Finanstilsynet (the Norway Financial Supervisory Authority) has published a warning on "Velomarkets," referencing a notice originally issued by the UK Financial Conduct Authority (FCA). The entry indicates the firm is likely not authorized and may be targeting investors. Compliance teams should treat it as a prompt to update screening lists and reinforce fraud and client-protection controls.
The Board of Appeal of the European Supervisory Authorities (ESAs) published a declaration of commitment and interests form, as required under Article 59(6) of the ESA founding regulations. It is a governance and independence safeguard for the body that reviews ESA decisions, and it has no direct new obligations for financial institutions. Compliance teams should treat it as a signal of the standards applied to adjudication and the integrity of appeal proceedings.
On September 16, 2026, the Austrian Financial Market Authority (FMA) publicly named TiH GmbH and announced a sanction for managing an alternative investment fund (AIF) without authorization under the Alternative Investment Fund Manager Act (AIFMG). The action shows the FMA's willingness to enforce the AIFMG perimeter and use public naming. Compliance teams should treat it as a reminder to verify the licensing status of fund managers and counterparties.
The FCA has opened an investigation into whether Euro Exchange Securities UK Ltd (EES) breached the Money Laundering Regulations 2017 between 1 February 2020 and 4 June 2026, focusing on risk assessment and AML policies, controls and procedures. The case follows the firm's forced cessation of regulated activity, interim managers and special administration. It shows the FCA's focus on enterprise-wide AML risk assessment and control frameworks at payment and e-money firms.
ASIC Form 5232 (version dated July 1, 2022) is the required application for consent to remove or resign an auditor of a retail corporate collective investment vehicle (CCIV). The form requires detailed declarations from both the corporate director and the auditor, and the change takes effect only after ASIC consents and the required disclosures are made. Compliance teams at CCIV operators and audit firms should build the process into governance procedures to avoid invalid auditor changes and false-declaration exposure.
BaFin, speaking as a major Bonn employer through its President Mark Branson, joined a regional task force calling for pragmatic, coordinated action on Bonn's traffic crisis. The release is not a financial regulation and creates no supervisory obligations. Compliance teams should treat it as a non-regulatory notice with limited operational-resilience relevance, mainly for firms with staff or offices in the Bonn region.
The Bundesbank and BaFin will publicly present the results of the 2026 stress test covering approximately 1,100 Less Significant Institutions (LSIs) in Germany on September 24, 2026, at 11:00 a.m. This is an announcement of a press event, not a new requirement, but the findings will signal supervisory priorities and sector-wide vulnerabilities. Compliance and risk teams at German banks, and at institutions with exposure to them, should prepare to review the results promptly.
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