Home News From the Regulators Page 3

Latest news in From the Regulators

FCA consults on market data reforms article image Man looking at two financial screens

FCA consults on market data reforms

FCA approves second private market player article image UK flag

FCA approves second private market player

Fed overhauls approach to bank compliance article image Bank loan finance money USA dollar alternate text for this image

Fed overhauls approach to bank compliance

SEC drops crypto from compliance exams article image SEC

SEC drops crypto from compliance exams

Court orders AMF tribunal to consider settlement article image calendar court

Court orders AMF tribunal to consider settlement

Depositories need oversight that matches risk: ESMA article image U.S. efforts to undo regulatory reforms likely to be limited: Russell

Depositories need oversight that matches risk: ESMA

SEC to take a pass on proxy season article image SEC

SEC to take a pass on proxy season

Rise of alts prompts fund valuation reforms article image Tall modern golden buildings.

Rise of alts prompts fund valuation reforms

Fake advisory firms in ‘ramp-and-dump’ scam: SEC article image Finfluencers

Fake advisory firms in ‘ramp-and-dump’ scam: SEC

Double trouble: Twins convicted of defrauding clients article image Business lawyer team. Working together of lawyer in the meeting.

Double trouble: Twins convicted of defrauding clients

Back-office firm wrong to drop fund manager: court article image Judge makes ruling

Back-office firm wrong to drop fund manager: court

Court upholds tribunal’s findings in crypto case article image compliance

Court upholds tribunal’s findings in crypto case

Lying to the OSC gets Ontario man probation, community service article image businessman behind bars

Lying to the OSC gets Ontario man probation, community service

FSRA fines former insurance agent $80K for unlicensed sales article image Gavel and texts

FSRA fines former insurance agent $80K for unlicensed sales

CSA proposes reform to accommodate IFRS change article image Rules and regulations

CSA proposes reform to accommodate IFRS change

U.S. task force targets pig butchering scams article image Robber captured

U.S. task force targets pig butchering scams

Investors not getting fair value from CFDs: FCA article image Regulation

Investors not getting fair value from CFDs: FCA

ASIC targets private credit for enforcement article image path obstacles

ASIC targets private credit for enforcement

Regulators in U.K., Singapore team up on AI article image Blue globe

Regulators in U.K., Singapore team up on AI

‘Neo’ brokers bring neo risks too: IOSCO article image investor protection

‘Neo’ brokers bring neo risks too: IOSCO

Tokenization raises new risks, with familiar ones article image Digital assets

Tokenization raises new risks, with familiar ones

SIFMA surveys Treasury clearing readiness article image US dollar

SIFMA surveys Treasury clearing readiness

U.K. launches stablecoin regulation consultation article image Facade of bank of england

U.K. launches stablecoin regulation consultation

As family fights, court names independent estate rep article image Judge looks at papers

As family fights, court names independent estate rep

BCSC settles illegal distribution allegations article image A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

BCSC settles illegal distribution allegations