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
Wealth & Private Banking
Private banking, wealth management, and family office regulations.
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
Councils,The third meeting of the Expert Panel on the Revision of the Corporate Governance Code (2025-2026)
No description available.
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BankWealth Manager
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
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
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
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
Update to Discount Window Facility pricing – Market Notice 27 March 2026
The Bank is today announcing a simplification and reduction in the Discount Window Facility (DWF) pricing, as part of its previously announced review of the DWF.
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BankWealth ManagerAsset Manager
ASIC applies to wind up 12 companies associated with NSW accountant and former solicitor Christopher Malcolm Edwards
ASIC applies to wind up 12 companies associated with NSW accountant and former solicitor Christopher Malcolm Edwards
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Asset ManagerWealth ManagerBank
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
Take control of your finances, one step at a time
No description available.
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BankWealth ManagerFintech
FCA sets out next phase of smarter, more effective regulation
We have set out plans for using AI to speed up authorisations, testing new tools to identify key risks earlier, with our people remaining at the heart of decision-making. The new authorisation tool is being developed internally and will be integrated into existing FCA systems.It forms part of our annual work programme 2026/27, which lays out how we’re accelerating our ambition to be a smarter, more data-driven regulator.We will also use generative AI to support our efforts to modernise regula...
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BankWealth ManagerFintech
Bank of England streamlines reporting and disclosure requirements for bank failure regime
The Bank of England and Prudential Regulation Authority have finalised a package of changes to firms’ resolution reporting and disclosure requirements which reduces the burden of regulation while maintaining a robust and credible regime that supports growth and competition.
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BankWealth Manager
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
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
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
Mr Davy Reinard sworn in by the Minister of Finance as Director Resolution (only in French)
Press release 26/07
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Bank
Aktualisierte Sanktionsmeldung: Ukraine
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat Änderungen der Verordnung vom 4. März 2022 über Massnahmen im Zusammenhang mit der Situation in der Ukraine (SR 946.231.176.72) publiziert.
AI Analysis
The Swiss Federal Department of Economic Affairs, Education and Research (WBF) amended Annex 8 of the Ordinance on Measures in Connection with the Situation in Ukraine (SR 946.231.176.72) on March 19, 2026, removing 7 natural persons from the sanctions list. This update requires financial intermediaries to immediately review and adjust their sanctions screening processes, as it directly impacts asset freeze obligations and reporting under Swiss sanctions regime.
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BankWealth ManagerPayment Provider
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
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
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
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
List of members of the Investment Fund Managers Committee (Updated)
No description available.
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Asset ManagerWealth ManagerBank
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
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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
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Wealth ManagerFintech
Legal department - Consumer protection / financial crime (Updated)
Out-of-court consumer complaint resolution
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BankWealth ManagerFintech
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
Claudia Buch: Hearing of the Committee on Economic and Monetary Affairs of the European Parliament
No description available.
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BankAsset ManagerWealth Manager
ECB Annual Report on supervisory activities 2025
No description available.
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BankAsset ManagerWealth Manager
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
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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
ASIC launches financial complaints data dashboard
ASIC launches financial complaints data dashboard
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BankWealth ManagerAll Firms
DORA – Register of Information collection - Update
No description available.
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BankWealth ManagerAll Firms
Warning concerning the website www.smtbeurope.com
No description available.
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BankWealth Manager
Modernising the liquidity framework for banks and building societies - speech by Phil Evans
Given at University of Leeds, Cloth Hall Court, Leeds
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BankWealth ManagerAll Firms
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
Development of the balance sheet total and provisional net results of specialised PFS
Situation as at 31 January 2026
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BankAsset ManagerWealth Manager
Development of the balance sheet total and provisional net results of support PFS
Situation as at 31 January 2026
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BankAsset ManagerWealth Manager
MAS Issues Prohibition Orders against former Relationship Managers, Mr Wang Qiming and Mr Liu Kai
Singapore, 17 March 2026 … The Monetary Authority of Singapore (MAS) has issued Prohibition Orders (POs) under the Financial Services and Markets Act 2022 (FSMA) against Mr Wang Qiming and Mr Liu Kai, former relationship managers, who were convicted of charges connected to the major money laundering case of August 2023. Given the gravity of their misconduct, MAS has issued a 16-year PO against Mr Wang Qiming and a 7-year PO against Mr Liu Kai.
AI Analysis
The Monetary Authority of Singapore (MAS) issued Prohibition Orders (POs) on 17 March 2026 under the Financial Services and Markets Act 2022 (FSMA) against former relationship managers Wang Qiming (16-year PO) and Liu Kai (7-year PO) for convictions tied to Singapore's S$3 billion money laundering scandal of August 2023. This enforcement action underscores MAS's rigorous application of fit and proper criteria, barring them from regulated activities due to forgery, money laundering, and related offences. It matters for compliance professionals as it signals heightened scrutiny on individual accountability in AML failures within wealth management.
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BankWealth ManagerAll Firms
Ben Gully appointed as the next Secretary General of the Basel Committee on Banking Supervision
Ben Gully appointed as the next Secretary General of the Basel Committee on Banking Supervision
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BankAsset ManagerWealth Manager
eDesk – Disruptions on Monday 16 March 2026
No description available.
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BankWealth ManagerFintech
Council Implementing Regulation (EU) 2026/695 of 14 March 2026
implementing Regulation (EU) No 269/2014 concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine
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BankWealth ManagerAsset Manager
SSM Calendar Claude Wampach – 12/2025
No description available.
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BankWealth ManagerAsset Manager
GBP LDI Funds Reporting Template (Updated)
No description available.
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Asset ManagerWealth Manager
FCA bans Kasim Garipoglu from working in UK financial services
KasimGaripoglu has been banned from working in UK financial services. The FCA found he is not fit and proper because of his lack of honesty and integrity. Mr Garipoglu is the owner of a firm that provided online trading of foreign exchange and contracts.Between April 2012 and December 2022, including when Mr Garipoglu was the chief executive and director at the firm and an approved person, he repeatedly demonstrated a disregard for regulatory requirements, undermined compliance and anti‑money...
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BankWealth ManagerFintech
New speech by Kelvin Wong: Remarks at The Hong Kong Independent Non-Executive Director Association’s Spring Luncheon 2026
No description available.
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Asset ManagerWealth Manager
BaFin warns consumers about the Gainorex Investment app
The Federal Financial Supervisory Authority (BaFin) warns consumers about the Börsenblick A-001 WhatsApp group. In the WhatsApp group, consumers are encouraged to use the Gainorex Investment app to trade in financial instruments. BaFin suspects the unknown operators of offering consumers banking business and/or financial services without the required authorisation. The operators are not supervised by BaFin.
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BankFintechAll Firms
Equity Research Ventures PTE. LTD. („AlleAktien“): evidence indicates no prospectus published
The Federal Financial Supervisory Authority (BaFin) has evidence indicating that Equity Research Ventures PTE. LTD., purportedly domiciled in Singapore, is offering capital investments under the name “Co-Investment AlleAktien Wealth x SpaceX” to the public in Germany without the required prospectus. These capital investments are being offered in the form of “other capital investments” within the meaning of section 1 (2) no. 7 of the German Capital Investment Act (Vermögensanlagengesetz - Verm...
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Asset ManagerWealth ManagerBroker Dealer
ASIC disqualifies Victorian director for maximum 5-year period
ASIC disqualifies Victorian director for maximum 5-year period
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BankWealth ManagerFintech
ESMA sets out actions to simplify the retail investor journey and make investing more accessible
ESMA sets out actions to simplify the retail investor journey and make investing more accessible 12 March 2026 Investor protection Press Releases The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has published its takeaways from the 2025 Call for Evidence (CfE) on the retail investor journey. Taking into account the input from stakeholders, ESMA outlines a number of actions and operational improvements it will take forward to make it ea...
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Asset ManagerWealth ManagerBank
Data as a dialogue – speech by Vicky White
Given at Connect Global Group 4th Annual Treasury and Capital Markets Forum
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BankAsset ManagerWealth Manager
Prometheus Investment Alliance: BaFin warns against offers in WhatsApp groups
The German Financial Supervisory Authority (BaFin) warns against offers made by Prometheus Investment Alliance (PIA), which claims to be based in the United States of America and Frankfurt am Main, on the website prometheus-alliance(.)de and in various WhatsApp groups. In the WhatsApp groups run by the alleged Achim Falkenberg and his assistant Bertha, consumers are tricked into trading financial products via the QVTcoinese-Pro app using the ‘Genialer Intelligenter Roboter 5.0’ trading system.
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BankFintechAll Firms
Aktualisierte Sanktionsmeldung: Taliban
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung der Liste der sanktionierten natürlichen Personen, Unternehmen und Organisationen der Verordnung vom 21. März 2025 über Massnahmen gegenüber Personen und Gruppen, die mit den Taliban in Verbindung stehen (SR 946.231.07), publiziert.
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BankWealth ManagerAll Firms
Concept Capital Group update: administrators appointed
On 9 March 2026, the High Court placed Concept Capital Group (CCG) into administration. BTG are the administrators of the company. In July 2025, the FCA announced High Court proceedings against CCG and others over an alleged unauthorised investment scheme. CCG has been under a court order that temporarily froze its assets since then.CCG had promoted investments in static homes. CCG claimed these would be let to social housing tenants placed by local councils. Investors were promised fixed ret...
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Asset ManagerWealth Manager
Interpretative note
Delay in the 2026 AML/CFT standardised data collection
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BankAsset ManagerWealth Manager
Reporting template
Delay in the 2026 AML/CFT standardised data collection
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BankAsset ManagerWealth Manager
Profit and loss account of credit institutions as at 31 December 2025 (only in French)
Press release 26/06
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BankAsset ManagerWealth Manager
Public Hearings organised by AMLA on 24 March 2026
No description available.
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BankWealth ManagerAll Firms
TGI AG: evidence indicates no prospectus published
The Federal Financial Supervisory Authority (BaFin) has evidence indicating that TGI AG, domiciled in Vaduz, Principality of Liechtenstein, is offering capital investments to the public in Germany called “discounted gold purchases” (Goldkauf mit Rabatt). In return for the temporary provision of money, these investments grant interest and the physical delivery of gold. In contravention of section 6 of the German Capital Investment Act (Vermögensanlagengesetz - VermAnlG), no prospectus has been...
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BankWealth ManagerAll Firms
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
List of professional activities and mandates performed by members of the management body/governing body and by conducting officers (points 105 and 107 of Circular CSSF 18/698) (Updated)
Table listing the professional activities and the mandates performed
AI Analysis
This CSSF publication is an updated table (in XLSX format) listing standardized professional activities and mandates for members of the management body/governing body and conducting officers, as required under points 105 and 107 of Circular CSSF 18/698. It matters because it ensures consistent, transparent reporting of senior personnel roles in Luxembourg investment fund managers (IFMs), supporting governance, conflict-of-interest management, and CSSF supervisory oversight. Compliance professionals must use this list to standardize disclosures in authorization files and ongoing reporting.
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Asset ManagerBankAll Firms
Global situation of undertakings for collective investment at the end of January 2026
Press release 26/05
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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.
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BankAsset ManagerAll Firms
Charges discontinued in Capital Mining Limited matter
Charges discontinued in Capital Mining Limited matter
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BankWealth ManagerAsset Manager
Aktualisierte Sanktionsmeldung: Islamische Republik Iran
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung der Anhänge 3, 12, 13 und 14 der Verordnung vom 12. Dezember 2025 über Massnahmen gegenüber der Islamischen Republik Iran (SR 946.231.143.6) publiziert.
AI Analysis
Switzerland's State Secretariat for Economic Affairs (WBF) has updated sanctions targeting the Islamic Republic of Iran, effective March 10, 2026 at 23:00 UTC, modifying annexes 3, 12, 13, and 14 of the Iran sanctions ordinance (SR 946.231.143.6). This represents a comprehensive revision of Iran-related financial restrictions that requires immediate compliance action from all Swiss financial intermediaries to freeze assets, implement prohibitions, and report affected business relationships.
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BankWealth ManagerPayment Provider
New speech by Julia Leung: Remarks at the Investor and Financial Education Award 2025 Presentation Ceremony
No description available.
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Asset ManagerWealth ManagerAll Firms
New speech by Kelvin Wong: Remarks at the Investor and Financial Education Award 2025 Presentation Ceremony
No description available.
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Asset ManagerWealth ManagerBank
Basic statistical data on UCIs – January 2026 (only in French)
No description available.
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Asset ManagerWealth Manager
ASIC bans former MWL Financial Services Adviser Raluca Terheci for a period of 6 years
ASIC bans former MWL Financial Services Adviser Raluca Terheci for a period of 6 years
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Wealth Manager
Net assets of UCIs
Situation as at 31 January 2026
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Asset ManagerWealth Manager
Breakdown according to currency
Situation as at 31 January 2026
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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
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
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
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
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
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
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
New speech by Julia Leung: Keynote speech at ASIFMA EU-Asia Financial Services Dialogue 2026
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
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 ...
Sectors:
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
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
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
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
Identification of reporting requirements and checks for 2nd level completeness (Updated)
No description available.
Sectors:
Topics:
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…
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Identity fraud: BaFin warns consumers about the website goldingfx(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website goldingfx(.)com. BaFin suspects the unknown operators of the website of offering consumers financial and investment services without the required authorisation. Contrary to the claims on the website, the services offered do not originate from Golding Capital Partners GmbH, which has its registered office in Munich. This is a case of identity fraud.
Sectors:
Topics:
BankWealth ManagerFintech
Getting the right directions − speech by Alan Taylor
Given at the Monetary Policy Mandate Conference at Norges Bank, Oslo
Sectors:
Topics:
BankAsset ManagerWealth Manager
Sophia Bennani appointed AMF Director of Inspections
Appointment Institutional Sophia Bennani appointed AMF Director of Inspections
Sectors:
Topics:
Asset ManagerWealth Manager
FCA opens authorisation gateway for targeted support
Firms can now apply for permission to provide targeted support. Targeted support is a once in a generation change that will help millions navigate their financial lives. From 6 April 2026, people’s banks, pension providers, or other financial firms that are authorised for targeted support can provide suggestions designed for groups of consumers with common characteristics. This will help them make important decisions across their pensions and investments.We want authorised firms to be ready t...
Sectors:
Topics:
BankWealth Manager
KPH Advisory Services (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
KPH Advisory Services (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Wealth ManagerAll Firms
Sugon Ventures - Central Bank of Ireland Issues Warning on Unauthorised Firm
Central Bank of Ireland Issues Warning on Unauthorised Firm – Sugon Ventures
Sectors:
Topics:
Fintech
Earston Limited t/a Earston Wealth Management (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Earston Limited t/a Earston Wealth Management (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Wealth Manager
New speech by Kelvin Wong: Speech at the Chinese New Year Cocktail Reception for Financial Services Industry
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
The CSSF’s supervisory priorities in the area of sustainable finance
Update March 2026
Sectors:
Topics:
Asset ManagerBankWealth Manager
Axoria AI: BaFin warns against offers on the website axoria(.)ai
The Federal Financial Supervisory Authority BaFin warns against offers on the website axoria(.)ai. According to information available to BaFin, the operator is providing financial and investment services without the required authorisation.
Sectors:
Topics:
BankFintechAll Firms
BaFin warns about the series of platforms „Sofortiger Aimex/Saimex Trade“
The Federal Financial Supervisory Authority BaFin warns customers about online trading platforms that use the name “Sofortiger Aimex/ Sofortiger Saimex”. According to information available to BaFin, operators are providing financial and investment services without the required authorisation.
Sectors:
Topics:
BankFintechAll Firms
Regulatory Notice 26-06
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
Sectors:
Topics:
Broker DealerWealth ManagerBank
DFSA AML and Glossary Modules amendments come into force; FAQs published
DFSA AML and Glossary Modules amendments come into force; FAQs published
Sectors:
Topics:
BankWealth ManagerAsset Manager
DFSA Reminder: Current DFSA Working arrangements – Statement: 1 March 2026
DFSA Reminder: Current DFSA Working arrangements – Statement: 1 March 2026
Sectors:
Topics:
BankWealth ManagerAll Firms
Banks,The FSA publishes the status of loans held by all banks as of the end of September 2025, based on the Financial Reconstruction Act
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Publication,Publication of "FSA Analytical Notes (2026.2): Analysis of Human Resource Support by Regional Banks and Shortages of Managerial Talent at Firms" in Japanese
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
FINMA proceedings: MBaer Merchant Bank AG in liquidation
In enforcement proceedings against MBaer Merchant Bank AG that FINMA concluded three weeks ago and which were recently pending before the Swiss Federal Administrative Court, FINMA had withdrawn the bank's licence. As part of the proceedings, FINMA ascertained that the bank does not have an adequate structure in place for combating money laundering, thus enabling clients to circumvent official asset freezes. The bank has now withdrawn its appeal against the FINMA proceedings, meaning that FINM...
Sectors:
Topics:
Bank
Claudia Buch: Banks and competitiveness: promoting competition, protecting resilience
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Braddick to take the helm at the UK’s banking watchdog
Katharine Braddick CB appointed as the next Deputy Governor for Prudential Regulation at the Bank of England and Chief Executive of the Prudential Regulation Authority, succeeding Sam Woods when his term ends in June 2026.
Sectors:
Topics:
BankWealth ManagerAsset Manager
Midvest Limited: warns consumers about the website midv-lim(.)com
The Federal Financial Supervisory Authority BaFin warns against offers on the website midv-lim(.)com. According to information available to BaFin, the operator Midvest Limited from Manchester, UK, is providing financial and investment services without the required authorisation.
Sectors:
Topics:
BankWealth Manager
Written reply to Parliamentary Question on New Currency Note Series
Written reply to Parliamentary Question on New Currency Note Series
Sectors:
Topics:
BankWealth ManagerAll Firms
The AMF publishes the findings of its inspections on the consideration of client sustainability preferences
Supervision Sustainable Finance Marketing Journalists Investment services providers Investment management companies The AMF publishes the findings of its inspections on the consideration of client sustainability preferences
Sectors:
Topics:
Asset ManagerWealth Manager
Measures at MBaer Merchant Bank AG
The US Financial Crimes Enforcement Network (FinCEN) announced today that it considers MBaer Merchant Bank AG to be a financial institution of primary money laundering concern. FINMA is in contact with the bank and FinCEN in connection with the case. The enforcement proceedings previously concluded by FINMA against the bank are currently pending before the Federal Administrative Court. FINMA has appointed an audit agent at the bank.
Sectors:
Topics:
Bank
Directive (EU) 2026/470 of the European Parliament and of the Council of 24 February 2026
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
Court minutes from 2023 that were previously redacted
The Bank's Court of Directors acts as a unitary board, setting the organisation's strategy and budget and taking key decisions on resourcing and appointments. Required to meet a minimum seven times per year, it has five executive members from the Bank and up to nine non-executive members.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Aktualisierte Sanktionsmeldung: Sudan
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung des Anhangs der Verordnung vom 25. Mai 2025 über Massnahmen gegenüber Sudan (SR 946.231.18) publiziert.
AI Analysis
This FINMA publication announces an update to the Swiss sanctions list for Sudan following changes by the UN Sanctions Committee on February 24, 2026, directly incorporated into Switzerland's SESAM database by SECO on February 25, 2026. It matters because financial intermediaries must immediately freeze assets of newly listed parties and report to SECO, while continuing AML due diligence under the GwG (Anti-Money Laundering Act), to avoid enforcement risks from non-compliance with Embargo Act (EmbG) obligations.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Directive (EU) 2026/470 of the European Parliament and of the Council of 24 February 2026
amending Directives 2006/43/EC, 2013/34/EU, (EU) 2022/2464 and (EU) 2024/1760 as regards certain corporate sustainability reporting requirements and certain corporate sustainability due diligence requirements
Sectors:
Topics:
Asset ManagerBankWealth Manager
SFC bans Andy Lau Ka Ho for life
No description available.
Sectors:
Topics:
Broker DealerWealth ManagerBank
ASIC disqualifies Victorian property development director Kylie Campbell for 5 years
ASIC disqualifies Victorian property development director Kylie Campbell for 5 years
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC cancels AFS licence of Private Wealth Pty Ltd
ASIC cancels AFS licence of Private Wealth Pty Ltd
Sectors:
Topics:
Wealth Manager
Notice of Amendments to Legislation: February 2026
Notice of Amendments to Legislation: February 2026
Sectors:
Topics:
BankWealth ManagerAsset Manager
Identity fraud against Ultramarin Capital GmbH, Munich: BaFin warns consumers about the website ultramarin-capital(.)com
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website ultramarin-capital(.)com. BaFin suspects the unknown operators of the website of offering consumers financial and investment services without the required authorisation.
Sectors:
Topics:
BankWealth Manager
Warning concerning the fraudulent activities carried out by Aisbierg Ennerstetzung Bank
No description available.
Sectors:
Topics:
BankWealth Manager
Aktualisierte Sanktionsmeldung: Russland
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat Änderungen des Anhangs 8 der Verordnung vom 4. März 2022 über Massnahmen im Zusammenhang mit der Situation in der Ukraine (SR 946.231.176.72) publiziert.
AI Analysis
On February 23, 2026, Switzerland's State Secretariat for Economic Affairs (SECO) updated Annex 8 of the Ukraine Sanctions Ordinance (SR 946.231.176.72), with changes taking effect on February 24, 2026 at 11:00 PM UTC. This represents the latest iteration of Switzerland's Russia sanctions regime, requiring financial intermediaries to immediately implement new prohibitions, freeze assets of designated persons, and report affected business relationships to SECO—with mandatory additional due diligence under anti-money laundering law if suspicions cannot be resolved.
Sectors:
Topics:
BankWealth ManagerPayment Provider
Pedro Machado: New challenges, enduring principles: navigating a complex credit risk landscape
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Warning concerning fraudulent activities by persons misusing the name of MERITUM CAPITAL
No description available.
Sectors:
Topics:
BankWealth ManagerAll Firms
Warning concerning the website www.jfl-invest.com
No description available.
Sectors:
Topics:
BankWealth ManagerFintech
ASIC secures record $350 million in civil penalties and $583 million back to Australians in second half of 2025
ASIC secures record $350 million in civil penalties and $583 million back to Australians in second half of 2025
Sectors:
Topics:
BankWealth ManagerAsset Manager
Misconduct reports to ASIC highlight spike in corporate governance issues
Misconduct reports to ASIC highlight spike in corporate governance issues
Sectors:
Topics:
BankWealth ManagerAll Firms
Misrepresentations Made By A Non Adgm Entity
Misrepresentations Made By A Non Adgm Entity
Sectors:
Topics:
BankWealth ManagerFintech
Warning concerning the website www.capman-holding.com
No description available.
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Council Implementing Regulation (EU) 2026/431 of 23 February 2026
implementing Regulation (EU) 2024/1485 concerning restrictive measures in view of the situation in Russia
Sectors:
Topics:
BankWealth ManagerAsset Manager
Pedro Machado: Technology is neutral, governance is not: AI adoption in the banking sector
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Identity theft: BaFin warns against offers on website personalcontrol-room(.)com
The Federal Financial Supervisory Authority BaFin warns against offers on the website personalcontrol-room(.)com and against fake investment contracts sent by alleged financial experts from Clearstream Holding AG. According to information available to BaFin, the unknown operators are providing financial or investment services and crypto asset services without the required authorisation. The offers do not originate from Clearstream Holding AG or any other legal entities of Clearstream. This is...
Sectors:
Topics:
BankWealth ManagerFintech
Madison Realty Capital Expands Global Platform With Launch Of Middle East Office
Madison Realty Capital Expands Global Platform With Launch Of Middle East Office
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Polygreen Establishes Regional Holding Company In Adgm
Polygreen Establishes Regional Holding Company In Adgm
Sectors:
Topics:
BankWealth ManagerFintech
BaFin warns consumers about the websites weisbergadvisors(.)inc and weisbergadvisors(.)ai
The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the websites weisbergadvisors(.)inc and weisbergadvisors(.)ai. According to information available to BaFin, these websites are being used to offer financial and investment services without the required authorisation.
Sectors:
Topics:
BankWealth ManagerFintech
Launch of a dedicated page for the Luxembourgish covered bonds (“lettres de gage”) framework on the CSSF website
No description available.
Sectors:
Topics:
BankWealth Manager
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.
Sectors:
Topics:
BankWealth ManagerAsset Manager
Influencers fined for issuing unauthorised financial promotions
Seven social media influencers have been sentenced at Southwark Crown Court for their role in the promotion of an unauthorised foreign exchange trading scheme. Biggs Chris, Jamie Clayton, Lauren Goodger, Rebecca Gormley, Yazmin Oukhellou, Scott Timlin and Eva Zapico all pleaded guilty to one count of issuing unauthorised financial promotions.The outcomes were:Lauren Goodger was fined £3,750 and ordered to pay costs of £5,778.18.Biggs Chris was fined £600 and ordered to pay costs of £1,000.Jam...
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
Tethys Investment Alliance: BaFin warns against offers in WhatsApp groups and indicates identity fraud at the expense of Tethys Investment Management LLC
The German Financial Supervisory Authority (BaFin) warns against the WhatsApp groups „Tethys Investment Alliance 771“ and „Tethys Investment Alliance-S62“, the websites „tethys-alliance.de“ and „tethys-uberblick.com“ as well as the apps „QVTCoinese“ und „QVTCoinese Pro“, which are allegedly operated by the Baku/Boston/Dubai-based company Tethys Investment Management LLC. In the WhatsApp groups consumers are enticed to trade financial products via the respective apps. It is suspected that the ...
Sectors:
Topics:
BankWealth ManagerFintech
Councils,The second meeting of the Expert Panel on the Revision of the Corporate Governance Code (2025-2026)
No description available.
Sectors:
Topics:
BankWealth Manager
Global situation of undertakings for collective investment at the end of December 2025
Press release 26/04
Sectors:
Topics:
Asset ManagerBankWealth Manager
Frank Elderson: Interview with Bloomberg
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Aktualisierte Sanktionsmeldung: Sudan
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung (WBF) hat den Anhang 2 der Verordnung vom 25. Mai 2005 über Massnahmen gegenüber Sudan (SR 946.231.18) geändert.
AI Analysis
The Swiss Federal Department for Economic Affairs, Education and Research (WBF) has amended Annex 2 of the Ordinance of 25 May 2005 on Measures against Sudan (SR 946.231.18), updating Switzerland's sanctions list in alignment with UN and international developments. This matters for Swiss financial institutions as it imposes immediate asset freeze and reporting obligations on newly designated individuals and entities linked to threats against Sudan's peace and security, including RSF support and mercenary activities. Compliance teams must screen and act swiftly to avoid FINMA enforcement under supervisory law.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Aktualisierte Sanktionsmeldung
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung (WBF) hat den Anhang der Verordnung vom 10. April 2024 über Massnahmen gegenüber Personen und Organisationen, welche die Hamas oder den Palästinensischen Islamischen Dschihad unterstützen (SR 946.231.09), geändert.
Sectors:
Topics:
BankWealth ManagerAll Firms
SEC Proposes Amendments to Reduce Burdens in Reporting of Fund Portfolio Holdings
No description available.
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
Central Bank Independence is an anchor for stability, not a shield - Makhlouf
Gabriel Makhlouf, Governor of the Central Bank of Ireland, today delivered a keynote address at the Blavatnik School of Government, outlining the critical role of central bank independence in delivering price stability and supporting economic prosperity for society. Speaking on “Institutions, Anchors, and Their Discontents: The Role of Central Banks”, Governor Makhlouf highlighted how central bank independence, underpinned by clear mandates and robust accountability frameworks, enables moneta...
Sectors:
Topics:
BankAsset ManagerWealth Manager
Warning concerning the website www.qatari.xyz
No description available.
Sectors:
Topics:
BankWealth ManagerFintech
CSSF Newsletter No 301 – February 2026
No description available.
Sectors:
Topics:
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 ...
Sectors:
Topics:
Asset ManagerWealth ManagerBank
SSM Calendar Claude Wampach – 11/2025
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
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
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
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
Settlement with Sino Wealth International Limited and Clear Prosper Global Limited in matters relating to Giordano International Limited under The Codes on Takeovers and Mergers and Share Buy-backs
No description available.
Sectors:
Topics:
BankWealth Manager
CSSF Annex to the Notification Letter under Article 33 of the AIFMD (Updated)
Version 3.1
Sectors:
Topics:
Asset ManagerWealth Manager
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
Charge against NSW director dismissed
Charge against NSW director dismissed
Sectors:
Topics:
BankWealth ManagerAll 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
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
12 Feb 2026 Read more
12 Feb 2026 Read more
Sectors:
Topics:
Broker DealerWealth ManagerBank
“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
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
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
Building economic resilience is not optional - Central Bank of Ireland Governor Gabriel Makhlouf
The Central Bank of Ireland has set out its regulatory and supervisory priorities for 2026 and provided detailed advice to Government on building economic resilience in the face of unprecedented uncertainty. In his letter to the Tánaiste and Minister for Finance Simon Harris, Governor Gabriel Makhlouf set out his views on the macro-financial environment, the financial services landscape and the Central Bank of Ireland’s financial regulation priorities for the year ahead . Governor Makhlouf em...
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Topics:
BankAsset ManagerWealth Manager
Patrick Montagner: Interview with MLex
No description available.
Sectors:
Topics:
BankAsset ManagerWealth 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
Financial Markets Tribunal upholds the DFSA’s decision to impose a fine on Al…
Financial Markets Tribunal upholds the DFSA’s decision to impose a fine on Al…
Sectors:
Topics:
Broker DealerBankWealth Manager
Warning concerning the website www.jomas-capital.lu
No description available.
Sectors:
Topics:
BankWealth ManagerFintech
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
FSP Search
FSP Search
Sectors:
Topics:
BankAsset ManagerWealth Manager
Procurement
Procurement
Sectors:
Topics:
BankWealth ManagerFintech
Curatorships
Curatorships
Sectors:
Topics:
Asset ManagerWealth ManagerBank
PAIA and POPIA Requests
PAIA and POPIA Requests
Sectors:
Topics:
BankWealth ManagerAll Firms
Nominee Register
Nominee Register
Sectors:
Topics:
BankWealth ManagerAsset Manager
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
Comments Portal
Comments Portal
Sectors:
Topics:
BankWealth ManagerAll Firms
Check if a firm is authorised
Check if a firm is authorised
Sectors:
Topics:
BankWealth ManagerAll Firms
Contact Us
Contact Us
Sectors:
Topics:
BankWealth ManagerAll Firms
WhatsApp groups and trading app: BaFin warns consumers about identity fraud in connection with the use of the app “IB-Kundendienst”
According to the information available to the Federal Financial Supervisory Authority (BaFin), unknown persons are using WhatsApp groups and chats to contact German investors. The initiators of such WhatsApp groups claim to be Bank of America or its branch in Frankfurt am Main. This is a case of identity fraud misusing names of former employees of the institution.
Sectors:
Topics:
BankFintechAll Firms
A Steady Hand: why the Governing Council held rates at 2 per cent this week
In his latest blog, Governor Gabriel Makhlouf explains why the Governing Council kept its main policy interest rate (the deposit facility rate) unchanged at 2% for the fifth consecutive time since June 2025.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Identity fraud: BaFin warns consumers about the company Tradeshark24
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Tradeshark24 and the services it is offering. BaFin suspects the unknown operators of the website tradeshark24(.)com of offering consumers financial, investment and crypto-asset services without the required authorisation. These offers are not provided by Frankfurt Financial Solutions GmbH & Co. KG, Frankfurt, which has no connection to the website tradeshark24(.)com. This is a case of identity fraud.
Sectors:
Topics:
BankWealth ManagerFintech
FINMA to relocate its Zurich office from the city centre to Oerlikon
More attractive working conditions and lower operating costs per workstation: FINMA will relocate its Zurich office from the city centre to Zurich-Oerlikon in autumn 2026.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Update on changes to country groupings for International Banking Statistics
This article provides an update regarding implementing changes for country grouping conventions used in statistics covering the international business of monetary financial institutions operating in the UK and the consolidated claims of UK headquartered monetary financial institutions.
Sectors:
Topics:
BankWealth ManagerAll Firms
ASIC cancels AFS and AC licences of Centre Capital Securities for failure to pay industry funding levies
ASIC cancels AFS and AC licences of Centre Capital Securities for failure to pay industry funding levies
Sectors:
Topics:
Broker DealerWealth ManagerAll Firms
List of fund units subject to Regulation 2013/346 on European Social Entrepreneurship Funds (EuSEF)
No description available.
Sectors:
Topics:
Asset ManagerWealth Manager
List of fund units subject to Regulation 2015/760 on European Long-Term Investment Funds (ELTIFs) as amended by Regulation 2023/606
No description available.
Sectors:
Topics:
Asset ManagerWealth Manager
IFM - Tied agent notification and change of tied agent particulars notification form (Updated)
Version 2.1
Sectors:
Topics:
Asset ManagerWealth Manager
Regulatory Notice 26-03
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
Sectors:
Topics:
Broker DealerWealth ManagerBank
The DFSA fines Ark Capital Management (Dubai) Limited USD 504,000 for market…
The DFSA fines Ark Capital Management (Dubai) Limited USD 504,000 for market…
Sectors:
Topics:
Asset ManagerWealth ManagerBank
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.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Reappointment of Claude Marx as Director General of the CSSF
Press release 26/03
Sectors:
Topics:
BankWealth Manager
Online financial frauds and scams in an artificial intelligence world
No description available.
Sectors:
Topics:
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...
Sectors:
Topics:
Wealth Manager
ASIC permanently bans former NSW financial adviser David Valvo
ASIC permanently bans former NSW financial adviser David Valvo
Sectors:
Topics:
Wealth ManagerBank
ASIC takes further steps to support Australians impacted by First Guardian and Shield collapse
ASIC takes further steps to support Australians impacted by First Guardian and Shield collapse
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Warning concerning the website www.castleforbeswealth.com
No description available.
Sectors:
Topics:
Wealth Manager
Administrative sanction of 23 July 2025
Administrative sanction imposed on Genève Invest (Europe) S.A.
AI Analysis
The CSSF imposed an administrative sanction on 23 July 2025 against Genève Invest (Europe) S.A., a Luxembourg-regulated entity, for breaches of professional obligations, as detailed in a publication released on 4 February 2026. This enforcement action underscores the CSSF's focus on robust internal controls and compliance with investment rules, serving as a warning to investment firms on the consequences of organizational and conduct failures. Compliance professionals should note it as evidence of heightened CSSF scrutiny on fund managers handling client assets and counterparties.
Sectors:
Topics:
Asset ManagerWealth ManagerAll Firms
ASIC urges super trustees to step up and address serious gaps in anti-scam and fraud protections
ASIC urges super trustees to step up and address serious gaps in anti-scam and fraud protections
Sectors:
Topics:
BankWealth ManagerAsset Manager
Director of Warwick Gold and Impact Gold disqualified from managing corporations for four years
Director of Warwick Gold and Impact Gold disqualified from managing corporations for four years
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC permanently bans Patrick Nong from the financial services industry
ASIC permanently bans Patrick Nong from the financial services industry
Sectors:
Topics:
Wealth Manager
Registration form for meetings with UCI Departments of the CSSF (Updated)
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
Law of 12 July 2013 (consolidated version) (Updated)
on alternative investment fund managers
Sectors:
Topics:
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
Sectors:
Topics:
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.
Sectors:
Topics:
BankAsset ManagerWealth Manager
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...
Sectors:
Topics:
BankWealth ManagerAsset Manager
Regulators announce first firms to join Scale-up Unit
The Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) have announced the first cohort of banks and building societies to benefit from their joint Scale-up Unit. The Scale-up Unit announced last year is designed to build stronger ties and provide tailored support for fast-growing and innovative financial firms, helping them to grow sustainably at pace.The 6 firms that expressed interest and have been accepted to the first cohort are:Allica BankClearBankMonument BankNo...
Sectors:
Topics:
BankFintechAll Firms
03 Feb 2026 Read more
03 Feb 2026 Read more
Sectors:
Topics:
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.
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
Councils,The Expert Panel on the Revision of the Corporate Governance Code (1st meeting) Minutes
No description available.
Sectors:
Topics:
BankWealth ManagerAll Firms
Letter from Ruth Smith on firms’ preparations for the third Resolvability Assessment Framework (RAF) assessment
Letter to Chief Financial Officers of the major UK banks ahead of the third RAF assessment
Sectors:
Topics:
BankAsset ManagerWealth Manager
Council Implementing Regulation (EU) 2026/259 of 29 January 2026
implementing Regulation (EU) 2024/2642 concerning restrictive measures in view of Russia’s destabilising activities
Sectors:
Topics:
BankAsset ManagerWealth Manager
PCAM: BaFin warns against offers on the website pc-asset-management[.]com, in the app “PCAU pro,” and in WhatisApp groups
In the WhatsApp groups, investors are recommended by “Harrison T Blake” and “Francesca Müller” to invest in financial instruments that can then be traded via the aforementioned app or the platform pc-asset-management[.]com.
Sectors:
Topics:
BankWealth ManagerFintech
Processing time of initial authorisations of regulated investment vehicles
No description available.
Sectors:
Topics:
Asset ManagerWealth Manager
02 Feb 2026 Read more
02 Feb 2026 Read more
Sectors:
Topics:
BankWealth ManagerFintech
The DFSA fines reinsurance broker USD 455,176 for engaging in misleading and…
The DFSA fines reinsurance broker USD 455,176 for engaging in misleading and…
Sectors:
Topics:
Broker DealerInsurance
Council Implementing Regulation (EU) 2026/259 of 29 January 2026
implementing Regulation (EU) 2024/2642 concerning restrictive measures in view of Russia’s destabilising activities
Sectors:
Topics:
BankWealth ManagerAsset Manager
The FCA’s long term review into AI and retail financial services: designing for the unknown
Speech by Sheldon Mills, at the FCA's Supercharged Sandbox Showcase event. Before we begin, take a look around this room. This is the Supercharged Sandbox. 23 firms at the frontier of retail financial services, chosen from 132 applications. If anyone still doubts the pace of AI change in our sector, this room is the answer.The Board has asked me to lead the long-term review into AI and retail financial services. I will report to the FCA Board in the summer, setting out recommendations to help...
Sectors:
Topics:
BankWealth ManagerFintech
Getting fit for the future − speech by Afua Kyei
Given at the Audit and Risk Committee Dinner, Undercroft Gallery, Roman Amphitheatre, Guildhall
Sectors:
Topics:
BankAsset ManagerWealth Manager
Federal Court orders Australian Unity Funds Management to pay $7 million penalty for failing to confirm product suitability for investors
Federal Court orders Australian Unity Funds Management to pay $7 million penalty for failing to confirm product suitability for investors
Sectors:
Topics:
Asset ManagerWealth Manager
Dedicated data entry form for updating investment firm information (Updated)
No description available.
Sectors:
Topics:
Asset ManagerWealth Manager
Media contacts
Media contacts
Sectors:
Topics:
BankWealth ManagerAll Firms
Superintendent Routledge participates in a fireside chat at TD Annual Conference
Superintendent Routledge participates in a fireside chat at TD Annual Conference
Sectors:
Topics:
BankAsset ManagerWealth Manager
Brendan Gunn pleads guilty to dealing with money reasonably suspected of being proceeds of crime
Brendan Gunn pleads guilty to dealing with money reasonably suspected of being proceeds of crime
Sectors:
Topics:
BankWealth ManagerFintech
ASIC acts against 28 SMSF auditors, flags increased scrutiny on in-house audit breaches
ASIC acts against 28 SMSF auditors, flags increased scrutiny on in-house audit breaches
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Warning concerning the website www.quasir-investments.lu
No description available.
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The role of economics during times of major change
In his latest blog, Governor Gabriel Makhlouf argues that economists must adapt their analytical frameworks and expand their focus beyond traditional topics to address emerging challenges—such as geopolitical upheaval and defence spending—in order to provide robust evidence-based policy advice that serves the public interest.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Emil the Seal hijacks Waterloo station to warn commuters about investment scams
FCA stunt launches new Firm Checker tool as around 700,000 people lose money to investment scams. Morning commuters at London Waterloo got more than their usual caffeine hit today when a mysterious 'ATM' promising to 'give away a fortune' stopped them in their tracks – and revealed an unexpected surprise.As curious passers-by approached the machine, the screen slid open to unveil Emil the Seal, the FCA's finance-friendly mascot, delivering a blunt message about the dangers of investment scams...
Sectors:
Topics:
BankWealth ManagerFintech
Issue 1 2026
No description available.
Sectors:
Topics:
Asset ManagerBankHedge Fund
Aktualisierte Sanktionsmeldung: Haiti
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung des Anhangs der Verordnung vom 16. Dezember 2022 über Massnahmen betreffend Haiti (SR 946.231.139.4) publiziert.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Form relating to the creation of new share class(es) not requiring a prospectus update (Updated)
No description available.
Sectors:
Topics:
Asset ManagerWealth Manager
Theresa Hinz, Executive Director of Policy and Risk Response, delivers remarks for OSFI’s Quarterly Release Day
Theresa Hinz, Executive Director of Policy and Risk Response, delivers remarks for OSFI’s Quarterly Release Day
Sectors:
Topics:
BankAsset ManagerWealth Manager
OSFI’s Quarterly Release: continuing to advance smart, well-calibrated risk-taking
OSFI’s Quarterly Release: continuing to advance smart, well-calibrated risk-taking
Sectors:
Topics:
BankAsset ManagerWealth Manager
Backgrounder: Consultative document on Senior Leader Accountability
Backgrounder: Consultative document on Senior Leader Accountability
Sectors:
Topics:
BankWealth ManagerAsset Manager
MAS Monetary Policy Statement - January 2026
Read the Monetary Policy Statement for January 2026.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Central Bank of Ireland completes sale of Spencer Dock (East Wing) building to the Office of Public Works
Central Bank of Ireland has successfully completed the sale of its Spencer Dock (East Wing) building to the Office of Public Works for €23.7m. The sale of Spencer Dock was a key element of the Central Bank’s longer term property strategy aligned to our decision to develop a single Dockland Campus through the purchase of our North Wall Quay building and subsequent purchase of our Mayor Street building. This sale of the East Wing, to Office of Public Works on 22 January 2026, follows the earlie...
Sectors:
Topics:
BankAsset ManagerWealth Manager
Looking back on the 2026 CSSF AML/CFT Conference for Specialised PFS
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
2026 AML/CFT Conference dedicated Specialised PFS
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
Frank Elderson: Hearing of the Committee on Economic and Monetary Affairs of the European Parliament
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Warning concerning fraudulent activities performed under the name of the Luxembourg company ERSEL GESTION INTERNATIONALE S.A.
No description available.
Sectors:
Topics:
Asset ManagerWealth Manager
Claudia Buch: Interview with Milano Finanza
No description available.
Sectors:
Topics:
BankWealth ManagerFintech
28 Jan 2026 Read more
28 Jan 2026 Read more
Sectors:
Topics:
BankWealth ManagerFintech
Singapore to Join International Efforts to Support IMF’s Initiatives for Vulnerable Countries
MAS announced that Singapore intends to join international efforts to enhance the capacity of the International Monetary Fund to help vulnerable member countries deal with economic shocks.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Aktualisierte Sanktionsmeldung: Guatemala
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung des Anhangs der Verordnung über Massnahmen betreffend Guatemala (SR 946.231.137.6) publiziert.
Sectors:
Topics:
BankWealth ManagerAll Firms
Mills Review to consider how AI will reshape retail financial services
The FCA has launched a review into the implications of advanced AI on consumers, retail financial markets and regulators. The Review will be led by Sheldon Mills and builds on the FCA’s existing work on AI. This includes its AI Discussion Paper, AI Sprint, and AI Lab including AI Live Testing and its groundbreaking Supercharged Sandbox supported by NVIDIA.AI is already embedded across financial services. Rapid advances in generative, agentic and emerging forms of AI mean the next phase of cha...
Sectors:
Topics:
BankWealth ManagerFintech
Electronic Communications
Electronic Communications
Sectors:
Topics:
Broker DealerAsset ManagerWealth Manager
Digital Experience Transformation (DXT)
Digital Experience Transformation (DXT)
Sectors:
Topics:
Broker DealerAsset ManagerWealth Manager
Derivatives
Derivatives
Sectors:
Topics:
Broker DealerAsset ManagerWealth Manager
Day Trading
Day Trading
Sectors:
Topics:
Broker DealerAsset ManagerWealth Manager
Comprehensive Automated Risk Data System (CARDS)
Comprehensive Automated Risk Data System (CARDS)
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
Capital Acquisition Brokers
Capital Acquisition Brokers
Sectors:
Topics:
Broker DealerWealth ManagerAll Firms
BrokerCheck
BrokerCheck
Sectors:
Topics:
Broker DealerWealth ManagerAll Firms
Breakpoints
Breakpoints
Sectors:
Topics:
Broker DealerWealth ManagerAsset Manager
Branch Offices
Branch Offices
Sectors:
Topics:
Broker DealerWealth ManagerBank
529 Savings Plans
529 Savings Plans
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
Regulatory Notice 25-05
Regulatory Notice 25-05
Sectors:
Topics:
Broker DealerWealth ManagerAsset Manager
Regulatory Notice 25-09
Regulatory Notice 25-09
Sectors:
Topics:
Broker DealerWealth ManagerBank
Regulatory Notice 25-13
Regulatory Notice 25-13
Sectors:
Topics:
Broker DealerWealth ManagerBank
Information Notice - 10/21/25
Information Notice - 10/21/25
AI Analysis
FINRA's Information Notice dated October 21, 2025, reminds member firms of NSCC's amendment to Rule 50, effective October 17, 2025, which removes the "Settle Prep Day" from the ACATS process, shortening full customer account transfers to 3-4 business days. This matters because it aligns with FINRA Rule 11870's requirements to expedite transfers, enhances operational efficiency, reduces risk, and improves client experience amid broader industry shifts like T+1 settlement.[original notice]
Sectors:
Topics:
Broker DealerWealth ManagerAll Firms
Regulatory Notice 25-16
Regulatory Notice 25-16
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
Regulatory Notice 25-18
Regulatory Notice 25-18
Sectors:
Topics:
Broker DealerWealth ManagerBank
Regulatory Notice 26-02
Regulatory Notice 26-02
Sectors:
Topics:
Broker DealerWealth ManagerBank
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
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
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
ASIC bans former Crown Wealth Group director Brendan Rodwell for failing to report fees for no service conduct
ASIC bans former Crown Wealth Group director Brendan Rodwell for failing to report fees for no service conduct
Sectors:
Topics:
Wealth ManagerBank
Construction industry director charged with breach of director’s duties and providing false and misleading documents
Construction industry director charged with breach of director’s duties and providing false and misleading documents
Sectors:
Topics:
BankWealth ManagerAsset Manager
ASIC statement - Clime entities
ASIC statement - Clime entities
Sectors:
Topics:
Asset ManagerWealth Manager
Perth fraudster Chris Marco sentenced to 14 years imprisonment
Perth fraudster Chris Marco sentenced to 14 years imprisonment
Sectors:
Topics:
BankWealth ManagerAsset Manager
ASIC 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
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 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
Super trustees urged to accelerate progress on retirement support for members
Super trustees urged to accelerate progress on retirement support for members
Sectors:
Topics:
Asset ManagerWealth ManagerInsurance
Banned SMSF Auditor charged with continuing to act whilst disqualified and falsifying documents
Banned SMSF Auditor charged with continuing to act whilst disqualified and falsifying documents
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ASIC takes contempt action against David McWilliams and Laura Fullarton over alleged freezing order breaches
ASIC takes contempt action against David McWilliams and Laura Fullarton over alleged freezing order breaches
Sectors:
Topics:
BankWealth ManagerFintech
ASIC calls for feedback on stamp duty and portfolio holdings disclosure requirements for super funds
ASIC calls for feedback on stamp duty and portfolio holdings disclosure requirements for super funds
Sectors:
Topics:
Asset ManagerWealth ManagerInsurance
ASIC suspends AFS licence of Focused Financial Advice following failure to replace key person
ASIC suspends AFS licence of Focused Financial Advice following failure to replace key person
Sectors:
Topics:
Wealth Manager
ASIC calls on Australian companies to adopt better practices to protect whistleblowers
ASIC calls on Australian companies to adopt better practices to protect whistleblowers
Sectors:
Topics:
BankWealth ManagerAll Firms
ASIC 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
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
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
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
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
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.
Sectors:
Topics:
BankWealth ManagerAsset Manager
CSSF organisation chart (Updated)
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
CSSF Newsletter No 300 - January 2026
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Others,Remarks by Minister KATAYAMA at the event “Japan’s Turn” of the 56th Annual Meeting of the World Economic Forum
No description available.
Sectors:
Topics:
BankWealth ManagerFintech
Publication of the update of the ML/FT Sub-Sector Risk Assessment on Specialised Professionals of the Financial Sector providing corporate services (trust and company service provider activities)
No description available.
Sectors:
Topics:
BankWealth ManagerPayment Provider
Resolution Reporting Requirements - track changes
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Publication,FSA Weekly Review No.671 January 20, 2026
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
ML/FT Sub-Sector Risk Assessment on Specialised Professionals of the Financial Sector providing corporate services (trust and company service provider activities) (Updated)
2026 update
Sectors:
Topics:
BankWealth ManagerFamily Office
Resolution Reporting Requirements (Updated)
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Deactivated validation rules and EBA small validation packages COFREP (Updated)
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Sharon Donnery: The ECB’s approach to simplification in banking regulation and supervision
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
Tribunal upholds ban and fines for corrupt and dishonest adviser
The FCA's decision to ban Darren Antony Reynolds from working in financial services and fine him £2,037,892 has been upheld by the Upper Tribunal. The FCA's decision to ban Darren Antony Reynolds from working in financial services and fine him £2,037,892 has been upheld by the Upper Tribunal.Mr Reynolds was dishonest when he gave pension transfer advice and investment recommendations to his customers, causing them significant harm.Mr Reynolds showed a clear disregard for his customers’ intere...
Sectors:
Topics:
Wealth ManagerAll Firms
Logic Investments Ltd enters special administration
On 16 January 2026, Logic Investments Ltd (Logic Investments) entered special administration. Alex Watkins and Ed Boyle of Interpath Ltd were appointed as joint special administrators. Logic Investments is FCA authorised and regulated to provide wealth management services. On 16 December 2025, Logic Investments agreed to an FCA requirement preventing it from accepting new clients, client money or assets; or moving existing client money or assets without FCA consent. This was done because of c...
Sectors:
Topics:
Wealth Manager
SAMA Decision on Repo and Reverse Repo Rates
SAMA Decision on Repo and Reverse Repo Rates
Sectors:
Topics:
BankWealth Manager
ADGM Academy Hosts groundbreaking activities under the theme “Bridging Knowledge & Building the Nation” at ADFW 2025
ADGM Academy Hosts groundbreaking activities under the theme “Bridging Knowledge & Building the Nation” at ADFW 2025
Sectors:
Topics:
BankWealth ManagerFintech
iCapital Expands Global Footprint with New Office in the United Arab Emirates
iCapital Expands Global Footprint with New Office in the United Arab Emirates
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
‘Courage’ Takes Centre Stage at RESOLVE 2025 as Experts Tackle Dispute Resolution in a Digital Era
‘Courage’ Takes Centre Stage at RESOLVE 2025 as Experts Tackle Dispute Resolution in a Digital Era
Sectors:
Topics:
BankWealth ManagerFintech
J.P. Morgan accelerates growth with full-scale Treasury services in ADGM
J.P. Morgan accelerates growth with full-scale Treasury services in ADGM
Sectors:
Topics:
BankWealth Manager
USD 9 Trillion in Assets Commit to ADGM as Abu Dhabi Finance Week Redefines Global Capital Flows
USD 9 Trillion in Assets Commit to ADGM as Abu Dhabi Finance Week Redefines Global Capital Flows
Sectors:
Topics:
Asset ManagerBankWealth Manager
UAE Sustainable Finance Working Group Publishes Fourth Statement During Abu Dhabi Finance Week 2025
UAE Sustainable Finance Working Group Publishes Fourth Statement During Abu Dhabi Finance Week 2025
Sectors:
Topics:
Asset ManagerBankWealth Manager
ADGM Registration Authority Publishes New Commercial Permits Rules for Events, Sales and Promotions and Temporary Commercial Activity
ADGM Registration Authority Publishes New Commercial Permits Rules for Events, Sales and Promotions and Temporary Commercial Activity
Sectors:
Topics:
BankWealth ManagerFintech
ADFW 2025 Delivers its Most Successful Edition, Showcasing Abu Dhabi’s Next Decade of Growth with Over 35,000 Attendees
ADFW 2025 Delivers its Most Successful Edition, Showcasing Abu Dhabi’s Next Decade of Growth with Over 35,000 Attendees
Sectors:
Topics:
BankWealth ManagerFintech
APIAC and Opus 2 Announce Office Openings in the ADGM Dispute Resolution Hearing Centre as Abu Dhabi’s Dispute Resolution Community Expands
APIAC and Opus 2 Announce Office Openings in the ADGM Dispute Resolution Hearing Centre as Abu Dhabi’s Dispute Resolution Community Expands
Sectors:
Topics:
BankWealth ManagerAll Firms
Bank of Palestine Expands Globally after Receiving an In-Principle Approval for a Full Banking License from ADGM Abu Dhabi, UAE
Bank of Palestine Expands Globally after Receiving an In-Principle Approval for a Full Banking License from ADGM Abu Dhabi, UAE
Sectors:
Topics:
Bank
ADGM’s FSRA issues alert concerning fraudulent scheme and false and misleading claims - SGV Advisory FZ LLC or Strategic Global Ventures
ADGM’s FSRA issues alert concerning fraudulent scheme and false and misleading claims - SGV Advisory FZ LLC or Strategic Global Ventures
Sectors:
Topics:
BankWealth ManagerFintech
ADGM’s Registration Authority Reshapes Services in the Real Estate Sector
ADGM’s Registration Authority Reshapes Services in the Real Estate Sector
Sectors:
Topics:
BankWealth ManagerFintech
Media releases
Media releases
Sectors:
Topics:
BankWealth ManagerAsset Manager
Two-five-management.com: BaFin warns about website and identity fraud
The German Financial Supervisory Authority (BaFin) warns about offers from the website two-five-management(.)com. According to information available to BaFin, the unknown operators of the website are offering banking services, in particular fixed-term deposits, and financial services without the required authorisation. They give the impression that their offers originate from TwoFive Management GmbH, which is registered with BaFin as an AIF asset management company, Section 2 (4) of the Germa...
Sectors:
Topics:
BankAsset ManagerWealth Manager
White Rock Financial Consultancy Limited: BaFin warns against offers on the website whiterock-financial(.)eu
The Federal Financial Supervisory Authority BaFin warns against offers on the website whiterock-financial(.)eu and against the alleged operator White Rock Financial Consultancy Limited from London, United Kingdom. According to information available to BaFin, the operator is providing financial and investment services without the required authorisation.
Sectors:
Topics:
BankWealth ManagerFintech
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
Sectors:
Topics:
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.
Sectors:
Topics:
BankWealth ManagerAsset Manager
FragFinanz: BaFin warns against offers on website fragfinanz(.)com
The Federal Financial Supervisory Authority BaFin warns against offers on website fragfinanz(.)com. According to information available to BaFin, banking transactions, especially fixed-term deposits, financial or investment services are being provided by FragFinanz without the required authorisation.
Sectors:
Topics:
BankFintechAll Firms
Doherty Bergin Financial Services Ltd (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Doherty Bergin Financial Services Ltd (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
BankWealth Manager
Brookfield Asset Management GmbH: BaFin warns of unauthorized offers allegedly originating and points to identity theft
Alleged employees of Brookfield Asset Management GmbH are contacting investors unsolicited by telephone and email without the necessary permission to offer them alleged fixed-term deposits and alleged pre-IPO shares. In the past, they have also used the website deu-brookfield(.)com, which is no longer accessible. They give the impression that they are cooperating with licensed banks and issuers of pre-IPO shares. This is not the case.
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Global imbalances in a more fragmented world – remarks by Andrew Bailey
Given at the Bellagio Group event, Bank of England
Sectors:
Topics:
BankAsset ManagerWealth Manager
ECB advances climate and nature work after delivering on 2024-2025 plan
No description available.
Sectors:
Topics:
BankAsset ManagerWealth Manager
SFC warns public of suspicious AI-themed investment product offered by Gold Fun and Angel Guardian Alliance Technology
No description available.
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
Grand-ducal Regulation of 23 December 2022 (consolidated version) (Updated)
relating to the fees to be levied by the Commission de Surveillance du Secteur Financier
Sectors:
Topics:
BankAsset ManagerWealth Manager
Commission Implementing Regulation (EU) 2026/124 of 14 January 2026
amending Council Regulation (EU) No 833/2014 concerning restrictive measures in view of Russia’s actions destabilising the situation in Ukraine
Sectors:
Topics:
BankWealth ManagerAsset Manager
Identity theft: BaFin warns against offers on website fidelity-ag(.)com
The Federal Financial Supervisory Authority BaFin warns against offers on the website fidelity-ag(.)com. According to information available to BaFin, banking transactions, especially fixed-term deposits, financial or investment services are being provided on this website without the required authorisation. The fixed-term deposit offers are sent, among others, from the email address festgeld[at]fidelity-ag(.)com. The offers do not originate from the Swiss company Fidelity Treuhand und Verwaltu...
Sectors:
Topics:
BankWealth ManagerFintech
Letter from Rebecca Jackson and Alison Scott – International Banks Supervision: 2026 priorities
Letter to Chief Executive Officers of PRA regulated international banks active in the UK
Sectors:
Topics:
BankWealth Manager
SSM Calendar Claude Wampach – 10/2025
No description available.
Sectors:
Topics:
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.
Sectors:
Topics:
Asset ManagerWealth ManagerInsurance
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.
Sectors:
Topics:
BankWealth ManagerFintech
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
SFC obtains disqualification order against former executive director of National United Resources Holdings Limited
No description available.
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BankWealth ManagerAsset Manager
Driving over the peak, or a false summit? − speech by Alan Taylor
Given at National University of Singapore
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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
FCA highlights good practice and risks in complex ETPs for retail investors
We reviewed how firms sell complex exchange traded products (ETPs) to retail consumers. Complex ETPs are a subset of the wider ETP market and include high-risk investment strategies that can be difficult for retail consumers to understand.We assessed how firms of different sizes and business models evaluate these products, communicate key risks and monitor outcomes under the Consumer Duty.Given the complexity and risk profile of ETPs, it is essential firms make sure investors have the knowled...
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Asset ManagerBroker DealerWealth Manager
Commission Delegated Regulation (EU) 2026/46 of 3 December 2025
amending Delegated Regulation (EU) 2016/1675 to add Russia to the list of high-risk third countries with strategic deficiencies
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BankAsset ManagerWealth Manager
SEC to Host Hybrid Event on Regulation S-P for Small Firms
The Securities and Exchange Commission today announced it will hold its third and final outreach event to help firms comply with amendments to Regulation S-P. The event, which is focused on small firms, is open to in-person or virtual attendance, and is…
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Asset ManagerBroker DealerWealth Manager
FCA obtains £265,523.96 confiscation order against Collateral fraudster Andrew Currie
The FCA has secured a confiscation order of £265,523.96 against Andrew Currie. Mr Currie was convicted in 2023 and sentenced to 2 years 6 months imprisonment for defrauding investors through the collapsed peer-to-peer lending platform Collateral (UK) Ltd.He diverted funds from Collateral investors and used them for personal gain, including the purchase of a property in Spain.At a hearing at Southwark Crown Court on 9 January 2026, Mr Currie was ordered to pay £265,523.96. This amount represen...
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BankWealth ManagerFintech
Finfluencers – Tips for responsible promotion
No description available.
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Asset ManagerWealth ManagerBank
SFC obtains court order to freeze up to $85.2 million of assets belonging to suspect traders of Wan Cheng shares
No description available.
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BankBroker DealerWealth Manager
New DFSA Thematic Review: Conflicts of Interest across DIFC Firms
09 JAN 2026, 09:13 AM New DFSA Thematic Review: Conflicts of Interest across DIFC Firms
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Asset ManagerWealth ManagerBank
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
Pension value to be put under the spotlight
Pension schemes must now publish transparent data on their performance, costs, and service quality, according to new proposals from the FCA, DWP, and TPR. Pension schemes will need to publish clear data on their performance, costs and quality of service, under proposals announced today by the Financial Conduct Authority (FCA), the Department for Work and Pensions (DWP) and The Pensions Regulator (TPR). If a pension offers poor value, firms and trustees must then fix it by moving savers to bet...
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Asset ManagerWealth ManagerInsurance
Alpha Blue Capital und Blue Capital: BaFin warns against offers on the websites bluealphafx(.)com and h5.bluealphasystem(.)net, in the app “BCAAT,” and in WhatsApp groups
In the WhatsApp groups, investors are recommended to invest in financial instruments that can then be traded via the platform h5.bluealphasystem(.)net or the aforementioned app.
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BankWealth ManagerFintech
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
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
Global situation of undertakings for collective investment at the end of November 2025
Press release 26/01
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Asset ManagerWealth 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
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
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
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
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
AMF 2025 Barometer: in search of autonomy, many French people turn to artificial intelligence when they want to invest
Long term investment Shares Artificial intelligence Retail investors Journalists AMF 2025 Barometer: in search of autonomy, many French people turn to artificial intelligence when they want to invest
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Asset ManagerWealth ManagerFintech
FCA stops Verus Financial Services Limited from carrying out regulated activities and tightens asset restrictions
The FCA has removed all regulatory permissions from Verus Financial Services Limited requiring it to stop conducting all regulated activities and imposed a more stringent assets restriction. The action follows concerns that the firm has repeatedly breached an existing asset restriction, which prevented it from selling, transferring or diminishing its assets without our approval. It also failed to comply with a Financial Ombudsman Service decision. We issued a First Supervisory Notice (PDF) on...
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Wealth ManagerBroker DealerAll Firms
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
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
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.
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BankAsset ManagerWealth Manager
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
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
Issue 9 2025
No description available.
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Asset ManagerBankWealth Manager
China All Access former executive jailed for false trading
No description available.
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Broker DealerBankWealth Manager
ESMA reviews impact of Guidelines on ESG or sustainability related terms in fund names
ESMA reviews impact of Guidelines on ESG or sustainability related terms in fund names 17 December 2025 Risk monitoring Sustainable finance The European Securities and Markets Authority (ESMA), the 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
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
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
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
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
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
Aktualisierte Sanktionsmeldung: Sudan
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung (WBF) hat den Anhang 2 der Verordnung vom 25. Mai 2005 über Massnahmen gegenüber Sudan (SR 946.231.18) geändert.
AI Analysis
On December 9, 2025, Switzerland's State Secretariat for Economic Affairs (SECO) updated Annex 2 of the Sudan Sanctions Ordinance (SR 946.231.18), requiring Swiss financial intermediaries to implement changes to their sanctions screening and compliance procedures. This update reflects ongoing international coordination on Sudan sanctions enforcement and requires immediate implementation by all Swiss-regulated financial institutions.
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BankPayment ProviderWealth Manager
Obelisk Wealth - Central Bank of Ireland Issues Warning on Unauthorised Firm
Obelisk Wealth - Central Bank of Ireland Issues Warning on Unauthorised Firm
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BankWealth Manager
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
ECB concludes asset quality review of Raiffeisen-Holding Niederösterreich-Wien
No description available.
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Bank
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
Wealthbayy - Central Bank of Ireland Issues Warning on Unauthorised Firm
Wealthbayy - Central Bank of Ireland Issues Warning on Unauthorised Firm
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BankWealth Manager
Regulators announce plans to support growth of mutuals sector
A raft of new measures designed to support the growth of the mutuals sector have been announced today by the financial regulators. They include a review of credit union regulations and the launch of a Mutual Societies Development Unit by the Financial Conduct Authority (FCA).
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BankWealth ManagerFintech
The evolving landscape of UK financial mutuals: every challenge is an opportunity − speech by Laura Wallis
Given at Bayes Business School for the 6th Research Workshop on The Future of Financial Mutuals
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BankWealth ManagerAll Firms
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
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
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
Other systemically important institutions (O-SII) buffer rates for ring-fenced banks, large domestic banks, and large building societies
The PRA has set the 2025 O-SII buffer rates for ring-fenced banks, large domestic firms, and large building societies
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Bank
2025 list of UK headquartered Globally Systemically Important Institutions (G-SIIs)
The PRA disclosure of UK headquartered G-SIIs for 2025.
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BankWealth ManagerAsset Manager
2025 list of UK firms designated as Other Systemically Important Institutions (O-SIIs)
The PRA has published the list of designated O-SIIs for 2025
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BankWealth ManagerAll Firms
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
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
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
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
DFSA hosts 2025 Annual Outreach for over 500 industry leaders – addressing…
19 NOV 2025, 02:00 PM DFSA hosts 2025 Annual Outreach for over 500 industry leaders – addressing…
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BankWealth ManagerFintech
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
PRA confirms FSCS deposit limit to be increased to £120,000 from 1 December
From the start of December, UK bank customers will benefit from an increase to the maximum amount they would be reimbursed for if their bank were to fail
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BankWealth Manager
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
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
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
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
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
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
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
The SCA and DFSA strengthen regulatory cooperation with Memorandum of…
27 OCT 2025, 10:00 AM The SCA and DFSA strengthen regulatory cooperation with Memorandum of…
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BankBroker DealerWealth Manager
Issue 6 2025
No description available.
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Asset ManagerBankWealth Manager
List of supervised entities - Cut-off date 1 September 2025
No description available.
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BankAsset ManagerWealth Manager
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
UK Islamic Finance and the Alternative Liquidity Facility - slides by Victoria Saporta
Slides by Victoria Saporta
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BankAsset ManagerWealth Manager
Deutsche Bank Wealth Management (CLONE) / Deutsche Bank AG (CLONE) / DB UK Bank Limited (CLONE) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Deutsche Bank Wealth Management (CLONE) / Deutsche Bank AG (CLONE) / DB UK Bank Limited (CLONE) - Central Bank of Ireland Issues Warning on Unauthorised Firm
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BankWealth Manager
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
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
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
Explaining the consumption gap - speech by Catherine L Mann
Given at the Resolution Foundation
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BankWealth ManagerAsset 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
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
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
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
AMF announces resumption of trading in Mexedia shares
Savings protection Warning Retail investors Journalists Listed companies and issuers AMF announces resumption of trading in Mexedia shares
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Broker DealerWealth ManagerAll Firms
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
UBS resolution report
The Swiss Financial Market Supervisory Authority FINMA has identified further progress in UBS’s resolvability and continues to view a resolution as feasible. However, there is a need for greater optionality, which will also require legislative changes. UBS’s emergency plan largely fulfils the current statutory requirements. However, it needs to be better integrated in the resolution plan in the future and thus cannot currently be regarded as executable. As in 2024, FINMA’s review of the recov...
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BankWealth Manager
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
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
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
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
Future Banking Data roundtable with members of UK Finance and the Building Societies Association
On 1 July, the PRA and the Bank of England held a roundtable meeting with representatives of non-systemic UK banks and building societies.
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Bank
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
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BankWealth Manager
Quilter Cheviot Europe Limited (CLONE) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Quilter Cheviot Europe Limited (CLONE) - Central Bank of Ireland Issues Warning on Unauthorised Fir
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Wealth Manager
Barclays Wealth (Clone) – Central Bank of Ireland Issues Warning on Unauthorised Firm
Barclays Wealth (Clone) – Central Bank of Ireland Issues Warning on Unauthorised Firm
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BankWealth Manager
Magnum Options - Central Bank of Ireland Issues Warning on Unauthorised Firm
Magnum Options - Central Bank of Ireland Issues Warning on Unauthorised Firm
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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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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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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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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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Topics:
BankWealth ManagerAsset Manager
TD Global Company (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
TD Global Company (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Wealth ManagerFintech
Ackerman & Foster LLP - Central Bank of Ireland Issues Warning on Unauthorised Firm
Ackerman & Foster LLP - Central Bank of Ireland Issues Warning on Unauthorised Firm
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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
Beta-Tech - Central Bank of Ireland Issues Warning on Unauthorised Firm
Beta-Tech - Central Bank of Ireland Issues Warning on Unauthorised Firm
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Topics:
FintechCrypto Exchange
KPMG Ireland (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
KPMG Ireland (Clone) - Central Bank of Ireland Issues Warning on Unauthorised Firm
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Topics:
BankWealth Manager
VintageFXsignals - Central Bank of Ireland Issues Warning on Unauthorised Firm
VintageFXsignals - Central Bank of Ireland Issues Warning on Unauthorised Firm
Sectors:
Topics:
Wealth ManagerFintech
Aktualisierte Sanktionsmeldung: Lybien
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung der Liste der sanktionierten natürlichen Personen, Unternehmen und Organisationen der Verordnung vom 30. März 2011 über Massnahmen gegenüber Libyen (SR 946.231.149.82) publiziert.
AI Analysis
This FINMA publication announces an update by Switzerland's State Secretariat for Economic Affairs (SECO) to the sanctions list under the Ordinance of 30 March 2011 on Measures against Libya (SR 946.231.149.82), aligning Swiss sanctions with changes in the UN Libya sanctions regime. It matters for Swiss financial institutions as it triggers immediate screening and compliance obligations to avoid violations of asset freeze and related restrictions on designated persons, entities, or organizations. Failure to act promptly risks enforcement by FINMA.
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BankWealth ManagerPayment Provider
Aktualisierte Sanktionsmeldung: Südsudan
Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung des Anhangs 2 der Verordnung vom 12. August 2015 über Massnahmen gegenüber der Republik Südsudan (SR 946.231.169.9) publiziert.
AI Analysis
FINMA has published an update notifying financial intermediaries of changes to Annex 2 of the Ordinance on Measures against the Republic of South Sudan (SR 946.231.169.9), as announced by SECO on August 18, 2025, effective August 20, 2025. This matters because it imposes immediate asset freeze and transaction ban obligations on Swiss financial institutions with exposure to newly or modified sanctioned entities, aligning with UN Security Council Resolution 2206 (2015) and EU measures to address South Sudan's ethnic conflict, human rights violations, and humanitarian crisis. Compliance failure risks enforcement actions under the Embargo Act (EmbG) and AML regulations (GwG).
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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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BankAsset ManagerWealth Manager
Sanktionen: Harmonisierung von Sanktionsverordnungen
No description available.
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BankWealth ManagerAsset Manager
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
Aktualisierte Sanktionsmeldung: Russland
Das Departement für Wirtschaft, Bildung und Forschung (WBF) hat die Erweiterung der Sanktionslisten betreffend Russland publiziert. Die Schweiz hat damit diverse Änderungen übernommen, welche die EU im Rahmen ihres 18. Sanktionspakets beschlossen hatte.
AI Analysis
This FINMA publication announces Switzerland's adoption of the EU's 18th sanctions package against Russia, expanding the sanctions lists with new designations and restrictions via the Swiss State Secretariat for Economic Affairs (SECO/WBF). It matters because Swiss financial institutions must immediately screen and freeze assets of newly listed parties, aligning with heightened FINMA enforcement on Russia sanctions risks amid ongoing geopolitical tensions. Compliance teams face elevated legal, reputational, and secondary sanctions exposure from US/EU measures.
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BankWealth ManagerAll Firms
Supervisory Banking Statistics for significant institutions - First quarter 2025
No description available.
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BankAsset ManagerWealth Manager
Methodological note for the publication of aggregated Supervisory Banking Statistics
No description available.
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BankAsset ManagerWealth Manager
Pecan Capital MG - Central Bank of Ireland Issues Warning on Unauthorised Firm
Pecan Capital MG - Central Bank of Ireland Issues Warning on Unauthorised Firm
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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
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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Bank
Global situation of undertakings for collective investment at the end of June 2025
Press release 25/12
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Asset ManagerWealth Manager
Retail investor activity in equities at its highest since 2020
Shares ETF Retail investor activity in equities at its highest since 2020
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Asset ManagerBroker DealerWealth Manager
The AMF 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
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
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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Topics:
BankWealth ManagerAsset Manager
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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Asset ManagerWealth 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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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
Aktualisierte Sanktionsmeldung: Guatemala
Das Eidgenössische Departement für Wirtschaft, Bildung und Forschung WBF hat eine Änderung des Anhangs der Verordnung über Massnahmen betreffend Guatemala (SR 946.231.137.6) publiziert.
AI Analysis
The Swiss Federal Department of Economic Affairs, Education and Research (WBF) has published an update to Annex 2 of the Ordinance on Measures concerning Guatemala (SR 946.231.137.6), aligning Swiss sanctions with international developments targeting threats to democracy and rule of law in Guatemala. This matters for Swiss financial institutions as it mandates immediate screening and blocking of newly designated persons/entities to prevent sanctions violations, reinforcing Switzerland's commitment to international sanctions regimes amid ongoing geopolitical tensions in Central America. https://www.finma.ch/en/news/2025/06/20250626-sr-946-231-137-6/
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BankWealth ManagerPayment Provider
Rene W. Keller resigns from FINMA’s Board of Directors
At its meeting on 25 June 2025, the Federal Council was informed of the resignation of Rene W. Keller from the Board of Directors of the Swiss Financial Market Supervisory Authority FINMA.
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BankWealth 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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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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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.
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BankWealth ManagerAll Firms
Innovation and regulation - striking the balance - speech by David Bailey
Given at Risk Live Europe
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BankFintechAsset Manager
Picking what matters – speech by Nathanaël Benjamin
Given at the Global Investment Management summit
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Asset ManagerWealth ManagerBank
Learning by doing − speech by Victoria Saporta
Given at Bank of Finland & SUERF Conference, Helsinki
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BankAsset ManagerWealth Manager
Global situation of undertakings for collective investment at the end of April 2025
Press release 25/09
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Asset ManagerWealth Manager
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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BankAsset ManagerWealth Manager
Issue 4 2025
No description available.
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Asset ManagerBankWealth Manager
Women on Boards Directive: the AMF is now the competent authority for analysing and monitoring gender balance among the directors of listed companies
Governance Journalists Listed companies and issuers Women on Boards Directive: the AMF is now the competent authority for analysing and monitoring gender balance among the directors of listed companies
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Asset ManagerWealth ManagerBank
AMF Household Savings Newsletter: financial investment fees continue their downward trend
Fees Shares Collective investments AMF Household Savings Newsletter: financial investment fees continue their downward trend
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Topics:
Asset ManagerWealth ManagerBank
Global situation of undertakings for collective investment at the end of March 2025
Press release 25/07
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Asset ManagerWealth Manager
The AMF applies the joint guidelines issued by the European Supervisory Authorities to facilitate the exchange of information between National Competent Authorities
Cooperation Europe & international The AMF applies the joint guidelines issued by the European Supervisory Authorities to facilitate the exchange of information between National Competent Authorities
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BankAsset ManagerWealth Manager
Fees: the AMF updates its doctrine following the announcement of the abolition of transaction fees in situations of discretionary management
Asset management Individual investment mandate Fees: the AMF updates its doctrine following the announcement of the abolition of transaction fees in situations of discretionary management
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Asset ManagerWealth Manager
Issue 3 2025
No description available.
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Asset ManagerBankWealth Manager
The AMF reminds financial investment advisors of their professional obligations when using financial product listing platforms
Marketing Investment advice The AMF reminds financial investment advisors of their professional obligations when using financial product listing platforms
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Asset ManagerWealth Manager
Issue 2 2025
No description available.
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Topics:
Asset ManagerBankWealth 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
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
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Topics:
Asset ManagerWealth ManagerBank
The AMF calls on the European Commission for an ambitious strategy on the Savings and Investments Union project
Markets Europe & international Other professionals Journalists Investment services providers The AMF calls on the European Commission for an ambitious strategy on the Savings and Investments Union project
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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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Topics:
Asset ManagerWealth ManagerFintech
ETFs: strong growth for retail investors in 2024
Shares ETF ETFs: strong growth for retail investors in 2024
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Asset ManagerWealth ManagerBroker Dealer
Publication of the first study on the performance of unlisted financial asset funds aimed at non-professional clients
Asset management Marketing Publication of the first study on the performance of unlisted financial asset funds aimed at non-professional clients
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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
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 warns the public about the fraudulent Forex investment offering on the LIVAXXEN trading platform
Warning Savings protection Warning Forex and binary options The AMF warns the public about the fraudulent Forex investment offering on the LIVAXXEN trading platform
Sectors:
Topics:
Broker DealerWealth ManagerFintech
The Autorité des Marchés Finances has decided to apply ESMA's Guidelines on funds' names
Sustainable Finance Asset management The Autorité des Marchés Finances has decided to apply ESMA's Guidelines on funds' names
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Asset ManagerWealth Manager
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:
Topics:
Asset ManagerBankWealth Manager
Faced with dense and complex information, the AMF is encouraging financial institutions to continue their efforts to improve the transparency of their Taxonomy reporting
Sustainable Finance Periodic & ongoing disclosures Journalists Listed companies and issuers Faced with dense and complex information, the AMF is encouraging financial institutions to continue their efforts to improve the transparency of their Taxonomy reporting
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Topics:
Asset ManagerBankWealth Manager
Issue 12 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF releases an updated stocktake of French funds equipped with liquidity management tools
Asset management Collective investments The AMF releases an updated stocktake of French funds equipped with liquidity management tools
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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:
Topics:
Asset ManagerBankWealth Manager
Stock market tumbles: still a rare phenomenon on the Paris market
Short selling Equity Stock market tumbles: still a rare phenomenon on the Paris market
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Topics:
Broker DealerAsset ManagerWealth Manager
ETFs win over newcomers as they invest into the stock market
ETF Equity MIFID Executive & other private individuals Professional investors Journalists Listed companies and issuers ETFs win over newcomers as they invest into the stock market
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Asset ManagerWealth ManagerBroker Dealer
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.
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Topics:
Asset ManagerBankWealth Manager
Issue 9 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
In Q3 2024, for the first time, new ETF investors outnumbered new equity investors
Shares ETF Investment services In Q3 2024, for the first time, new ETF investors outnumbered new equity investors
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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 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
Issue 8 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
Issue 7 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF publishes its 2023 CSR Report
AMF activity Institutional The AMF publishes its 2023 CSR Report
Sectors:
Topics:
Asset ManagerBankWealth Manager
The activity of retail investors active in equities and ETFs increased further in Q2 2024
Shares ETF Collective investments Long term investment The activity of retail investors active in equities and ETFs increased further in Q2 2024
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
Notification forms for the cross-border exercise of the activities of passemanagement companies, and the marketing of UCITS and AIFs: the AMF updates its doctrine
Asset management Notification forms for the cross-border exercise of the activities of passemanagement companies, and the marketing of UCITS and AIFs: the AMF updates its doctrine
Sectors:
Topics:
Asset ManagerWealth Manager
The 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
Sectors:
Topics:
Asset ManagerWealth ManagerAll Firms
The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Warning Savings protection Miscellaneous assets Warning The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
AMF launches its "innovation workshops"
Innovation Artificial intelligence AMF launches its "innovation workshops"
Sectors:
Topics:
BankAsset ManagerFintech
The AMF has published a summary of its SPOT inspections of financial management delegation arrangements at asset management companies
Supervision Asset management Journalists Investment management companies The AMF has published a summary of its SPOT inspections of financial management delegation arrangements at asset management companies
Sectors:
Topics:
Asset Manager
AMF Enforcement Committee fines a financial investment advisor and its director for breaches of their professional obligations
Sanctions & settlements professional obligations Other professionals Journalists AMF Enforcement Committee fines a financial investment advisor and its director for breaches of their professional obligations
AI Analysis
The AMF Enforcement Committee has issued multiple enforcement decisions against financial investment advisors and their management for breaches of professional obligations, with the most recent and significant case involving Carat GP and its directors receiving combined fines of €2.5 million and permanent/extended bans from operating as financial investment advisors. These cases establish critical precedent regarding advisor duties around client disclosure, product authorization, conflict of interest management, and honest/fair conduct—requirements that apply across the entire financial investment advisory sector.
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
Issue 6 2024
No description available.
Sectors:
Topics:
BankWealth ManagerAsset Manager
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
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
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
Sectors:
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.
Sectors:
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
Less expensive investment funds for savers in 2023 according to the AMF's Household Savings Newsletter
Fees Collective investments Shares ETF Less expensive investment funds for savers in 2023 according to the AMF's Household Savings Newsletter
Sectors:
Topics:
Asset ManagerWealth ManagerBank
ROSA Extranet: changes to authorisation and declaration processes for collective investments
Asset management ROSA Extranet: changes to authorisation and declaration processes for collective investments
Sectors:
Topics:
Asset ManagerWealth Manager
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
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
Combatting money laundering and terrorist financing: AMF applies two sets of European Banking Authority guidelines
Asset management Anti-money Laundering Combatting money laundering and terrorist financing: AMF applies two sets of European Banking Authority guidelines
Sectors:
Topics:
Asset ManagerBankWealth Manager
Issue 3 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
Issue 2 2024
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
AMF calls on investment services providers to take account of the specific nature of temporary ownership dismemberment when marketing SCPI units
Supervision Marketing MIFID Journalists Investment services providers Investment management companies AMF calls on investment services providers to take account of the specific nature of temporary ownership dismemberment when marketing SCPI units
Sectors:
Topics:
Asset ManagerWealth Manager
Definition of investment advice: AMF updates its doctrine
Investment advice Asset management Definition of investment advice: AMF updates its doctrine
Sectors:
Topics:
Asset ManagerWealth Manager
Issue 1 2024
No description available.
Sectors:
Topics:
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
Sectors:
Topics:
Asset ManagerWealth Manager
Consequences from 2024 of the transposition of the CSRD for large listed companies
Periodic & ongoing disclosures Sustainable Finance Consequences from 2024 of the transposition of the CSRD for large listed companies
Sectors:
Topics:
Asset ManagerBankWealth Manager
AMF encourages investment services providers to strengthen their procedures for handling client complaints
Supervision Investment services Journalists Investment services providers AMF encourages investment services providers to strengthen their procedures for handling client complaints
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
The AMF reminds investment firms of the rules for identifying retail investors when reporting transactions
Innovation MIFID The AMF reminds investment firms of the rules for identifying retail investors when reporting transactions
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
Astrid Milsan will act as Secretary General of the AMF until 15 April 2024
AMF activity Institutional Journalists Astrid Milsan will act as Secretary General of the AMF until 15 April 2024
Deadline: 15 April 2024
Sectors:
Topics:
BankAsset ManagerWealth Manager
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
Sectors:
Topics:
BankWealth ManagerFintech
The AMF Enforcement Committee fines seven people, four for price manipulation and three for failing to comply with reporting obligations
Sanctions & settlements Disclosure Obligations Journalists Listed companies and issuers The AMF Enforcement Committee fines seven people, four for price manipulation and three for failing to comply with reporting obligations
Sectors:
Topics:
Broker DealerWealth Manager
Entry into force of the revised European Long-Term Investment Fund Regulation (ELTIF 2) - AMF clarifies fund authorisation requirements
Asset management Entry into force of the revised European Long-Term Investment Fund Regulation (ELTIF 2) - AMF clarifies fund authorisation requirements
Sectors:
Topics:
Asset ManagerWealth Manager
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.
Sectors:
Topics:
Wealth ManagerBroker DealerAsset Manager
The Autorité des marchés financiers (AMF) is warning professionals about the extensive fraudulent and malicious use of its name, with links to various websites that could trick people into running a malicious computer program
Warning Identity theft Savings protection Warning The Autorité des marchés financiers (AMF) is warning professionals about the extensive fraudulent and malicious use of its name, with links to various websites that could trick people into running a malicious computer program
Sectors:
Topics:
BankWealth ManagerFintech
The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Warning Savings protection Miscellaneous assets Warning The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
Equity investment: intentions on the rise again, driven by young people
Long term investment Collective investments Shares Retail investors Journalists Equity investment: intentions on the rise again, driven by young people
Sectors:
Topics:
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.
Sectors:
Topics:
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
Sectors:
Topics:
Asset Manager
The AMF updates its policy on disclosures by collective investment schemes incorporating non-financial methods
Asset management UCIT Collective investments The AMF updates its policy on disclosures by collective investment schemes incorporating non-financial methods
Sectors:
Topics:
Asset ManagerWealth ManagerAll Firms
Requirements for investment committees and the affiliation of fund managers of asset management companies: the AMF updates its policy
Asset management Requirements for investment committees and the affiliation of fund managers of asset management companies: the AMF updates its policy
Sectors:
Topics:
Asset Manager
AMF proposes enhanced investor information when evaluating boards of listed companies
Governance Periodic & ongoing disclosures Journalists Listed companies and issuers AMF proposes enhanced investor information when evaluating boards of listed companies
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Issue 10 2023
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
Gamification tends to increase investment risk-taking, according to behavioural finance experiment conducted for the AMF
Long term investment Risk and Trend Mapping Retail investors Professional investors Journalists Investment management companies Listed companies and issuers Gamification tends to increase investment risk-taking, according to behavioural...
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
An OECD study for the AMF profiles new French retail investors
Long term investment Equity Journalists Investment services providers Investment management companies Listed companies and issuers An OECD study for the AMF profiles new French retail investors
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
The ACPR and AMF encourage financial institutions to continue their efforts to take account of the vulnerability of ageing clients
Marketing Savings protection Retail investors Professional investors Journalists The ACPR and AMF encourage financial institutions to continue their efforts to take account of the vulnerability of ageing clients
Sectors:
Topics:
BankWealth ManagerAll Firms
Issue 9 2023
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
Regulatory reporting by asset management companies: the AMF calls for greater diligence
Supervision Asset management Compliance Journalists Investment management companies Regulatory reporting by asset management companies: the AMF calls for greater diligence
Sectors:
Topics:
Asset Manager
AMF Chair Marie-Anne Barbat-Layani meets with ASIC Chair Joseph Longo
Cooperation AMF Chair Marie-Anne Barbat-Layani meets with ASIC Chair Joseph Longo
Sectors:
Topics:
BankWealth ManagerAll Firms
The AMF ensures that retail investors are properly informed on fees of financial products
Fees Savings protection Other professionals Retail investors Journalists Investment services providers The AMF ensures that retail investors are properly informed on fees of financial products
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Issue 8 2023
No description available.
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Warning Warning Savings protection Miscellaneous assets The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
Regime applicable to financial investment advisers: update of Position-Recommendation DOC-2006-23
Asset management Investment advice Regime applicable to financial investment advisers: update of Position-Recommendation DOC-2006-23
Sectors:
Topics:
Asset ManagerWealth Manager
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.
Sectors:
Topics:
Wealth ManagerAll Firms
Investment service: amendment of the French definition of reception and transmission of orders
Investment services Investment service: amendment of the French definition of reception and transmission of orders
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
The AMF pays tribute to Jacques Delmas-Marsalet
Institutional AMF activity Journalists The AMF pays tribute to Jacques Delmas-Marsalet
Sectors:
Topics:
BankWealth ManagerAsset Manager
The AMF updates its policy on the information to be provided by collective investment schemes incorporating non-financial approaches
Collective investments Asset management The AMF updates its policy on the information to be provided by collective investment schemes incorporating non-financial approaches
Sectors:
Topics:
Asset ManagerWealth Manager
Anti-money laundering and combating the financing of terrorism: the AMF applies the guidelines of the European Banking Authority
Anti-money Laundering Asset management Anti-money laundering and combating the financing of terrorism: the AMF applies the guidelines of the European Banking Authority
Sectors:
Topics:
Asset ManagerBankWealth Manager
Central 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
Sectors:
Topics:
Asset ManagerBroker DealerBank
Close to 40% of new equity investors are under 35
Long term investment Equity Retail investors Journalists Close to 40% of new equity investors are under 35
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
The AMF updates its instructions on AMF certification and the sustainable finance module
Professional certification Sustainable Finance The AMF updates its instructions on AMF certification and the sustainable finance module
Sectors:
Topics:
Asset ManagerWealth ManagerAll Firms
Sustainable investment: growing interest among French people, especially the youngest
Long term investment Sustainable Finance Collective investments Retail investors Journalists Sustainable investment: growing interest among French people, especially the youngest
Sectors:
Topics:
Asset ManagerWealth ManagerAll Firms
The AMF reinforces the visibility of its blacklists through Open Data
Innovation Savings protection AMF activity The AMF reinforces the visibility of its blacklists through Open Data
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF warns the public against companies proposing atypical investments without being authorised to do so
Warning Warning Savings protection Miscellaneous assets The AMF warns the public against companies proposing atypical investments without being authorised to do so
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
The AMF examines the systems for valuation of the less liquid assets of UCITS and AIFs
Supervision Asset management Journalists Investment management companies The AMF examines the systems for valuation of the less liquid assets of UCITS and AIFs
Sectors:
Topics:
Asset ManagerWealth Manager
Impact 2027: six main strategic guidelines for 2023-2027
Annual report Institutional Strategy AMF activity Retail investors Post-trade Infrastructures Journalists Investment management companies Listed companies and issuers Impact 2027: six main strategic guidelines for...
Sectors:
Topics:
Asset ManagerWealth ManagerBank
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.
Sectors:
Topics:
Broker DealerWealth ManagerBank
Employee savings funds: the AMF amends its policy on the simplified integration of liquidity management tools
Asset management Employee savings funds: the AMF amends its policy on the simplified integration of liquidity management tools
Sectors:
Topics:
Asset ManagerWealth Manager
The AMF publishes a summary on the internal processes that aim to ensure compliance with non-financial contractual commitments by asset management companies of ESG/SRI funds
Supervision Asset management Sustainable Finance Journalists Investment management companies The AMF publishes a summary on the internal processes that aim to ensure compliance with non-financial contractual commitments by asset management companies of ESG/SRI funds
Sectors:
Topics:
Asset Manager
The AMF Ombudsman publishes her 2022 Annual Report
Mediation Annual report Retail investors Journalists Investment services providers Investment management companies Listed companies and issuers The AMF Ombudsman publishes her 2022 Annual Report
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
Reporting under Article 29 of the Energy-Climate Law: the AMF updates its policy on how to prepare and submit reports
Asset management Sustainable Finance Organisational rules Reporting under Article 29 of the Energy-Climate Law: the AMF updates its policy on how to prepare and submit reports
Sectors:
Topics:
Asset ManagerWealth Manager
Equity savings plans : the AMF working group proposes avenues for improvement
Savings protection Equity Savings Plan Shares Long term investment Retail investors Journalists Investment services providers Listed companies and issuers Equity savings plans : the AMF working group proposes avenues for...
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
Provision of market data: the AMF conducts a series of SPOT inspections and identifies shortcomings in compliance with requirements
Supervision MIFID Financial services providers Other professionals Journalists Investment services providers Provision of market data: the AMF conducts a series of SPOT inspections and identifies shortcomings in compliance with requirements
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
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.
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
Employee savings: a sharp increase in awareness and ownership of employee savings schemes; support for employees and company managers should be reinforced
Employee savings scheme Long term investment Collective investments Retail investors Professional investors Journalists Employee savings: a sharp increase in awareness and ownership of employee savings schemes; support for employees and company managers...
Sectors:
Topics:
Asset ManagerWealth ManagerAll Firms
The AMF has produced the standard profile of active investors in 2022
Long term investment Equity Retail investors Professional investors Journalists The AMF has produced the standard profile of active investors in 2022
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
Publication by the Climate and Sustainable Finance Commission: climate resolutions
Sustainable Finance Publication by the Climate and Sustainable Finance Commission: climate resolutions
Sectors:
Topics:
Asset ManagerBankWealth Manager
Mystery shopping campaign to bank branches: progress made in the questioning to client, improvements needed in the information provided
MIFID Supervision Retail investors Journalists Mystery shopping campaign to bank branches: progress made in the questioning to client, improvements needed in the information provided
Sectors:
Topics:
BankWealth Manager
The AMF warns the public about fraudulent investment offers through trading robots
Warning Warning Savings protection Forex and binary options The AMF warns the public about fraudulent investment offers through trading robots
Sectors:
Topics:
Broker DealerWealth ManagerFintech
Contributions payable to the AMF: a new complaints form for a more effective follow-up
AMF activity Asset management Contributions payable to the AMF: a new complaints form for a more effective follow-up
Sectors:
Topics:
Asset ManagerWealth Manager
AI enthusiasts, the AMF challenges you
Innovation Markets AI enthusiasts, the AMF challenges you
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
Anti-money laundering and combating the financing of terrorism: the AMF applies the guidelines of the European Banking Authority
Asset management Anti-money Laundering Anti-money laundering and combating the financing of terrorism: the AMF applies the guidelines of the European Banking Authority
Sectors:
Topics:
Asset ManagerBankWealth Manager
Money Laundering and Terrorist Financing: update of the COLB’s National Risk Assessment
Asset management Anti-money Laundering Money Laundering and Terrorist Financing: update of the COLB’s National Risk Assessment
Sectors:
Topics:
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.
Sectors:
Topics:
Wealth ManagerAll Firms
Extension of the preparation of a Key Information Document to all collective investments: the AMF updates its policy
Asset management Extension of the preparation of a Key Information Document to all collective investments: the AMF updates its policy
Sectors:
Topics:
Asset ManagerWealth Manager
The Sustainable Finance Disclosure Regulation: the AMF proposes a targeted review to include minimum environmental criteria
Financial products Sustainable Finance Asset management Journalists Investment management companies The Sustainable Finance Disclosure Regulation: the AMF proposes a targeted review to include minimum environmental criteria
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Taxonomy Article 8 reporting: publication of Frequently Asked Questions by the European Commission
Sustainable Finance Periodic & ongoing disclosures Taxonomy Article 8 reporting: publication of Frequently Asked Questions by the European Commission
Sectors:
Topics:
Asset ManagerWealth ManagerAll Firms
Marketing of financial products to ageing populations: publication of an independent academic research report on customer relations and sales processes
Savings protection Marketing Marketing of financial products to ageing populations: publication of an independent academic research report on customer relations and sales processes
Sectors:
Topics:
Asset ManagerWealth ManagerBank
Over 1.5 million retail investors bought or sold shares in 2022
Long term investment Equity Equity Savings Plan Retail investors Journalists Investment services providers Investment management companies Listed companies and issuers Over 1.5 million retail investors bought or sold shares in...
Sectors:
Topics:
Asset ManagerBroker DealerWealth Manager
The AMF warns the public about calls from fraudsters claiming to help recover funds
Warning Warning Savings protection The AMF warns the public about calls from fraudsters claiming to help recover funds
Sectors:
Topics:
BankWealth Manager
The AMF warns the public against certain platforms proposing investments in real estate as "royalties"
Warning Warning Savings protection The AMF warns the public against certain platforms proposing investments in real estate as "royalties"
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Warning Savings protection Miscellaneous assets Warning The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Sectors:
Topics:
Asset ManagerWealth ManagerFintech
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.
Sectors:
Topics:
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
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF renews its consultative commissions and the Climate and Sustainable Finance Commission
Institutional AMF activity Executive & other private individuals Retail investors Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers ...
Sectors:
Topics:
Asset ManagerWealth ManagerAll Firms
The AMF’s latest savings barometer finds that the French are a little less inclined to invest in the stock market
Long term investment Shares Collective investments Retail investors Journalists The AMF’s latest savings barometer finds that the French are a little less inclined to invest in the stock market
Sectors:
Topics:
Asset ManagerWealth ManagerBroker Dealer
Social and environmental responsibility, the focus of the AMF's 2022 report on corporate governance and executive compensation of listed companies
Governance Sustainable Finance Executive & other private individuals Journalists Listed companies and issuers Social and environmental responsibility, the focus of the AMF's 2022 report on corporate governance and executive compensation of listed companies
Sectors:
Topics:
Asset ManagerBankWealth Manager
The AMF is supplementing its policy on liquidity management tools
Asset management The AMF is supplementing its policy on liquidity management tools
Sectors:
Topics:
Asset ManagerWealth Manager
The AMF warns the public about fraudulent offers to invest in the energy transition
Warning Savings protection Warning The AMF warns the public about fraudulent offers to invest in the energy transition
Sectors:
Topics:
Asset ManagerWealth ManagerBank
The AMF Enforcement Committee fines a financial investment advisor and its manager for breaches of their professional obligations
Sanctions & settlements Investment advice Other professionals Journalists Investment services providers The AMF Enforcement Committee fines a financial investment advisor and its manager for breaches of their professional obligations
AI Analysis
The AMF Enforcement Committee sanctioned financial investment advisor DCT (formerly Didier Maurin Finance) and its manager Didier Maurin with a five-year ban from practicing and fines of €150,000 and €200,000 respectively for recommending unauthorized Samoan AIF shares to 64 clients and failing to identify/manage conflicts of interest, including lacking a conflicts register. This decision, upheld by the Conseil d'Etat on 9 September 2024, underscores AMF's strict enforcement of client-best-interest and conflicts obligations under French regulations. It matters as it provides binding guidance on due diligence for product marketing authorization and conflicts procedures, signaling heightened scrutiny on financial investment advisors (FIAs).
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Wealth ManagerAll Firms
The AMF issues a request for candidates for its consultative commissions
Institutional AMF activity Executive & other private individuals Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers Investment management companies ...
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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 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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Topics:
BankWealth ManagerFintech
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 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
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
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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BankWealth ManagerAsset 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
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Asset ManagerWealth ManagerFintech
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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Asset ManagerWealth Manager
The AMF and the ACPR warn the public against unauthorised Forex trading offers from Omega Pro Ltd
Warning Savings protection Forex and binary options Warning The AMF and the ACPR warn the public against unauthorised Forex trading offers from Omega Pro Ltd
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Broker DealerWealth ManagerFintech
War in Ukraine: the AMF alerts asset management companies
Asset management War in Ukraine: the AMF alerts asset management companies
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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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Wealth ManagerAsset ManagerAll Firms
Appointments in the Investigations Directorate and the Asset Management Directorate
Appointment AMF activity Other professionals Executive & other private individuals Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers Investment management...
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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
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 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
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 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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Asset ManagerWealth 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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Asset ManagerWealth ManagerBank
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
The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
Warning Savings protection Miscellaneous assets Warning The AMF is warning the public against several companies proposing atypical investments without being authorised to do so
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Topics:
Asset ManagerWealth ManagerFintech
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
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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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BankWealth Manager
The AMF and the Banque de France publish an update of the inventory of liquidity management tools in French funds
Asset management Prospectus The AMF and the Banque de France publish an update of the inventory of liquidity management tools in French funds
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Asset ManagerBankWealth Manager
Responsible finance: the AMF draws an overview of communications practices abroad
Sustainable Finance Savings protection Collective investments Responsible finance: the AMF draws an overview of communications practices abroad
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Asset ManagerWealth ManagerAll Firms
Certification in sustainable finance: the AMF names the first certified training organisations
Professional certification Sustainable Finance Certification in sustainable finance: the AMF names the first certified training organisations
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Asset ManagerWealth ManagerBank
Marketing communications under the Regulation on cross-border distribution of funds : the AMF complies with ESMA’s Guidelines
Asset management Marketing communications under the Regulation on cross-border distribution of funds : the AMF complies with ESMA’s Guidelines
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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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BankAsset ManagerWealth Manager
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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Asset ManagerWealth ManagerBank
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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Asset ManagerWealth Manager
The AMF urges retail investors to exercise extreme caution towards proposals to invest in rooms in care homes
Warning Savings protection Financial Scams Warning The AMF urges retail investors to exercise extreme caution towards proposals to invest in rooms in care homes
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Asset ManagerWealth ManagerAll Firms
The AMF is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Savings protection Miscellaneous assets Warning The AMF is warning the public against several companies proposing atypical investments without being authorized to do so
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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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Asset ManagerWealth Manager
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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Asset ManagerWealth ManagerBank
Application Form – Third country auditors and audit entities
No description available.
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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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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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Asset ManagerWealth ManagerBank
The AMF warns the public against Vuelex
Warning Savings protection The AMF warns the public against Vuelex
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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
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Asset ManagerWealth ManagerBroker Dealer
List of notifications received
No description available.
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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
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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
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Asset ManagerWealth ManagerBank
The AMF urges investors to exercise extreme caution towards proposals to invest in car parks
Warning Savings protection The AMF urges investors to exercise extreme caution towards proposals to invest in car parks
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Asset ManagerWealth ManagerBank
The AMF is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Savings protection The AMF is warning the public against several companies proposing atypical investments without being authorized to do so
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Asset ManagerWealth ManagerFintech
The AMF and the ACPR warn the public of the risks of scams in the context of the coronavirus epidemic
Warning Covid-19 Savings protection Financial Scams The AMF and the ACPR warn the public of the risks of scams in the context of the coronavirus epidemic
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BankWealth ManagerAll Firms
The Autorité des Marchés Financiers is calling on retail investors to exercise utmost vigilance with regard to whisky investment offers
Warning Savings protection The Autorité des Marchés Financiers is calling on retail investors to exercise utmost vigilance with regard to whisky investment offers
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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
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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 or proposing online investment services in France for deriv...
Warning Savings protection Crypto-assets Derivatives or structured products Forex and binary options Warning The Autorité des Marchés Financiers and the Autorité de Contrôle Prudentiel et de Résolution warn the public against the activities of several websites...
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BankBroker 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 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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BankWealth ManagerFintech
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"
Sectors:
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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 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 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
Sectors:
Topics:
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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Broker DealerWealth ManagerFintech
The Autorité des marchés financiers (AMF) is warning the public against the website www.porto-immo.com
Warning Savings protection The Autorité des marchés financiers (AMF) is warning the public against the website www.porto-immo.com
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BankWealth Manager
The Autorité des marchés financiers (AMF) is warning the public against the website www.parel-gestion.net
Warning Savings protection The Autorité des marchés financiers (AMF) is warning the public against the website www.parel-gestion.net
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Asset ManagerWealth ManagerBank
The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Savings protection Atypical products Warning The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
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Asset ManagerWealth ManagerFintech
The Autorité des marchés financiers (AMF) 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/
Sectors:
Topics:
BankWealth 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
Sectors:
Topics:
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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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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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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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 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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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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The Autorité des marchés financiers (AMF) is warning the public against the activities of the website https://epargne-eco.fr/
Warning Savings protection The Autorité des marchés financiers (AMF) is warning the public against the activities of the website https://epargne-eco.fr/
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The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
Warning Savings protection Atypical products Warning The Autorité des marchés financiers (AMF) is warning the public against several companies proposing atypical investments without being authorized to do so
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The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de résolution (ACPR) are warning the public against the activities of bil patrimoine and the website
Warning Savings protection Warning The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de résolution (ACPR) are warning the public against the activities of bil patrimoine and the website www.bil-gestionpatrimoine.com proposing investment services and savings...
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The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering diamond investments
Warning Savings protection Warning The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering diamond investments
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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 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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The AMF issues a warning about the website https://crowd-partners.com/
Warning Savings protection The AMF issues a warning about the website https://crowd-partners.com/
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The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
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The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering diamond investments
Warning Savings protection Miscellaneous assets Warning The Autorité des marchés financiers (AMF) issues a public warning against the activities of unauthorized websites offering diamond investments
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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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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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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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The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
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The Autorité des marchés financiers warns once again the public about proposals to invest in diamonds
Warning Savings protection The Autorité des marchés financiers warns once again the public about proposals to invest in diamonds
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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) 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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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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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
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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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The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
Warning Savings protection Forex and binary options Warning The Autorité des marchés financiers and the Autorité de contrôle prudentiel et de résolution warn the public against the activities of several websites and entities proposing forex investments without being authorised to do so
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The Autorité des marchés financiers (AMF) issues a public warning 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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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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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 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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AMF warns investors about MTL Index
Warning Savings protection AMF warns investors about MTL Index
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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 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 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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AMF urges caution when investing in SCPI shares under the Malraux and Real Estate Loss regimes
Warning Savings protection AMF urges caution when investing in SCPI shares under the Malraux and Real Estate Loss regimes
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The Autorité des Marchés Financiers (AMF) warns about persons using its name and logo and impersonating the Ombudsman and her deputy
Warning Savings protection The Autorité des Marchés Financiers (AMF) warns about persons using its name and logo and impersonating the Ombudsman and her deputy
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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) issues a public warning against the activities of 14 unauthorised websites and operators
Warning Savings protection The Autorité des Marchés Financiers (AMF) issues a public warning against the activities of 14 unauthorised websites and operators
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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 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 French Prudential Supervisory Authority and the Autorité des Marchés Financiers warns the public against the company EMIRATES PACIFIC GROUP
Warning Savings protection Warning The French Prudential Supervisory Authority and the Autorité des Marchés Financiers warns the public against the company EMIRATES PACIFIC GROUP
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The Autorité des Marchés Financiers (AMF) warns the public against the company GET EASY
Warning Savings protection The Autorité des Marchés Financiers (AMF) warns the public against the company GET EASY
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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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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 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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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) warns the public about the activities of individuals claiming to work for the AMF
Warning Savings protection Warning The Autorité des Marchés Financiers (AMF) warns the public about the activities of individuals claiming to work for the AMF
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BankWealth ManagerAll Firms
The Autorité des Marchés Financiers and the Autorité de Contrôle Prudentiel et de Résolution warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so.
Warning Savings protection Forex and binary options Warning The Autorité des Marchés Financiers and the Autorité de Contrôle Prudentiel et de Résolution warn the public against the activities of several websites and entities proposing Forex investments without being authorised to do so.
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The Autorité des Marchés Financiers warns 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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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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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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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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