20 October 2025
HK regulator fines UBS over professional investor misclassification
The SFC says the bank’s misclassification led the bank to sell professional investor-restricted products, such as accumulators and decumulators, to non-professional investor clients for 12 years.
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17 Oct 2025
Iosco calls for unified global oversight of crypto, digital assets
The global securities watchdog IOSCO says regulators need to act more quickly to create consistent rules and protect investors in crypto markets.
16 Oct 2025
Bafin cracks down on turbo certificates sold to retail investors
The German regulator has issued a general order with several requirements aimed at enhancing investor protection due to the high risk and complexity associated with turbo certificates.
15 Oct 2025
FCA roadmap aims to bring tokenised funds mainstream
The UK regulator states that digital asset technology can make investing more efficient, accessible and competitive for both firms and consumers.
08 Oct 2025
EU regulators warn of crypto investing risks despite new regulations
European financial watchdogs have urged investors to stay cautious, noting that not all crypto assets are covered by the EU’s new rules or offer the same level of protection.
07 Oct 2025
FCA sets out plan to remove Consumer Duty burdens, targets complex ETPs
The regulator’s priorities for the remainder of 2025 to 2026, include...
02 Oct 2025
SRP Americas 2025: opening the door for innovation
US regulators are pinpointing the increasing degree of complexity in...
26 Sep 2025
UK regulator proposes new standards for crypto firms
FCA is also preparing to lift its ban on retail investment in...
24 Sep 2025
Yuanta Securities fined by Taiwan regulator over dishonest ELN sales
The alleged salesperson obtained the funds from customers under the...
18 Sep 2025
SEC streamlines digital asset ETP listings, but not without dissent
The regulators approval was met with criticism from within its own ranks.
10 Sep 2025
Korean banks eye resumption of ELS sales under new measure, timing remains unclear
The rollout of the regulatory update regarding banks' sales of ELS may be delayed from September towards the year-end.
04 Sep 2025
Indian regulator tightens rules on intraday position limits in index options
In a move to bolster market integrity and risk management in the equity derivatives segment, the Securities and Exchange Board of India (SEBI) has introduced a comprehensive framework for intraday position limits monitoring for index options.
04 Aug 2025
Marex completes registration for US structured notes as WKSI
The non-bank provider of structured products has become a well-known seasoned issuer (WKSI) of structured notes on shelf in the US.