The Australian regulator found the Victorian adviser impersonated other advisers, used template advice and outsourced key advice steps to an unlicensed third party, in a case that overlaps with ASIC’s broader crackdown on lead-generation-driven super switching.
Regulations
Oztures Trading Pty Ltd misclassified more than 85% of its Australian client base as wholesale investors over nine months, exposing 524 retail clients to high-risk crypto derivatives and resulting in more than A$12 million in losses and fees.
The order follows a show cause notice from November 2025 and adds to a regulatory record that includes a 2019 adjudication tied to trading in Pawansut Holdings Limited.
India’s securities regulator has moved the TradeTron crackdown from notices to formal enforcement.
The CFTC’s Division of Market Oversight expanded its post-Brexit no-action framework on Tuesday, adding two more UK trading facilities to the eligible venues list in Staff Letter 24-11.
The new task force will develop regulatory frameworks across three emerging areas within U.S. derivatives markets and coordinate with the SEC’s Crypto Task Force.
The custodian bank paid Rs 22.10 lakh to resolve enforcement proceedings tied to a merger that left an unregistered entity trading in Indian markets under the old FPI registration.
The US derivatives regulator and Major League Baseball have formalised an information-sharing framework covering integrity risks in sports-linked prediction markets.
Germany’s financial regulator imposed three administrative fines on the Frankfurt-based securities firm for failing to build, monitor, and update internal safeguards, including oversight of a digitalized customer risk assessment procedure.
Germany’s financial regulator warned that zinscompass.de and zinscompass.com are offering overnight and fixed-term deposits without authorization, using the corporate data of a legitimate Berlin capital management firm.
The two agencies issued a joint interpretation on Tuesday defining five categories of crypto assets and addressing when tokens can enter and exit investment contract treatment, covering airdrops, staking, mining and wrapping.
Exchange operator Intercontinental Exchange is building a standardized data layer for the private credit market, with Apollo providing deal-level information as the first major participant.
The CFTC’s Market Participants Division said it will not recommend enforcement against the self-custodial wallet developer for connecting users to regulated derivatives markets, provided it stays within strict conditions.
The exchange operator submitted plans on Monday to extend trading on its EDGX venue from Sunday evening to Friday evening, with all listed NMS stocks eligible and trades clearing through DTCC.
The Commission directed Chester Lu and BTCMAX to brief whether the exchange qualifies as a self-regulatory organization, warning the application may be dismissed if the jurisdictional bar is not met.
Australia’s financial regulator published fresh research showing 63% of Gen Z use social media for financial decisions, with 18% turning to AI tools, and warned that platforms providing personal advice may need a licence.
A default judgment entered Friday against two Queens-based firms requires $835,058 in restitution and over $1.6M in civil penalties for a scheme that targeted Korean-language speakers.
The US regulator filed a joint stipulation on Thursday to end its enforcement action over the BitClout token sale, barring itself from refiling the same claims. The SEC said the move reflects only the facts of this specific case.
The Division of Market Oversight reminded designated contract markets of their compliance obligations when listing event contracts, singling out sports-related products for additional guidance.
Germany’s financial regulator flagged the Gainorex app and a WhatsApp group called Börsenblick A-001, suspecting the unknown operators of offering financial services without authorisation.
Germany’s financial regulator said the operator of mexassetexchange.com falsely claimed BaFin supervision while offering unauthorized financial, investment and crypto asset services.
The EU’s financial markets regulator says its risk assessment, completed before the late-February Middle East conflict, has already been validated by early market reactions to the war.
Brian Daly used a London conference appearance on Tuesday to confirm the SEC has a mandate to explore retail access to private markets, signaling the agency remains in information-gathering mode days after its own roundtable on the topic.
The US derivatives regulator has appointed a permanent executive director after five months of acting leadership, tasking him with overhauling administrative operations and service delivery.
The SEC has settled for a single $10 million corporate penalty on Rainberry for wash trading in TRX.
The CSA and CIRO’s fraud-disruption capability nearly doubled its output between a 2025 proof-of-concept phase and February 2026. Annual reporting of takedown stats is now a permanent fixture.
Former CFTC chief market intelligence officer returns to the agency in a dual role under Chairman Michael S. Selig, bringing G-SIB trading experience and UK regulatory ties.
Commodity Futures Trading Commission Chairman Michael S. Selig has hired a House Oversight veteran to run the agency’s legislative engagement as digital asset and event contract policy heats up on Capitol Hill.
The European securities regulator has told firms that ‘perpetual futures’ are likely CFDs under existing national product intervention measures, triggering leverage caps, incentive bans and distribution constraints for crypto and CFD brokers across the EU.
The federal commodities regulator is pushing back against state gambling regulators in a legal battle that could determine who oversees the fast-growing prediction market industry.
The Financial Conduct Authority has launched a consultation on simplified securitisation rules, developed with the PRA, replacing inherited EU-era requirements with a framework tailored to the UK market.
Australia’s securities regulator has assembled a heavyweight lineup for its March symposium, pairing the US SEC Chair with a Nobel laureate economist and Europe’s top markets regulator to discuss technology and financial regulation.
The ‘DatingOrDefrauding?’ campaign, running February 11–14, unites federal, state and international partners to warn Americans about relationship investment fraud that has surged alongside cryptocurrency and AI-powered deception.
New research from Canada’s Ontario Securities Commission finds game-like features in trading apps can encourage better portfolio habits when designed with investor outcomes in mind.
The veteran regulator and enforcement specialist will take the helm of Australia’s corporate watchdog on June 1, succeeding Joe Longo after his five-year term.
Chairman Paul Atkins names retired EY partner Jim Logothetis to lead the PCAOB, signalling a shift toward leaner oversight and reduced board compensation.
The Federal Court has ordered BPS Financial to pay $14 million after ASIC found the company operated without a licence and made false claims about its Qoin Wallet product.
US financial regulators unveil joint framework for digital assets, signalling a decisive shift from enforcement-led oversight toward coordinated rules designed to keep crypto innovation on American soil.
The UK regulator identifies multiple clone operations and unregistered entities targeting consumers, including fraudsters impersonating an authorized lender through anggleloan.com.
Germany’s financial watchdog joins UK, Dutch and Belgian authorities in flagging the unlicensed platform, which investigators link to a broader network of “boiler room” scams targeting retail investors.
The HKMA and SFC want to end the cycle of periodic legislative updates by establishing standard calculation periods that would apply indefinitely from March 2027.
Three SEC divisions issue joint guidance clarifying how federal securities laws apply to blockchain-based representations of stocks, bonds and other traditional assets.
The former Treasury official will lead efforts to develop regulatory frameworks for emerging markets while protecting the agency’s derivatives jurisdiction.
Germany’s financial regulator identified six market threats while adding consumer over-indebtedness, crypto speculation and insurance costs to its annual watchlist.
The Securities and Futures Commission signs a landmark agreement with the UAE’s newly established Capital Market Authority, opening retail fund distribution channels between the two financial hubs.
In response to its growth mandate, the Financial Conduct Authority has said firms don’t need an internal ‘Consumer Duty Board Champion’.
Prop firms placing real trades have to report trades if they are based in various regions, including the UK, EU, and Australia.