1 April 2026
Miami broker fined for compliance lapses in offshore notes sales
The firm engaged in US$650m offshore transactions primarily involving structured products, and served clients ‘who were potentially located in the US’.
In Brief
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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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GTN strengthens Apac presence with HK SFC authorisation
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EBA’s risk dashboard points to sector resilience
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South Korean regulator sets 2026 inspection focus on consumer safety
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Isda’s DRR solution integrates with LSEG’s TradeAgent
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India's Sebi revises settlement guarantee fund rules for commodity derivatives
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