ComplianceNexus

Compliance and regulatory news and resources. #compliance #regtech #finance #fintech #assetmanagement #regulation

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https://t.co/HVgp4TawN0 - Mellissa Campbell Duru Named Division of Corporation Finance’s Deputy Director for Legal and Regulatory Policy - The Securities and Exchange Commission today announced that Mellissa Campbell Duru has been named Deputy Director for Legal and Regulatory...

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https://t.co/uk7ZDYvWLi - Support during challenging times -
The mental health foundation chose anxiety to kickstart a conversation, encouraging people to share their own experiences and any helpful ideas on how to manage anxiety. Everyone can experience feelings of unease, w...

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https://t.co/kp97vT5f9W - We force third firm to reverse effect of misleading British Steel Pension Scheme offers -
We have acted against another firm seeking to avoid liabilities under the British Steel Pension Scheme (BSPS) redress scheme. David Stock & Co Limited (David St...

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https://t.co/mQLfmPYvfy - Introduction of additional consumer protection measures for variable rate mortgage holders - Enhanced measures to increase lenders’ transparency about variable interest rates Lenders must explain to borrowers how they set their variable interest rates...

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https://t.co/KHY9ZfjEo0 - Central Bank of Ireland Issues Warning on Unauthorised Firm - Fraudulent entity clones BaFin authorised firm, Intesa Sanpaolo S.p.A Filiale Frankfurt am Main - It has come to the attention of the Central Bank of Ireland (‘Central Bank’) that a fraudul...

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https://t.co/3n9yAIWfXU - Central Bank of Ireland Issues Warning on Unauthorised Firm –
Irish Lends - It has come to the Central Bank of Ireland’s (‘Central Bank’) attention that a fraudulent firm, Irish Lends, has been operating as a Retail Credit Firm and/or a High Cost Cred...

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https://t.co/5KMg7qCX78 - Central Bank of Ireland Issues Warning on Unauthorised Firm –Walsh Money - It has come to the Central Bank of Ireland’s (‘Central Bank’) attention that a fraudulent firm, Walsh Money, has been operating as a Retail Credit Firm in the State in the abs...

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https://t.co/niIG6htcig - FCA secures £130,000 to return to investors -
The FCA has secured two orders to return over £130,000 to victims of unauthorised investment arrangements and advice. Members of the public who invested in an unauthorised collective investment scheme est...

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https://t.co/71kDQCnZ2U - SEC Proposes Rule Amendments and New Rule to Improve Risk Management and Resilience of Covered Clearing Agencies - The Securities and Exchange Commission today proposed rule changes that would improve the resilience and recovery and wind-down planning...

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https://t.co/cJ8cUEJAir - How to change in response to changing threats -
Speech by Sarah Pritchard, Executive Director of Markets, and Executive Director of International, at XLOD Global New York – The Future of Non-Financial Risk & Control across the 3 Lines of Defence. Spe...

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https://t.co/qrmNVQQ8IH - Help is available for those who need it, says FCA -
The Financial Conduct Authority (FCA) has reminded borrowers they can get help from their lenders if they are struggling to keep up with payments, as it found the number of people struggling to meet...

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https://t.co/ndx4dmg2go - Geoeconomic fragmentation from a small open economy perspective - address by Governor Gabriel Makhlouf to the Global Interdependence Centre Conference - Good morning. It is a pleasure to welcome you all to the Central Bank of Ireland and to host the G...

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https://t.co/RZ4Nuxh73n - Governor Makhlouf delivers keynote at the Global Interdependence Center conference hosted by the Central Bank of Ireland - Governor Makhlouf delivers keynote at the Global Interdependence Center conference hosted by the Central Bank of Ireland Origina...

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https://t.co/NUxoOmpoX3 - Building resilience in markets - Remarks by Deputy Governor Vasileios Madouros - Building resilience in markets - Remarks by Deputy Governor Vasileios Madouros Original Article Here

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https://t.co/JUhFfCXu7D - The drive for data in Non-Bank Financial Intermediation (NBFI) -
Speech by Ashley Alder, Chair, delivered at the Managed Funds Associations’ Global Summit Speaker: Ashley Alder, Chair
Event: MFA Global Summit, Le Bristol, Paris
Delivered: 16May 2023
...

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https://t.co/9jlgy1rLUc - SEC Charges 10 Microcap Companies with Securities Offering Registration Violations - The Securities and Exchange Commission today announced charges against 10 microcap companies for offering and selling securities in unregistered offerings that failed...

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https://t.co/NZRIN04cli - Meeting the challenge in our changing global markets -
Speech by Sarah Pritchard, Executive Director of Markets, and Executive Director of International, at the UK Finance and EY: Capital Markets insights launch conference. Speaker: Sarah Pritchard, ...

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https://t.co/N2lpV5Ua31 - SEC Charges Red Rock Secured, Three Executives in Fraud Scheme Targeting Retirement Accounts - The Securities and Exchange Commission today announced charges against El Segundo, California-based Red Rock Secured LLC, its CEO, Sean Kelly, and two of it...

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https://t.co/R76dPB8enA - TRV article - EU natural gas derivatives markets: risks and trends - TRV article - EU natural gas derivatives markets: risks and trends ESMA has published a study on the structure and functioning of EU natural gas derivatives markets, and potential ri...

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https://t.co/z0uVtIxanG - FCA censures Lighthouse Advisory Services Limited for serious failings in relation to the British Steel Pension Scheme and £23m paid out in redress -
The Financial Conduct Authority (FCA) has censured Lighthouse Advisory Services Limited (Lighthouse)...