Regulation

Many firms are not clearly mentioning the investment risks.

The Australian regulator mentioned that the ban will take effect from 3 May 2021.

Violators might get up to 5 years of prison time or up to AUD 55 million fine.

Firms who provide services on 'a permanent basis' are now required to have a physical local presence in the ...

RTS 28 is still in force and investment firms must publish their report by 30 April 2021.

Four other former employees are banned for their involvement in misconduct and client deception.

Adrian Horn to pay £52,500 for carrying out banned self-dealing involving McKay Securities stock.

The mass email scam appears to be from the source domain name '@nfa-futures.org'.

ESMA has decided to postpone the decision on whether to extend the scope of MAR to spot FX contracts.

Consob has blocked a total of 391 fraudulent financial websites since July 2019.

The 74-year-old founded and run a company called Booth Financial Associates.

SEC awarded a whistleblower $2.2 million for providing info that helped in returning millions of dollars to harmed clients. ...

What is the FCA PS20/10 policy, and why you need to know about it?

The SEC did not call out Robinhood or any other trading services by name, but will review actions that ...

UK companies can operate in the country till December 31, 2021.

The FCA mentioned that the consumers lost £45,242 each on average in fraudulent clone firms.

The new leverage levels will become effective on March 29, 2021.

Ransom cases and cyber-attacks have increased during the pandemic.

6 AMLD not only affects the EU internal market but the global financial sphere.

The authority reminded financial firms of the MiFID II requirements on reverse solicitation.

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