The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Hong Kong (Securities and Futures Commission – SFC), Malta (Malta Financial Services Authority – MFSA), British Columbia ... Read More
The Securities and Exchange Commission (SEC) has issued an announcement to inform that Ameriprise Financial Services Inc. will pay $4.5 million to settle charges. The Reason According to SEC’s ... Read More
BaFin, the financial supervisor for the banking, securities and insurance sectors in Germany, and one of the largest financial supervisory authorities in Europe, has issued an announcement to warn ... Read More
The Cyprus Securities and Exchange Commission (CySEC) has issued an announcement to draw the attention of all Market Participants to the Public Statement issued by the European Securities and ... Read More
The Cyprus Securities and Exchange Commission (CySEC), the independent public supervisory Authority responsible for the supervision of the investment services market in Cyprus, has issued an announcement to inform that ... Read More
The Financial Conduct Authority (FCA) has, in collaboration with 11 financial regulators and related organisations, announced the creation of the Global Financial Innovation Network (GFIN), building on the FCA’s ... Read More
The Securities and Exchange Commission (SEC) announced that it has updated its list of unregistered firms that use misleading information to primarily solicit non-U.S. investors, adding 16 soliciting entities, ... Read More
The International Organization of Securities Commissions (IOSCO), the leading international policy forum for securities regulators that is recognized as the global standard setter for securities regulation, has issued an ... Read More
The European Securities and Markets Authority (ESMA) has published data for the systemic internaliser calculations for equity, equity-like instruments and bonds under the Markets in Financial Instruments Directive (MiFID ... Read More
Financial Regulators around the world issued warnings to inform investors and public for companies and websites that are offering investment, financial and insurance services without the required authorisation. The ... Read More
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