UK FCA to Boost Crypto Market Abuse Detection, Develop Regulations
Key Insights The UK’s FCA will boost surveillance capabilities to detect crypto market abuse and manipulation The watchdog plans to…
CySEC Fines Fiduserve Asset Management €50,000 for Violations
Key Insights Cyprus financial regulator CySEC fined Fiduserve Asset Management €50,000 for multiple violations of investment services laws Breaches included…
Ex-Coinbase Employee Hit With $2.5M Penalty for Insider Trading
Key Insights U.S. court orders trader to pay $2.5M penalty over Coinbase insider trading case Judgment covers disgorgement of $817K…
Melbourne Securities Pays ASIC $13k Fine
Key Insights Melbourne Securities pays $13k over allegations its “green” fund invested in fossil fuel firm GE ASIC said Bloom…
ASIC Cancels NextGen Financial’s License after Court-Ordered Wind Down
Key Insights ASIC cancels NextGen Financial’s license after court ordered company wind up in November Cancellation effective February 23 under…
SEC Fines VanEck $1.75 Million Over Undisclosed ETF Influencer Deal
Key Insights SEC fines VanEck $1.75M for not properly disclosing influencer deal tied to ETF launch VanEck admits limited details…
UK FCA Fines, Bans Ex-London Capital Compliance Chief £31,800
Key Insights UK FCA fines and bans ex-London Capital & Finance director Floris Huisamen £31,800 for approving misleading mini-bond promotions…
Australia’s ASIC Cancels Financial Services License of Brava Capital
Key Insights Australia’s ASIC cancels financial services license of Sydney firm Brava Capital Brava, formerly known as Dayton Way Securities,…
FINRA Fines Goldman Over Inadequate Surveillance Reports
Key Insights FINRA fines Goldman Sachs over $500,000 for inadequate trading surveillance from 2009-2023 Goldman failed to include millions of…