18 Nov 2025
Iosco publishes consultation report on valuing investment schemes
The proposal consists of 13 updated recommendations covering oversight arrangement, fair value and back-testing among other areas.
14 Nov 2025
SEC chairman Atkins shares crypto 'token taxonomy' plan
Commissioner Peirce’s framework is cited as foundation for new regulatory approach.
14 Nov 2025
Australian regulator issues new guidelines for ETP issuers
The guide is aimed at simplifying and consolidating the regulatory framework.
14 Nov 2025
SFC eases rules for cross-boundary wealth management communication
Southbound clients gain access to remote product briefings and three-party dialogues under new framework by the regulator.
13 Nov 2025
Isda recognises enforceability of close-out netting in Saudi Arabia
The move is aimed at reducing systemic risk and ensuring the orderly settlement of contracts, according to the nation’s market regulator.
12 Nov 2025
BSW: structured products need a fair chance in regulation and retirement planning
As BaFin’s turbo restrictions loom, the BSW chief outlines the association’s push for greater clarity on costs, risks and the true value of structured products.
12 Nov 2025
Iosco urges caution as tokenisation gains momentum
Iosco's final report on the tokenisation of financial assets outlined uneven efficiency gains, evolving risks, and fragmented regulatory responses.
11 Nov 2025
Korea’s Hana Bank fined by regulator over ‘incomplete’ PE fund, ELT sales
The Korean bank broke solicitation rules of investment in specific money trust contracts, including equity-linked trusts (ELTs) sold between 2016 and 2019, according to the financial regulator.
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.