05 Nov 2025
Finra penalises First Trust for gifts violations
Finra Rule 2341 prohibits member firms from making payments or offers of payments of any non-cash compensation, subject to specified exceptions.
04 Nov 2025
Iosco addresses market integrity, transparency with new reports
International Organisation of Securities Commissions' (Iosco) new reports cover ESG indices, pre-hedging practices, valuation standards and secondary market disclosures.
04 Nov 2025
UK regulator warns of 'avoidable risks' in wealth management
The review examined how these groups manage risks, debt, governance and integration during and after acquisitions.
31 Oct 2025
FCA raises alarm over leveraged derivatives firms bypassing safeguards
The UK regulator has flagged dual threat from high-pressure sales tactics and misleading social media promotions.
30 Oct 2025
HK SFC proposes new VaR approach, streamlines structured funds framework
The regulator is aiming at expanding product offerings and enhancing competition in the country.
30 Oct 2025
Asic provides regulatory clarity for digital asset sector
The new guidelines will give investors improved protections, while providing firms with greater certainty to operate and innovate.
29 Oct 2025
Isda introduces ‘versionable’ definitions for equity derivatives
The protocol will enable participants to leverage the benefits of digital documentation.
28 Oct 2025
FCA orders cooling-off periods on crypto ETNs
The regulator has outlined its crypto roadmap, setting out plans to bring crypto assets into its regulation and guidelines for firms looking to offer crypto exchange traded notes.
22 Oct 2025
Isda expands reporting norms to meet Hong Kong’s revised rules
The amendments from the Hong Kong Monetary Authority and the Securities and Futures Commission came into effect on 29 September 2025.
21 Oct 2025
SFC backs industry drive for better digital asset fund oversight
Hong Kong’s market regulator has reaffirmed its support for improving regulatory standards and risk management in the digital asset sector.
20 Oct 2025
HK regulator fines UBS over professional investor misclassification
The SFC says the failings led the Swiss bank to sell professional investor-restricted products, such as accumulators and decumulators, to non-professional investor clients for 12 years.
13 Oct 2025
SRP in brief: complexity in focus
From the UK FCA’s latest development on Consumer Duty rules to AMCs' adoption in Switzerland and Latin America to Korea’s autocalls, here’s the latest news roundup brought by SRP news desk.