The FCA opened its crypto authorisation gateway on 30 September 2026. Firms intending to keep operating in the UK should apply by 28 February 2027, ahead of the regime starting on 25 October 2027.
CFTC registers Coinbase Clearing LLC as a DCO permitted to clear fully collateralised futures, options on futures and swaps, adding a clearing layer to Coinbase’s FCM and DCM.
China Securities, the Beijing-headquartered listed investment bank, has secured a DIFC Authority licence and DFSA authorisation to open a Dubai office, joining the centre’s cluster of major Chinese banks.
Colorado Financial Service Corporation has been censured and fined $45,000 by the Financial Industry Regulatory Authority over failures to supervise recommendations of high-risk closed-end funds, according to a Letter of …
J.P. Morgan Securities LLC (JPMS) has agreed to a censure and a $250,000 fine from the Financial Industry Regulatory Authority (FINRA) after the firm admitted to longstanding failures in its …
Charles Schwab has been censured and fined $175,000 by the Financial Industry Regulatory Authority over failures to report millions of fractional share transactions. According to a Letter of Acceptance, Waiver, …
The Tokyo Stock Exchange (TSE) and Osaka Exchange (OSE) have issued censures against Moomoo Securities Japan Co., Ltd. following an investigation into a series of compliance and operational failures at …
FINRA has censured and fined Moors & Cabot, Inc. $125,000 for failing to maintain an adequate AML program and for not delivering Form CRS to thousands of retail investors.
Laser Digital Japan Co., Ltd. (LDJ), the Japanese arm of Nomura's digital assets subsidiary Laser Digital, announced on August 21 that it has completed its registration as a Crypto Asset …
FP Trading, an international forex and CFD brokerage, has confirmed it now holds a Category 5 licence from the UAE's Capital Market Authority (CMA), the regulator formerly known as the …
FINRA has censured and fined Cowen and Company $80,000 for violating securities rules related to a 2022 partial tender offer, according to a Letter of Acceptance, Waiver, and Consent (AWC) …
The Financial Industry Regulatory Authority (FINRA) has censured and fined Raymond James & Associates $125,000 after finding that the firm failed to report roughly 2.56 million fractional share liquidations over …
Webull Financial LLC has agreed to a $115,000 fine and censure from the Financial Industry Regulatory Authority (FINRA) after regulators found the firm mismarked hundreds of thousands of options contracts …
Australia's corporate regulator warned on Monday that generative AI is enabling scammers to build sophisticated networks of fake websites, endorsements and news articles designed to trick investors into parting with …
Australia's corporate regulator has issued a fresh warning to retail investors after a review found online brokers are selling complex, high-risk products without properly explaining the dangers involved. The Australian …
The U.S. Securities and Exchange Commission has filed charges against Goliath Ventures, Inc. and its founder and chief executive, Christopher A. Delgado, accusing them of running a multi-year Ponzi scheme …
