A comprehensive list of regulatory alerts that can be applied to VASP of interest
The below table provides a list of regulatory alerts that you may come across as part of your counterparty & vendor due dilligence.
| Alert Name | Description |
|---|---|
| Advisory Warning | Advisory issued to warn about certain practices or entities. |
| Ban | Prohibition or restriction imposed on specific activities or entities. |
| Charges | Notification of legal charges brought against an entity for regulatory non-compliance. |
| Cancellation Request | Request to cancel a license or registration. |
| Criminal Complaints | Notification of criminal complaints filed due to regulatory violations. |
| Criminal Fine | Notice of a financial penalty imposed as a result of a criminal conviction. |
| Dispute | Alert about a regulatory dispute between entities or parties. |
| Investigation | Alert indicating an ongoing regulatory investigation into a particular entity. |
| Investor Alert | Warning to investors about potential risks associated with a specific investment. |
| Letter | Formal communication from regulatory authorities addressing specific matters. |
| License Cancellation | Notification of the revocation of a regulatory license. |
| License Suspension | Notification of a temporary suspension of a regulatory license. |
| MVP Operational Licence Suspension | Alert for the temporary suspension of an MVP operational license. |
| Misleading Advertising | Alert regarding advertising that contains deceptive or false information. |
| Ongoing | Alert indicating an ongoing regulatory situation without a specific outcome. |
| Order | Official instruction issued by regulatory authorities to an entity. |
| Public Reprimand | Official rebuke issued publicly to an entity for regulatory violations. |
| Regulatory Decision | Communication conveying a regulatory authority's decision on a matter. |
| Regulatory Fine | Notice of a financial penalty imposed due to regulatory violations. |
| Sentence | Notification of a legal penalty or punishment imposed. |
| Settlement | Agreement reached between an entity and regulatory authorities to resolve issues. |
| Supervisory Notice | Communication from regulatory authorities outlining specific supervisory actions. |
| Unauthorised Firm | Alert for a firm operating without proper authorization. |
| Unlicensed Digital Asset Business | Alert for an unauthorized digital asset business operating without the required license. |
| Unregistered Digital Asset Exchange | Alert for a digital asset exchange not properly registered. |
| Unregistered Cryptoasset Firm | Alert for a cryptoasset firm not registered with regulatory authorities. |
| Unregistered Virtual Asset Service Provider | Alert for a virtual asset service provider lacking proper registration. |
| Unlicensed Entity | Alert for an entity operating without proper licensing. |
| Unlicensed Virtual Financial Asset Company | Alert for a virtual financial asset company operating without proper licensing. |
| Unlicensed Investment Services | Alert for investment services provided without proper licensing. |
| Unregistered Crypto Asset Exchange Provider | Alert for a crypto asset exchange provider not properly registered. |
| Unregistered Firm | Alert for a firm not properly registered. |
| Unregistered Recognised Market Operator (Digital Asset Exchange) | Alert for a digital asset exchange operator lacking proper registration. |
| Unregistered Operator | Alert for an operator not registered with regulatory authorities. |
| Unregulated Platform | Alert for a platform operating outside regulatory oversight. |
| Warning | Official notification highlighting specific regulatory concerns. |
| Wells Notice | Advanced notification to an entity of potential enforcement actions. |