breaches in asset management, emphasizing orderly wind-downs to protect investors while signaling risks of judicial intervention if issues persist. The case culminated in judicial liquidation by 2022, highlighting long-term consequences for non-compliant firms.
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Asset Manager
The AMF emphasises the importance of independence in financial analysis
Financial analysis The AMF emphasises the importance of independence in financial analysis
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Asset ManagerBroker DealerBank
The AMF urges retail investors to exercise extreme caution towards proposals to invest in rooms in care homes
Warning Savings protection Financial Scams Warning The AMF urges retail investors to exercise extreme caution towards proposals to invest in rooms in care homes
Sectors:
Topics:
Asset ManagerWealth ManagerAll Firms
The AMF 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
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Topics:
Asset ManagerWealth ManagerBank
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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Asset ManagerWealth ManagerBank
Miscellaneous assets: the AMF adds to its black list and, for the first time, has access blocked to unauthorised websites
Warning Savings protection Miscellaneous assets Warning Miscellaneous assets: the AMF adds to its black list and, for the first time, has access blocked to unauthorised websites
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Topics:
Asset ManagerWealth ManagerBank
Application Form – Third country auditors and audit entities
No description available.
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Topics:
BankWealth Manager
The AMF urges investors to exercise the greatest vigilance towards proposals to invest in containers
Warning Savings protection Warning The AMF urges investors to exercise the greatest vigilance towards proposals to invest in containers
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Topics:
Asset ManagerWealth ManagerBroker Dealer
The AMF urges retail investors to exercise the greatest vigilance towards certain activities proposed by Laurent Chenot
Warning Savings protection The AMF urges retail investors to exercise the greatest vigilance towards certain activities proposed by Laurent Chenot
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Topics:
Asset ManagerWealth ManagerBank
The AMF warns the public against Vuelex
Warning Savings protection The AMF warns the public against Vuelex
Sectors:
Topics:
BankWealth ManagerFintech
The AMF warns the public against ELG Capital Partners and its website www.elgcapitalpartners.fr
Warning Savings protection The AMF warns the public against ELG Capital Partners and its website www.elgcapitalpartners.fr
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
The AMF is warning the public against several companies proposing atypical investments or offering binary options trading without being authorized to do so
Warning Savings protection The AMF is warning the public against several companies proposing atypical investments or offering binary options trading without being authorized to do so
Sectors:
Topics:
Broker DealerFintechAll Firms
List of notifications received
No description available.
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Topics:
BankWealth ManagerAsset Manager
The AMF announces the referral of two investigation files on “boiler room marketing” to the National Financial Prosecutor’s Office
Warning Savings protection The AMF announces the referral of two investigation files on “boiler room marketing” to the National Financial Prosecutor’s Office
Sectors:
Topics:
BankWealth ManagerBroker Dealer
The AMF is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Savings protection Atypical products Warning The AMF is warning the public against several companies proposing atypical investments without being authorized to do so
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF and the ACPR warn the public against the activities of several entities proposing in France via their websites, without being authorized to do so, forex investments and investment services in crypto-assets derivatives
Warning Savings protection Crypto-assets Derivatives or structured products The AMF and the ACPR warn the public against the activities of several entities proposing in France via their websites, without being authorized to do so, forex investments and investment services in...
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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
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF and the ACPR warn the public against the activities of several entities proposing in France via their websites, without being authorized to do so, forex investments and investment services in crypto-assets derivatives
Warning Savings protection Forex and binary options The AMF and the ACPR warn the public against the activities of several entities proposing in France via their websites, without being authorized to do so, forex investments and investment services in crypto-assets derivatives
Sectors:
Topics:
BankBroker DealerCrypto Exchange
The AMF is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Savings protection The AMF is warning the public against several companies proposing atypical investments without being authorized to do so
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
The AMF and the ACPR warn the public of the risks of scams in the context of the coronavirus epidemic
Warning Covid-19 Savings protection Financial Scams The AMF and the ACPR warn the public of the risks of scams in the context of the coronavirus epidemic
Sectors:
Topics:
BankWealth ManagerAll Firms
The Autorité des Marchés Financiers is calling on retail investors to exercise utmost vigilance with regard to whisky investment offers
Warning Savings protection The Autorité des Marchés Financiers is calling on retail investors to exercise utmost vigilance with regard to whisky investment offers
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The Autorité des Marchés Financiers (AMF) is warning the public against the entity and the website Magaffairs
Warning Savings protection The Autorité des Marchés Financiers (AMF) is warning the public against the entity and the website Magaffairs
Sectors:
Topics:
BankWealth Manager
The Autorité des Marchés Financiers and the Autorité de Contrôle Prudentiel et de Résolution warn the public against the activities of several websites and entities proposing forex investments or proposing online investment services in France for deriv...
Warning Savings protection Crypto-assets Derivatives or structured products Forex and binary options Warning The Autorité des Marchés Financiers and the Autorité de Contrôle Prudentiel et de Résolution warn the public against the activities of several websites...
Sectors:
Topics:
BankBroker DealerWealth Manager
The Autorité des Marchés Financiers (AMF) is warning the public against several companies proposing atypical investments or offering binary options trading without being authorized to do so
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) is warning the public against several companies proposing atypical investments or offering binary options trading without being authorized to do so
Sectors:
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Broker DealerFintechAll Firms
The Autorité des Marchés Financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Warning Savings protection Atypical products The Autorité des Marchés Financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
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Asset ManagerWealth ManagerFintech
The Autorité des marchés financiers calls on retail investors to exercise the greatest vigilance in usurpation cases
Warning Savings protection The Autorité des marchés financiers calls on retail investors to exercise the greatest vigilance in usurpation cases
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BankWealth ManagerFintech
The Autorité des marchés financiers issues a public warning about the website www.sogevis.com
Warning Savings protection The Autorité des marchés financiers issues a public warning about the website www.sogevis.com
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BankWealth Manager
The Autorité des marchés financiers issues a public warning about the website www.holakredit.com
Warning Warning Savings protection The Autorité des marchés financiers issues a public warning about the website www.holakredit.com
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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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Asset ManagerBroker DealerWealth Manager
AMF warns the public about an aggressive marketing technique called "boiler room"
Warning Savings protection AMF warns the public about an aggressive marketing technique called "boiler room"
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Asset ManagerBroker DealerWealth Manager
The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Savings protection Atypical products Warning The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
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Asset ManagerWealth ManagerFintech
The Autorité des marchés financiers (AMF) warns the public against the company and the website Vanilla Golden Trade
Warning Savings protection The Autorité des marchés financiers (AMF) warns the public against the company and the website Vanilla Golden Trade
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BankWealth ManagerFintech
The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorised websites offering binary options trading
Warning Savings protection Warning The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorised websites offering binary options trading
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Broker DealerFintechAll Firms
The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
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Broker DealerWealth ManagerFintech
The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de resolution (ACPR) warn the public about a number of unauthorised online investment
Warning Savings protection Crypto-assets Warning The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de resolution (ACPR) warn the public about a number of unauthorised online investment services in France for derivatives whose underlyings include crypto...
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BankFintechCrypto Exchange
The Autorité des Marchés Financiers warns the public about the websites www.lascpi.fr and www.scpi-gouv.fr improperly using its name and logo
Warning Savings protection The Autorité des Marchés Financiers warns the public about the websites www.lascpi.fr and www.scpi-gouv.fr improperly using its name and logo
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Asset ManagerWealth ManagerBank
The Autorité des marchés financiers (AMF) warns the public against the company KUVERA LLC/KUVERA France
Warning Savings protection Warning The Autorité des marchés financiers (AMF) warns the public against the company KUVERA LLC/KUVERA France
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Asset ManagerWealth ManagerBank
The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Savings protection Atypical products Warning The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
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Asset ManagerWealth ManagerFintech
The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de resolution (ACPR) warn the public about a number of unauthorised online investment
Warning Savings protection Crypto-assets Warning The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de resolution (ACPR) warn the public about a number of unauthorised online investment services in France for derivatives whose underlyings include crypto...
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BankCrypto ExchangeFintech
The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
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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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Asset ManagerWealth ManagerBank
The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Savings protection Atypical products Warning The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
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Asset ManagerWealth ManagerFintech
The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de resolution (ACPR) warn the public about a number of unauthorised online investment
Warning Savings protection Crypto-assets Warning The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de resolution (ACPR) warn the public about a number of unauthorised online investment services in France for derivatives whose underlyings include crypto...
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BankFintechCrypto Exchange
The Autorité des marchés financiers (AMF) is warning the public against the entity MAG Asset and the website www.magasset.com
Warning Savings protection The Autorité des marchés financiers (AMF) is warning the public against the entity MAG Asset and the website www.magasset.com
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Asset ManagerWealth ManagerCrypto Exchange
The Autorité des marchés financiers warns the public about case of fraudulent use of the names and contact details of the SICAV Objectif Finance Investissements (OFI)
Warning Savings protection The Autorité des marchés financiers warns the public about case of fraudulent use of the names and contact details of the SICAV Objectif Finance Investissements (OFI)
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Asset ManagerWealth Manager
The Autorité des marchés financiers (AMF) is warning the public against the activities of ECI Luxembourg and the website www.eci-luxembourg proposing investment services without being authorized to do so
Warning Savings protection The Autorité des marchés financiers (AMF) is warning the public against the activities of ECI Luxembourg and the website www.eci-luxembourg proposing investment services without being authorized to do so
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BankWealth ManagerFintech
The AMF issues a public warning about the website https://capitalncl.com/
Warning Savings protection The AMF issues a public warning about the website https://capitalncl.com/
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BankWealth Manager
The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de resolution (ACPR) warn the public about a number of unauthorised online investment
Warning Savings protection Crypto-assets Warning The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de resolution (ACPR) warn the public about a number of unauthorised online investment services in France for derivatives whose underlyings include crypto...
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BankCrypto ExchangeFintech
The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Savings protection Atypical products Warning The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
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Asset ManagerWealth ManagerFintech
The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
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Asset ManagerBroker DealerWealth Manager
The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de résolution (ACPR) are warning the public against the activities of Patrimoine Gestion Management and PGM Patrimoine
Warning Savings protection Warning The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de résolution (ACPR) are warning the public against the activities of Patrimoine Gestion Management and PGM Patrimoine
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Asset ManagerWealth ManagerBank
The Autorité des marchés financiers (AMF) is warning the public against the activity of AGRONOMIX and its French subsidiary AGRONOMIX FRANCE
Warning Savings protection The Autorité des marchés financiers (AMF) is warning the public against the activity of AGRONOMIX and its French subsidiary AGRONOMIX FRANCE
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Asset ManagerWealth ManagerBank
The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de résolution (ACPR) would like to warn the public
Warning Savings protection The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de résolution (ACPR) would like to warn the public about a number of unauthorised online investment services in France for derivatives whose underlyings include crypto assets.
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BankFintechCrypto Exchange
The Autorité des marchés financiers warns the public about cases of the fraudulent use of its name and contact details by a certain Stéphane Delaplace
Warning Savings protection Warning The Autorité des marchés financiers warns the public about cases of the fraudulent use of its name and contact details by a certain Stéphane Delaplace
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BankWealth ManagerFintech
The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
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Broker DealerWealth ManagerFintech
The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Savings protection Atypical products Warning The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
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Asset ManagerWealth ManagerFintech
AMF warns the public about aggressive "boiler room" direct marketing
Warning Savings protection Warning AMF warns the public about aggressive "boiler room" direct marketing
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Asset ManagerWealth ManagerBank
The Autorité des marchés financiers (AMF) is warning the public against the activities of the website https://epargne-eco.fr/
Warning Savings protection The Autorité des marchés financiers (AMF) is warning the public against the activities of the website https://epargne-eco.fr/
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BankWealth ManagerFintech
The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Savings protection Atypical products Warning The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
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Asset ManagerWealth ManagerFintech
The Autorité des marchés financiers (AMF) is publishing a list on its website of unauthorized companies proposing atypical investments without being authorised to do so
Warning Savings protection Crypto-assets Atypical products Warning The Autorité des marchés financiers (AMF) is publishing a list on its website of unauthorized companies proposing atypical investments without being authorised to do so
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Crypto ExchangeFintech
The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de résolution (ACPR) are warning the public against the activities of bil patrimoine and the website
Warning Savings protection Warning The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de résolution (ACPR) are warning the public against the activities of bil patrimoine and the website www.bil-gestionpatrimoine.com proposing investment services and savings...
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BankWealth Manager
The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering diamond investments
Warning Savings protection Warning The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering diamond investments
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Asset ManagerWealth ManagerBroker Dealer
The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
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BankBroker DealerWealth Manager
The Autorité des marchés financiers (AMF) warns the public against the company International Markets Live LTD (IMarketsLive)
Warning Savings protection The Autorité des marchés financiers (AMF) warns the public against the company International Markets Live LTD (IMarketsLive)
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Broker DealerWealth ManagerFintech
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/
Sectors:
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BankWealth ManagerFintech
The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
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BankBroker DealerWealth Manager
The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering diamond investments
Warning Savings protection Miscellaneous assets Warning The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering diamond investments
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Asset ManagerWealth ManagerBroker Dealer
The Autorité des marchés financiers (AMF) warns the public against the activities of "Naftoil" and its director Mr Raphael Comté proposing investments services without being authorized to do so
Warning Savings protection The Autorité des marchés financiers (AMF) warns the public against the activities of "Naftoil" and its director Mr Raphael Comté proposing investments services without being authorized to do so
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Asset ManagerWealth Manager
The Autorité des marchés financiers (AMF) is publishing a list on its website of unauthorized diamond investments platforms
Warning Savings protection The Autorité des marchés financiers (AMF) is publishing a list on its website of unauthorized diamond investments platforms
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Asset ManagerWealth ManagerBroker Dealer
The Autorité des marchés financiers (AMF) warns the public against the activities of www.chs-capital.com engaging in unauthorized investment services
Warning Savings protection The Autorité des marchés financiers (AMF) warns the public against the activities of www.chs-capital.com engaging in unauthorized investment services
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Asset ManagerWealth ManagerBroker Dealer
The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering binary options
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering binary options
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Broker DealerFintechAll Firms
The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
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BankBroker DealerWealth Manager
The Autorité des marchés financiers warns once again the public about proposals to invest in diamonds
Warning Savings protection The Autorité des marchés financiers warns once again the public about proposals to invest in diamonds
Sectors:
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Asset ManagerWealth ManagerBank
The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
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Broker DealerWealth ManagerFintech
The Autorité des marchés financiers (AMF) issues a public warning issues a public warning against the activity of unauthorized websites offering binary options trading
Warning Savings protection Warning The Autorité des marchés financiers (AMF) issues a public warning issues a public warning against the activity of unauthorized websites offering binary options trading
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Broker DealerFintechAll Firms
The Autorité des marchés financiers (AMF) advises the clients of the website eu.bancdebinary.com to contact Banc de Binary Ltd, the owner of these websites, as soon as possible
Warning Savings protection The Autorité des marchés financiers (AMF) advises the clients of the website eu.bancdebinary.com to contact Banc de Binary Ltd, the owner of these websites, as soon as possible
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Broker DealerWealth Manager
The Autorité des marchés financiers warns the public about the product "VIAGEFI 6 LIMITED"
Warning Savings protection The Autorité des marchés financiers warns the public about the product "VIAGEFI 6 LIMITED"
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BankWealth Manager
The Autorité des marchés financiers warns the public about proposals to invest in diamonds
Warning Savings protection The Autorité des marchés financiers warns the public about proposals to invest in diamonds
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The Autorité des Marchés Financiers (AMF) advises the clients of the websites
Warning Savings protection The Autorité des Marchés Financiers (AMF) advises the clients of the websites www.ytftradeltd.com, www.investing-area.com, www.buzztrade.com, www.binaryroyal.com and www.cfdroyal.com to contact AirFinance Pro Ltd, the owner of these websites, as soon as possible
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Broker DealerWealth ManagerFintech
The Autorité des marchés financiers 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'
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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:
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BankBroker DealerWealth Manager
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:
Topics:
Broker DealerWealth ManagerFintech
The Autorité de Contrôle Prudentiel et de Résolution and the Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité de Contrôle Prudentiel et de Résolution and the Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Sectors:
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BankBroker DealerWealth Manager
The Autorité des Marchés Financiers (AMF) issues a general public warning about sites touting the benefits of an algorithm and linking to a trading platform, and a specific warning about Preditrend
Warning Savings protection The Autorité des Marchés Financiers (AMF) issues a general public warning about sites touting the benefits of an algorithm and linking to a trading platform, and a specific warning about Preditrend
Sectors:
Topics:
Broker DealerWealth ManagerFintech
AMF warns investors about MTL Index
Warning Savings protection AMF warns investors about MTL Index
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The Autorité de Contrôle Prudentiel et de Résolution and the Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité de Contrôle Prudentiel et de Résolution and the Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Sectors:
Topics:
BankBroker DealerWealth Manager
The Autorité 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
AMF urges caution when investing in SCPI shares under the Malraux and Real Estate Loss regimes
Warning Savings protection AMF urges caution when investing in SCPI shares under the Malraux and Real Estate Loss regimes
Sectors:
Topics:
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
Sectors:
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Broker Dealer
The Autorité des Marchés Financiers (AMF) warns about persons using its name and logo and impersonating the Ombudsman and her deputy
Warning Savings protection The Autorité des Marchés Financiers (AMF) warns about persons using its name and logo and impersonating the Ombudsman and her deputy
Sectors:
Topics:
BankWealth ManagerAll Firms
The Autorité de Contrôle Prudentiel et de Résolution and the Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité de Contrôle Prudentiel et de Résolution and the Autorité des Marchés Financiers warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Sectors:
Topics:
BankBroker DealerWealth Manager
The Autorité des Marchés Financiers (AMF) issues a public warning against the activities of 14 unauthorised websites and operators
Warning Savings protection The Autorité des Marchés Financiers (AMF) issues a public warning against the activities of 14 unauthorised websites and operators
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Sectors:
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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
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
Sectors:
Topics:
BankBroker DealerWealth Manager
The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading
Sectors:
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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
Sectors:
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BankWealth Manager
The Autorité des Marchés Financiers (AMF) warns the public against the company GET EASY
Warning Savings protection The Autorité des Marchés Financiers (AMF) warns the public against the company GET EASY
Sectors:
Topics:
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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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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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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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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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) 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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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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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 and the Autorité de Contrôle Prudentiel et de Résolution warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so.
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers and the Autorité de Contrôle Prudentiel et de Résolution warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so.
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BankBroker DealerWealth Manager
The Autorité des Marchés Financiers warns the public against pyramid scheme investment offers
Warning Savings protection The Autorité des Marchés Financiers warns the public against pyramid scheme investment offers
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Asset ManagerWealth ManagerBank
The Autorité des Marchés Financiers warns the public against the company PRIVATE CAPITAL
Warning Savings protection The Autorité des Marchés Financiers warns the public against the company PRIVATE CAPITAL
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BankWealth Manager
The Autorité des Marchés Financiers and the Autorité de Contrôle Prudentiel et de Résolution warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
Warning Savings protection The Autorité des Marchés Financiers and the Autorité de Contrôle Prudentiel et de Résolution warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so
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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
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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 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
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