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US SEC to revise small entity rules for advisers and investment companies
Amendments include revised aggregation rules for related funds and periodic threshold updates.
07 Jan 2026
Saudi regulator opens capital market to all foreign investors
The amendments are aimed at expanding and diversifying the investors base, supporting investment inflows as well as enhancing market liquidity.
19 Dec 2025
EU institutions seal retail investment strategy deal to empower consumers
The rules are aimed at providing wider range of efficient investment and financing opportunities for citizens and businesses.
19 Dec 2025
Canadian regulator examines barriers to digital and hybrid advisory model
Stakeholder input invited on rules, technology integration and unintended consequences.
19 Dec 2025
Garantum responds to US$1.8m fine over compliance failure
The Swedish distributor has been found in breach of compliance provisions in the structured products and insurance instruments.
17 Dec 2025
Finra stresses compliance failures on Rila sales in annual report
The US regulator has identified several violations of Regulation Best Interest (Reg BI) about registered index-linked annuity (Rila) sales practice in its oversight report.
15 Dec 2025
Iosco, BCBS publish margin requirements assessment
The report comes in the backdrop of the ongoing monitoring of the standard introduced in response to the 2011 Group of Twenty (G20) call to enhance the resilience of financial markets.
15 Dec 2025
French regulator adapts its crypto-linked product policies
The policies are aimed at reducing the information asymmetry between retail investors and the producers or distributors of crypto assets.
12 Dec 2025
Hong Kong regulator penalises EFG Bank over regulatory breaches
The financial watchdog’s investigation stemmed from a self-report from the bank as well as a referral of findings from the Hong Kong Monetary Authority.
10 Dec 2025
Exclusive: UKSPA - final CCI rules strike balance between consumer protection and product realities
The regulator's reforms reflect practical industry insight into structured product design.
10 Dec 2025
21shares, Crypto.com partner to launch Cronos token-backed ETF
Collaboration aims to create ETF and private trust tracking CRO token as demand for regulated crypto exposure grows.
09 Dec 2025
FCA proposes measures to boost local investment culture
The regulator has worked closely with industry and consumer groups to frame policy aimed at reducing the risk.