Regulation
Financial regulation, compliance, and policy updates
136 articles
Federal Reserve Board Finalizes Changes to Stress Test Framework to Enhance Transparency and Reduce Volatility
The Federal Reserve Board has finalized a set of changes aimed at enhancing the transparency and public accountability of its stress testing framework…
CFTC Secures $31 Million Judgment in Digital Assets and Precious Metals Fraud Case
The Commodity Futures Trading Commission (CFTC) has successfully secured a court order mandating that Brian Early and Alisha Ann Kingrey pay over $31…
ECB Updates Monetary Policy Guidelines with Collateral Framework Changes
The European Central Bank (ECB) has published amendments to its guidelines on the implementation of monetary policy in the Eurosystem, effective as of 30…
SEC Charges Zoe Financial Over Undisclosed Conflicts of Interest
The U.S. Securities and Exchange Commission (SEC) announced settled charges against Zoe Financial Inc., a New York-based registered investment adviser…
SEC Charges Florida Man, CMI Capital in $860K Fraud Targeting Law Enforcement
The U.S. Securities and Exchange Commission (SEC) has filed charges against South Florida resident Michael D. Williams and his company, CMI Capital LLC…
SEC Reports 2026 IPO Surge: Deal Count and Proceeds Up Significantly
Executive Summary The U.S. Securities and Exchange Commission (SEC) released updated capital markets data on September 23, 2026, revealing substantial…
Analyzing the CFTC's Updated FAQs on Crypto Assets and Blockchain Technologies: Key Insights and Implications
The Commodity Futures Trading Commission (CFTC) has taken another significant step towards clarifying the regulatory landscape for crypto assets and…
Federal Reserve Board Issues Prohibition Order Against Former Sandy Spring Bank Employee
The Federal Reserve Board has issued an enforcement action against Renee Nicole Brown, a former employee of Sandy Spring Bank, following her conviction…
Bank of England Announces 2027 Monetary Policy Committee Meeting Dates
The Bank of England has published its scheduled Monetary Policy Committee (MPC) meeting dates for 2027, confirming eight policy decision days along with…
ECB Identifies Barriers to Eurozone Capital Market Participation
The European Central Bank (ECB) has released a blog post examining the significant gap in capital market participation between euro area households and…
SEC Charges NJ Man, Firms in $16M Ponzi Scheme
SEC Charges NJ Man, Firms in $16M Ponzi Scheme The U.S. Securities and Exchange Commission (SEC) has filed charges against Ernest Ossei Boateng and his two New Jersey-based companies, Intercontinental Wealth Network LLC and I Wealth Network LP, for allegedly operating a $16 million Ponzi scheme...
CFTC Secures Court Orders Against Texas and Florida Residents for Over $500,000 in Penalties and Trading Bans
CFTC Secures Court Orders Against Texas and Florida Residents for Over $500,000 in Penalties and Trading Bans The Commodity Futures Trading Commission (CFTC) has successfully obtained court orders mandating Texas resident Steven Likos and Florida resident Archie Rice to pay a combined total of over...
ECB Explores Limited Impact of Synthetic Securitisation on Lending
ECB Explores Limited Impact of Synthetic Securitisation on Lending The European Central Bank (ECB) has published a blog post examining the effects of synthetic securitisation on bank lending, concluding that while it can free up bank capital, its impact on lending to firms is marginal. Key Findings...
CFTC Staff Issues No-Action Position on Large Trader Reporting for Direct Participants: Key Insights and Implications
CFTC Staff Issues No-Action Position on Large Trader Reporting for Direct Participants: Key Insights and Implications The Commodity Futures Trading Commission (CFTC) has issued a significant no-action letter concerning large trader reporting requirements, specifically targeting Electron Exchange...
SEC Charges Bay Area Executives in $150M Ponzi-Like Fund Scheme
SEC Charges Bay Area Executives in $150M Ponzi-Like Fund Scheme The U.S. Securities and Exchange Commission has filed fraud charges against two San Francisco Bay Area private fund executives accused of operating a $150 million Ponzi-like scheme through Pacific Private Money Group LLC (PPMG). The...
SEC Proposes First Major Transfer Agent Rule Updates in Decades
SEC Proposes First Major Transfer Agent Rule Updates in Decades The Securities and Exchange Commission (SEC) announced proposed rule changes on January 9, 2026, to modernize regulations governing registered transfer agents (Release No. 34-94321). These intermediaries, responsible for maintaining...
CFTC Extends Compliance Date for Form PF Amendments to July 2027
CFTC Extends Compliance Date for Form PF Amendments to July 2027 The Commodity Futures Trading Commission (CFTC), in conjunction with the Securities and Exchange Commission (SEC), has announced a further extension of the compliance date for the amendments to Form PF. Originally set for October 1,...
ECB Analyses US Tech Giants' Growing Presence in Euro Area Bond Market
ECB Analyses US Tech Giants' Growing Presence in Euro Area Bond Market The European Central Bank (ECB) has published a blog post examining the increasing reliance of US tech giants, known as hyperscalers, on the euro area corporate bond market to fund their investments, particularly in artificial...
SEC and FDA Strengthen Oversight With New Cooperation Agreement
SEC and FDA Strengthen Oversight With New Cooperation Agreement The U.S. Securities and Exchange Commission (SEC) and the Food and Drug Administration (FDA) announced a significant regulatory partnership on August 31, 2026, signing a Memorandum of Understanding (MOU) to enhance collaboration...
CFTC and SEC Extend Compliance Date for Form PF Amendments to July 2027
CFTC and SEC Extend Compliance Date for Form PF Amendments to July 2027 The Commodity Futures Trading Commission (CFTC), in collaboration with the Securities and Exchange Commission (SEC), has announced an extension of the compliance date for the amendments to Form PF. Originally set for October 1,...
Federal Reserve Board Issues Prohibition Order Against Former Banco Popular de Puerto Rico Employee
Federal Reserve Board Issues Prohibition Order Against Former Banco Popular de Puerto Rico Employee The Federal Reserve Board has issued an enforcement action against Gadiel J. Rosario-Alvarado, a former employee of Banco Popular de Puerto Rico. This action, dated August 27, 2026, involves a...
Bank of England Delays November 2026 RTGS Standards Release
Bank of England Delays November 2026 RTGS Standards Release The Bank of England (BoE) announced on 27 August 2026 that it will delay the planned November 2026 RTGS (Real-Time Gross Settlement) standards release, including messaging standards for CHAPS payments. The decision follows a similar delay...
ECB Advances Towards a Tokenised Financial Market in Europe
ECB Advances Towards a Tokenised Financial Market in Europe The European Central Bank (ECB) has outlined significant steps towards establishing a tokenised financial market in Europe, emphasizing the integration of central bank money into digital finance to foster a competitive and resilient...
Swiss National Bank Endorses Strengthened 'Too Big to Fail' Regulations
Swiss National Bank Endorses Strengthened 'Too Big to Fail' Regulations The Swiss National Bank (SNB) has expressed its support for the Federal Council's proposed measures aimed at bolstering 'too big to fail' regulations, as outlined in a media release dated 12 August 2026. The SNB emphasizes that...