9 April 2026
JPM fined over leveraged high-yield strategy failures
To date, the firm has paid over US$55m through Finra arbitrations or settlements related to a broker’s ‘complex investment strategy’ spanning 2016 to 2020.
In Brief
See all in briefs)-
US SEC official highlights market structure risks in expanding options market
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FCA seeks comments on UK crypto regime
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SEC staff clarify broker-dealer requirements for crypto user interfaces
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UAE regulator introduces virtual assets framework to strengthen oversight
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Canada’s CSA consults on amendments to insider reporting for structured products
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Barclays secures Second Circuit ruling in over-issuance litigation
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Singapore authority outlines plan to strengthen gold trading hub
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Binance fined over client misclassification in Australia
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Singapore’s MAS publishes AI risk management toolkit
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Iosco seeks comments on good practices for OTC commodity derivatives oversight
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