Regulations
The latest forex, CFD, and trading-related regulatory updates.
ESMA starts ESAP data collection ahead of July 2027 launch
European collection bodies are now sending existing regulatory disclosures and metadata into the central system, although investors will wait another year for access.
By Simon Mugo
UK regulators start oversight of AWS, Google, Microsoft and Oracle on Monday
UK financial regulators will start supervising critical services supplied by AWS, Google, Microsoft and Oracle on Monday after the first CTP designations.
By Simon Mugo
FCA flags uneven Consumer Duty practice across UK firms
The FCA found that some firms collect customer data without clearly linking it to governance decisions, product changes or action across distribution chains.
By Simon Mugo
Hong Kong SFC publishes cybersecurity webinar circular for intermediaries
The regulator’s latest supervisory communication directly addresses licensed firms, virtual asset service providers and Associated Entities within its Hong Kong oversight perimeter.
By Simon Mugo
SEC Chair Atkins pushes materiality-first overhaul of public company disclosure rules
Speaking in Nashville, the SEC chair tied Regulation S-K reform to lower compliance costs and a more attractive public-company model warning against excessive rules.
By Simon Mugo
CFTC stays CME’s self-certified 24/7 crude oil futures launch
The CFTC exercised its authority to pause a CME filing that would have enabled round-the-clock crude oil futures trading, delaying the August 30 product launch.
By Simon Mugo
Satstreet wins OSC restricted dealer approval, incorporates U.S. entity
Toronto-based digital asset OTC desk Satstreet has secured Ontario Securities Commission registration as a restricted dealer and begun laying groundwork for U.S. expansion after surpassing C$4 billion in lifetime volume.
By Simon Mugo
FCA annual report highlights finfluencer arrests, 11-year insider dealing sentence
The UK regulator’s first-year strategy review shows 3 arrests, 650 social media takedown requests, 17 criminal convictions and AI cutting case-handling time from hours to minutes.
By Simon Mugo
Industry executive raises concerns over CySEC’s regulatory approach
An anonymous financial services executive has raised concerns over CySEC’s supervisory approach, calling for greater regulatory certainty and dialogue.
By Simon Mugo
FINMA issues supervisory communication on quantum computing risk
Switzerland’s financial regulator has told supervised firms to prepare their infrastructure, governance and risk management for threats posed by future quantum advances.
By Simon Mugo
FCA expands Secondary Markets Advisory Committee to 27 members, names Jon Relleen as chair
The UK regulator refreshed and enlarged the industry panel that feeds into its wholesale secondary markets policy work for a new two-year term.
By Simon Mugo
FCA says most 2025 growth measures delivered as Targeted Support approvals reach seven
The FCA’s Sarah Pritchard said the regulator has delivered most of its January 2025 pro-growth package, with seven firms already approved for Targeted Support.
By Simon Mugo
ESMA launches EU-wide sweep of crypto custody operational resilience
EU regulators will examine authorised CASPs’ custody frameworks from H2 2026, testing key management, smart contract risks and third-party dependencies across the bloc.
By Simon Mugo
CFTC charges North Carolina pool operator with $14 million fraud
The regulator alleges Trevor L. Vernon ran an unregistered commodity pool that traded futures and crypto while fabricating returns and recycling participant money in a Ponzi-like scheme.
By Simon Mugo
SEC 2026 agenda targets crypto custody, IPO reforms, private-market access
Chairman Atkins released the agency’s rulemaking roadmap on Tuesday, placing tokenized securities infrastructure, public-listing incentives and retail access to private markets at the centre of 2026 priorities.
By Simon Mugo
ESMA deprioritises enforcement on market-data invoicing under reasonable commercial basis RTS
The European regulator signals temporary relief for firms handling invoice mechanics under MiFIR market-data pricing rules, part of a broader Brussels push to trim non-essential Level 2 work.
By Simon Mugo
EU’s three financial watchdogs back ESRB warning on frontier AI cyber risk
The EBA, EIOPA and ESMA said frontier AI models can now find and exploit serious IT vulnerabilities fast enough to threaten operational resilience in EU firms.
By Simon Mugo
FINMA publishes LiqV-FINMA liquidity ordinance for banks and securities firms
Switzerland’s financial regulator has published a new ordinance on liquidity that replaces Circular 2015/2 and takes effect on 1 January 2027, adding crisis-time data requirements and liquidity planning rules.
By Simon Mugo
SEC names JPMorgan veteran Paul Knight as chief operating officer
The SEC has filled its COO vacancy by appointing Paul Knight to the role. He is a former agency and Treasury official who spent nearly 12 years at JPMorgan Chase.
By Simon Mugo
ESMA finds early clearing migration to EU CCPs as 500 entities notify under AAR
The regulator’s interim report shows smaller firms leading a gradual shift away from Tier 2 third-country CCPs, with a final effectiveness assessment due in 2027.
By Simon Mugo