At the 44th Annual International Organization of Securities Commissions (IOSCO) Conference in Sydney, Australia, the Chairmen of the U.S. Securities and Exchange Commission and the U.S. Commodity Futures Trading Commission (CFTC) participated in a signing ceremony on May 15 for the IOSCO Enhanced Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of […]
Discours de Robert Ophèle, président de l’AMF – Conférence du Crédit Agricole CIB et SEB – « Implementing the French-Swedish partnership for innovation and green solutions » – Paris – 20 mai 2019 (en anglais uniquement)
SEEING THROUGH THE GREEN LABEL Madame l’Ambassadrice, Monsieur le Commissaire général au développement durable, cher Xavier Musca, ladies and gentlemen, It is an honor and a pleasure to say a few words at the beginning of today’s event. France and Sweden share many values and our two countries have engaged in relentless efforts to make […]
Capital Tech Limited t/a PBN Capital
Almost all firms and individuals offering, promoting or selling financial services or products in the UK have to be authorised by us. However, some firms act without our authorisation and some knowingly run investment scams. This firm is not authorised by us and is targeting people in the UK. Based upon information we hold, we […]
Transcript of Director General, Derville Rowland interview with Siobhan Riding, FTfm
20 May 2019 Interview Siobhan Riding: First of all, I wanted to ask about your new role as the Head of the Financial Conduct pillar. And that’s more or less a year old now, isn’t it? Derville Rowland: It is, actually. Where will I start? I took up the […]
hksvf (clone of authorised firm)
Almost all firms and individuals carrying out financial services activities in the UK have to be authorised or registered by us. This firm is not authorised or registered by us but has been targeting people in the UK, claiming to be an authorised firm. This is what we call a ‘clone firm’; and fraudsters usually […]
Treasury Consulting Group
Almost all firms and individuals offering, promoting or selling financial services or products in the UK have to be authorised by us. However, some firms act without our authorisation and some knowingly run investment scams. This firm is not authorised by us and is targeting people in the UK. Based upon information we hold, we […]
ESMA publishes translations for Guidelines on the application of the endorsement regime for CRAs
20 May 2019 Credit Rating Agencies Guidelines and Technical standards The European Securities and Markets Authority (ESMA) has issued today the official translations of its Guidelines on the application of the endorsement regime under Article 4(3) of the Credit Rating Agencies Regulation. Original Article Here
Guidelines on the application of the endorsement regime for CRAs
Download PDF Original Article Here
“Financial services enforcement: past, present and future” – Seana Cunningham, Director of Enforcement and Anti-Money Laundering
17 May 2019 Speech Remarks delivered at the Professional, Regulatory & Disciplinary Bar Association’s Annual Conference 2019 Good afternoon, I am delighted to have the opportunity today to speak with members of the Professional, Regulatory & Disciplinary Bar Association. Organisations such as yours play a crucial role in disseminating […]
Stanford Capital Markets
Almost all firms and individuals offering, promoting or selling financial services or products in the UK have to be authorised by us. However, some firms act without our authorisation and some knowingly run investment scams. This firm is not authorised by us and is targeting people in the UK. Based upon information we hold, we […]