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    Commodity pool scheme stands a trial

    Regulation Adam Rak -
    The Commodity Futures Trading Commission (CFTC) today announced that the Honorable Joan B. Gottschall of the U.S. District Court for the Northern District of...

    ASIC and RBA welcome the publication of ASX BBSW Trade and Trade Reporting guidelines

    Regulation Comparic Team -
    ASIC and the Reserve Bank of Australia (RBA) today welcome the publication of the ASX BBSW Trade and Trade Reporting Guidelines (ASX BBSW Guidelines). The...

    ASIC’s client money reporting rules finalised

    Regulation Comparic Team -
    ASIC has released the finalised ASIC Client Money Reporting Rules 2017(client money rules) which, from 4 April 2018, will impose record-keeping, reconciliation and reporting obligations...

    SEC charged an investment adviser for a Ponzi-like scheme

    Regulation Comparic Team -
    The Securities and Exchange Commission charged last week a Westchester, New York-based investment adviser with fraud stemming from lies to retail investors about the...

    SEC Charges Penny-Stock Operators in Push to Crack Down on Repeat Offenders

    Regulation Adam Rak -
    The Securities and Exchange Commission today charged two individuals with defrauding investors in penny stock companies that claimed to have valuable patents.  One of...

    KDPW files an authorisation application under CSDR

    Regulation Comparic Team -
    On 29 September 2017, KDPW - The Central Securities Depository of Poland - has filed an application for authorisation under CSDR* with the Polish...

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

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

    SEC Detects Brokers Defrauding Customers

    Regulation Comparic Team -
    The Securities and Exchange Commission today charged three New York-based brokers with making unsuitable recommendations that resulted in substantial losses to customers and hefty...

    Launch of the SFC Regulatory Sandbox

    Regulation Comparic Team -
    The Securities and Futures Commission (SFC) today issued a circular announcing the launch of the SFC Regulatory Sandbox to provide a confined regulatory environment for qualified...

    CFTC Orders Morgan Stanley & Co. LLC to Pay $500,000 for Supervision Failures

    Regulation Comparic Team -
    The Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Morgan Stanley & Co. LLC (MSCO), a Delaware limited liability...
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