Pan-European Securities Issuance And DLT On ECB Agenda

The European Central Bank is pondering the creation of a pan-European service for issuance of securities - and the potential role of distributed ledger...

SEC Charges Former Staffer With Securities Fraud Violations

The Securities and Exchange Commission today charged a former employee with securities fraud in connection with his trading of options and other securities. The SEC’s...

List of Companies Operating Unlawfully in Belgium

The Financial Services and Markets Authority (FSMA) has, on several occasions, warned the public against the activities of various providers of/intermediaries in binary options...

Canadian Securities Regulators Adopt Rules for Over-the-Counter Derivatives Clearing

The Canadian Securities Administrators (CSA) today announced two new national instruments affecting over-the-counter (OTC) derivatives trading in Canada. The national instruments are part of...

CySEC Announces Decision On Financial Penalties On Seven Directors And The Group Chief Financial...

The Cyprus Securities and Exchange Commission (“CySEC”) today announces a series of financial penalties imposed on seven Directors and the Group Chief Financial Officer...

IFSC Warning Notice: Global Trade Markets Ltd.

It has come to the notice of the International Financial Services Commission of Belize (IFSC) that an entity calling itself ‘Global Trade Markets Ltd.’...

SEC Announces Charges in Massive Telemarketing Boiler Room Scheme Targeting Seniors

The Securities and Exchange Commission today brought fraud charges against 13 individuals allegedly involved in two Long Island-based cold calling scams that bilked more...

SEC Awards Nearly $1 Million to Whistleblower

The Securities and Exchange Commission today announced an award of more than $900,000 to a whistleblower whose tip enabled the SEC to bring multiple...

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...

CFTC Grants DCO Registration to LedgerX LLC

The U.S. Commodity Futures Trading Commission (Commission) announced today that by a unanimous vote of the Commission, it has issued an order granting LedgerX,...

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