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Regulator News
- New rules to strengthen resilience of UK’s financial sector
- FCA secures convictions against two individuals for £1.5m fraud
- Director fined £1.1m and banned for misusing funds due to insurers
- FCA fines Metro Bank £16m for financial crime failings
- FCA bans Steven Hodgson and Paul Adams for pension transfer advice failings
- ESMA announces 2024 European Common Enforcement Priorities for corporate reporting
- ESMA consults on amendments to MiFID research regime
- ESMA publishes a report on first application of IFRS 17 Insurance Contracts
- The ESAs finalise rules to facilitate access to financial and sustainability information on the ESAP
- ESMA makes proposals to streamline the prospectus area and seeks stakeholder input
- Cancelled — October 29 Commission Open Meeting
- CFTC Commissioner Pham Announces Global Markets Advisory Committee will Meet November 21
- Global privacy authorities issue follow-up joint statement on data scraping after industry engagement
- FINRA Publishes 2024 Industry Snapshot
- CFTC to Hold a Commission Open Meeting October 29