( Industry Insights

Regulation

Updates and commentary on evolving market regulation.

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07 May 2026

Philippines regulator proposes structured warrant framework

The regulator is trying to align local market practices with...

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01 May 2026

Korea regulator overhauls consumer protection framework following ELS mis-selling fallout

The financial watchdog highlights the need to address conflicts of...

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23 Apr 2026

Leonteq ordered to compensate pro footballers, French investors

The Paris judicial court has ruled in a long-running dispute over...

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22 Apr 2026

Post Priips regime demands stronger data not softer rules

The UK’s move from Priips to the more flexible CCI regime does not...

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09 Apr 2026

JPM fined over leveraged high-yield strategy failures

To date, the firm has paid over US$55m through Finra arbitrations or...

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01 Apr 2026

Miami broker fined for compliance lapses in offshore notes sales

The firm engaged in US$650m offshore transactions primarily involving...