Latest news in From the Regulators

FINRA raises annual limit on gifts article image 33870666 – gift box with red bow on wood table, top view alternate text for this image

FINRA raises annual limit on gifts

FCA finalizes rules for new advice regime article image Older couple reviews a contract with a lawyer or financial advisor

FCA finalizes rules for new advice regime

Vanguard settles U.S. states’ anti-ESG suit article image Coal Mining in West Virginia

Vanguard settles U.S. states’ anti-ESG suit

ESMA highlights AI risks in algo trading article image digital euro

ESMA highlights AI risks in algo trading

SEC settles IR guy’s false Buffett claim article image stressed businessman

SEC settles IR guy’s false Buffett claim

SEC sanctions firm’s pandemic loan pricing article image Court settlement

SEC sanctions firm’s pandemic loan pricing

Crypto fund manager faces U.S. tax charges article image Man reads legal document carefully using magnifying glass

Crypto fund manager faces U.S. tax charges

ASIC secures record penalties in second half of 2025 article image figure-money-coins

ASIC secures record penalties in second half of 2025

ESMA consults on avoiding groupthink at financials article image consultation discussion

ESMA consults on avoiding groupthink at financials

BMO, ex-trader sanctioned in front-running case article image Fines graphic

BMO, ex-trader sanctioned in front-running case

SDNY offers companies ‘get out of jail free’ card article image Suit

SDNY offers companies ‘get out of jail free’ card

SEC overhauls enforcement manual article image SEC

SEC overhauls enforcement manual

Investor protection follows function, not form: ESMA article image crypto currency regulation

Investor protection follows function, not form: ESMA

Man pleads guilty to laundering almost US$100 million article image Pile of cryptocurrency coins

Man pleads guilty to laundering almost US$100 million

Trustee free to decide annuity calculation: court article image Inflation causing price rising up, overvalued stock or funds, consumer purchasing power reducing concept, air balloon tied with product price tag flying high rising up in the sky.

Trustee free to decide annuity calculation: court

Rep’s loan repayment appeal rejected 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

Rep’s loan repayment appeal rejected

U.K. finfluencers fined for posts article image Finfluencers

U.K. finfluencers fined for posts

Trump says 10% global tariff coming after Supreme Court ruling article image Trump

Trump says 10% global tariff coming after Supreme Court ruling

Ponzi ‘winners’ to get further day in court article image Canadian laws

Ponzi ‘winners’ to get further day in court

U.S. Supreme Court strikes down Trump’s use of emergencies law for tariffs article image Canada-U.S. trade

U.S. Supreme Court strikes down Trump’s use of emergencies law for tariffs

CIRO calls for boost to independent director limits article image Board room

CIRO calls for boost to independent director limits

FSB launches review of crisis readiness article image Businessman examines statistics on a page

FSB launches review of crisis readiness

U.S. advisor gets 90 months in jail for Ponzi scheme article image Businessman shamed

U.S. advisor gets 90 months in jail for Ponzi scheme

CIRO sanctions firm, exec for trading misconduct article image Business lawyer team. Working together of lawyer in the meeting.

CIRO sanctions firm, exec for trading misconduct

SEC proposes to ease fund reporting requirements article image SEC

SEC proposes to ease fund reporting requirements