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Latest News
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IOSCO urges improvements to trading venues’ resilience in case of market outages
IOSCO’s final report highlights five good practices to ensure market resilience and investor confidence.
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Advice Guidance Boundary Review puts transformative change on horizon
Joint policy paper reviews the boundary between advice and guidance to improve quality and availability of consumer support.
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ESMA consults on investor protection topics linked to digitalization
The European regulator sets out its views on how firms should protect their customers in the age of digitization.
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ASIC roundup: Forged signatures, and a record fine for pricing discount failures
The Australian Securities & Investments Commission’s latest actions, June 26 – 30.
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FCA forces three more firms to reverse misleading pension offers
The former British Steel Pension Scheme members were offered between £50 to £300.
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ESMA warns of risks from investment firms selling unregulated products
The regulator alerts investors about risks and regulatory confusion among firms that offer both regulated and unregulated items.
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SEC roundup: Clearing agency rules, foreign issuers, cybersecurity and AI
News you may have missed from the SEC, at a glance.
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ESMA publishes updated MiFID II product governance guidance
Amended guidelines try to strengthen investor protection and include good practices observed by ESMA.