CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Extension of Time-Limited No-Action Relief...

The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued an extension of the time-limited no-action relief...

SEC Issues Investigative Report Concluding DAO Tokens, a Digital Asset, Were Securities

The Securities and Exchange Commission issued an investigative report today cautioning market participants that offers and sales of digital assets by "virtual" organizations are subject...

ASIC welcomes ‘client money’ reforms

ASIC today welcomed the Government’s decision to proceed with 'client money' reforms in respect of retail OTC derivatives. 'The reforms to the client money regime...

FMA Publishes First Peer-To-Peer/Crowdfunding Statistical Returns

The Financial Markets Authority (FMA) today published its first statistical report on peer-to-peer lending and crowdfunding in New Zealand. The data shows $259.9 million is currently loaned...

SEC Exposes Two Initial Coin Offerings Purportedly Backed by Real Estate and Diamonds

The Securities and Exchange Commission today charged a former executive at Life Time Fitness Inc., a middleman tipper, and six traders with insider trading...

Financial Fraud Costing UK £2 Million A Day

In 2016, the UK lost £2 million each day as a result of financial fraud, according to official figures released by Financial Fraud Action...

FINRA Appoints Nathaniel Stankard As Senior Advisor To The CEO

The Financial Industry Regulatory Authority (FINRA) has announced the appointment of Nathaniel Stankard as Senior Advisor to the CEO, effective immediately. In his new...

CFTC Charges New York Resident Daniel Winston LaMarco and His Company, GDLogix Inc., with...

The U.S. Commodity Futures Trading Commission (CFTC) filed a civil enforcement action in the U.S. District Court for the Eastern District of New York...

Interactive Brokers LLC Pays $250,000 Infringement Notice Penalty

Interactive Brokers LLC ('Interactive') has paid a penalty of $250,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel ('the...

CFTC Launches LabCFTC as Major FinTech Initiative

The U.S. Commodity Futures Trading Commission (CFTC) today approved the creation of LabCFTC, a new initiative aimed at promoting responsible FinTech innovation to improve...

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