The Swiss Financial Market Supervisory Authority (FINMA) has approved a retail Bitcoin exchange-traded fund and waived diversification limits, while setting custody and conduct obligations for the supervised firms that distribute crypto-based products.
Germany’s financial regulator has licensed a Boerse Stuttgart Group subsidiary to run a distributed ledger trading and settlement system, giving the Seturion platform its legal footing. No production launch date has been announced.
ASIC has proposed extending its CFD product intervention order by 10 years to 2037, subject to Ministerial approval, while widening the definition to digital-asset-settled contracts and confirming that initial margin applies separately to every CFD, with no netting.
Blueberry’s new Dubai office has UAE approval to market and introduce clients, but trading stays with its Mauritius entity.
ActivTrades’ UAE subsidiary has secured a Capital Market Authority Category 5 licence, permitting promotional and introductory activity in the Emirates but not local execution or custody of client funds.
Gain Capital UK Limited’s FCA status changed to “Applied to Cancel” on 23 September 2026, formalising StoneX’s move to run its UK retail FX and CFD business solely through StoneX …
The Financial Industry Regulatory Authority (FINRA) has censured and fined Marex Capital Markets Inc. $100,000 after finding the firm inaccurately reported tens of thousands of U.S. Treasury transactions to its …
FCA guidance names the crypto activities needing authorisation, two weeks before the application gateway opens on 30 September 2026.
Digital services can cross borders with little visible friction. A website may be accessible from many countries, an application may appear in a global store, and the same technical infrastructure …
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 …
