Co-operation Agreement between the Financial Conduct Authority and the Hong Kong Monetary Authority
The UK’s Financial Conduct Authority (FCA) and the Hong Kong Monetary Authority (HKMA) have entered into a Co-operation Agreement (Agreement) to foster collaboration between the...
MAS Clarifies Regulatory Position on the Offer of Digital Tokens in Singapore
The Monetary Authority of Singapore (MAS) clarified today that the offer or issue of digital tokens in Singapore will be regulated by MAS if...
CFTC Orders Merrill, Lynch, Pierce, Fenner & Smith Incorporated to Pay $2.5 Million to...
The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Merrill, Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch),...
Former Private Equity Firm Partner Charged With Secretly Billing Clients for His Vacations and...
The Securities and Exchange Commission today charged Mohammed Ali Rashid, a former senior partner at Apollo Management L.P., with defrauding his fund clients by...
Fake FCA emails!
We are aware that an email has been sent which appears to be from fca.updates@fca.org.uk. This email was not sent by the FCA and recipients should...
CFTC Grants SEF Registration to LedgerX LLC
The U.S. Commodity Futures Trading Commission (CFTC) announced today that it has issued an Order of Registration to LedgerX LLC (LedgerX), granting it registration...
SEC Charges Financial Adviser With Stealing From Client Accounts
The Securities and Exchange Commission today charged an investment adviser representative with stealing approximately $5 million from client accounts by initiating unauthorized wire transfers...
ASIC Cancels Gallop International’s Australian Financial Services Licence
ASIC has cancelled the Australian financial service licence (AFS) licence of Gallop International Group Pty Ltd, formerly known as Weather Pro Exchange Pty Ltd (ACN...
ASIC’s Enforcement Report Highlights Key Outcomes From The Second Half Of 2016
ASIC has today released its enforcement report for the period 1 July 2016 to 31 December 2016.
ASIC's enforcement results over the six-month period include:
The...
SEC Awards $5.5 Million to Whistleblower
The Securities and Exchange Commission today announced an award of more than $5.5 million to a whistleblower who provided critical information that helped the...


















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