Agency uncovered several compliance violations in exam
Regulator approves exchanges proposed generic listing standards
U.K. regulator's proposals consider operational, conduct standards for emerging sector
Regulators push back compliance deadline a third time, to Oct. 1 2026
Exec sanctioned in settlement for alleged violations of derivatives rules
SRO undertakes education effort to boost firms' knowledge on emerging sector
Settlement to address series of retail, institutional compliance issues
Firm, founder overstated its reliance on ESG considerations, regulator alleges
Social media scheme allegedly netted US$100 million in illicit profits
Trading models secretly changed to boost performance, compensation