ESAs launch joint consultation on second batch of policy mandates under the Digital Operational Resilience Act 08 December 2023 Digital Finance and Innovation Joint Committee The European Supervisory Authorities (EBA, EIOPA and ESMA – the ESAs) launched today a public consultation on the second batch of policy mandates under the Digital Operational Resilience Act (DORA). […]
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Yr FCA sy’n gosod rheolau newydd i gynnal mynediad at arian parod mewn byd cynyddol ddigidol
Mae’r Awdurdod Ymddygiad Ariannol (FCA) wedi cynnig rheolau newydd i gynnal mynediad rhesymol i arian parod ar gyfer cwsmeriaid personol a busnes ledled y DU. Mae hyn yn dilyn pwerau newydd a roddwyd i’r FCA gan Ddeddf Gwasanaethau a Marchnadoedd Ariannol 2023. O dan gynigion yr FCA, bydd angen i fanciau a chymdeithasau adeiladu dynodedig […]
Greater support for people’s financial decisions, under regulator and government proposals
More people could access advice or support to help make their money work harder under proposals set out today by the Financial Conduct Authority (FCA) and the Government. The potential options aim to help more people benefit from investment opportunities, provide for later life, save for major expenses or tidy up their finances. The FCA […]
Daniel R. Gregus, Director of the Chicago Regional Office, to Depart the SEC
The Securities and Exchange Commission today announced that Daniel R. Gregus, Director of the Chicago Regional Office, will leave the agency at the end of December after more than 30 years of service. Vanessa Horton and Kathryn Pyszka will become Acting… Original Article
Central Bank of Ireland Issues Warning on Unauthorised Firm – Kennedy Loan Group (CLONE)
Warning: Unauthorised Retail Credit Firm Unauthorised Firm Name Kennedy Loan Group (CLONE) Website https://www.kennedyloangroup.com/ Email address(es) used [email protected] Note: The firm’s also operates via Telegram under the username loanteam1 Phone number(s) used 0833231347 Authorisation in Ireland This firm is not authorised to provide retail credit services or any other financial services in Ireland. Additional information […]
Central Bank of Ireland Issues Warning on Unauthorised Firm – Vantage Global Funds ICAV (CLONE)
Warning: Unauthorised Investment Firm / Investment Business Firm / Irish Collective Asset-Management Vehicle Unauthorised Firm Name Vantage Global Funds ICAV (CLONE) Website www.vantageglobalfundsicav.com Email address(es) used [email protected] Phone number(s) used +353 412150022 Authorisation in Ireland This firm is not authorised to provide investment services or any other financial services in Ireland. Additional information The firm […]
Central Bank of Ireland Issues Warning on Unauthorised Firm – Custom House Capital Limited (CLONE)
Warning: Unauthorised Investment Firm/Investment Business Firm Unauthorised Firm Name Custom House Capital Limited (CLONE) Website www.customhousecl.com Email address(es) used [email protected] Phone number(s) used None identified Authorisation in Ireland This firm is not authorised to provide investment services or any other financial services in Ireland. Additional information The firm cloned the details and has been seeking […]
Central Bank of Ireland Issues Warning on Unauthorised Firm – DWS Invest (IE) ICAV (CLONE)
Warning: Unauthorised Investment Firm / Investment Business Firm / Irish Collective Asset-Management Vehicle Unauthorised Firm Name DWS Invest (IE) ICAV (CLONE) Website None identified Email address(es) used [email protected] Phone number(s) used 01 568 6903 Authorisation in Ireland This firm is not authorised to provide investment services or any other financial services in Ireland. Additional information […]
ESMA highlights potential conflicts of interest risks in changes to Collateralised Loan Obligation rating methodologies
ESMA highlights potential conflicts of interest risks in changes to Collateralised Loan Obligation rating methodologies 07 December 2023 Credit Rating Agencies The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, today released a Report on EU credit ratings for collateralised loan obligations (CLO). The report highlights potential conflicts of interest […]
SEC Charges Five Unregistered Brokers, Four Companies in Widespread Pre-IPO Fraud Scheme
The Securities and Exchange Commission today announced charges against Raymond J. Pirrello, Jr., Marcello Follano, Robert Cassino, Anthony DiTucci, Joseph Rivera, and their New Jersey or New York-based companies Prior 2 IPO Inc., Late Stage Asset… Original Article