The Austrian Financial Market Authority (FMA) has updated its ordinance concerning the appendix to audit reports for payment institutions. This update clarifies reporting requirements and the application of specific regulatory versions for financial years ending after certain dates.
The Austrian Financial Market Authority (FMA) has introduced the WPF-StDMV regulation to specify reporting requirements for company-related master data. This update establishes strict protocols for the submission of firm-related information, impacting how investment firms report changes to their corporate structure.
The Austrian Financial Market Authority has introduced the Health Insurance Profit Sharing Ordinance (KV-GBV). This regulation establishes new frameworks for profit-sharing mechanisms within the health insurance sector, requiring immediate oversight by compliance teams.
The Austrian Financial Market Authority has introduced the Pensionskassen-Risikomanagementverordnung 2019 (PK-RiMaV 2019). This regulation establishes specific frameworks for managing risks within pension funds, specifically targeting insurance and model risk management.
The Securities and Exchange Commission has initiated enforcement proceedings against GlennCap LLC and Jonathan Vincent Glenn. This action signals heightened regulatory scrutiny regarding the conduct of specific investment entities and their principals within the US jurisdiction.
The Financial Conduct Authority (FCA) has issued a Final Notice against Esmeralda Toni, imposing a financial penalty of GBP £121,200 and a prohibition order. This enforcement action stems from her involvement in creating falsified documents to misrepresent the source of funds during an acquisition attempt.
The Federal Financial Supervisory Authority (BaFin) has issued a formal warning regarding the website vertex-group(.)info, which is offering financial, investment, and crypto asset services without proper authorization. This alert highlights the presence of fraudulent or unauthorized operators using fictitious regulatory claims to mislead investors.
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