Regulation
Financial regulation, compliance, and policy updates
111 articles
SEC Charges Washington Water Machine Founder and Portfolio Manager in $275 Million Fraud Scheme
The U.S. Securities and Exchange Commission (SEC) has filed charges against Ryan Wear, founder and owner of Washington-based Water Station Management LLC and Creative Technologies, Inc., for allegedly orchestrating two Ponzi-like fraud schemes that raised more than $275 million from over 250 investo
SEC Appoints Judge Margaret Ryan as Director of Enforcement
The U.S. Securities and Exchange Commission (SEC) has named Judge Margaret “Meg” Ryan as the new Director of the Division of Enforcement, effective September 2, 2025. She succeeds Acting Director Sam Waldon, who will return to his previous role as Chief Counsel for the Division. SEC Chairman Paul S.
CFTC Launches Next Crypto Sprint Initiative
The U.S. Commodity Futures Trading Commission (CFTC) has announced the start of its next crypto sprint initiative, aimed at implementing recommendations from the President’s Working Group on Digital Asset Markets report. Acting Chairman Caroline D. Pham confirmed that the CFTC will now begin broader
Florida CEO Charged in $1.5M Ponzi Futures Scam
The U.S. Commodity Futures Trading Commission (CFTC) filed a civil action against Aureus Revenue Group LLC and its CEO, Emir Jesus Matos Camargo, for fraudulent operations. They allegedly solicited at least $1.5 million from investors for a commodity pool, falsely promising monthly returns of 1.5–3.
The SEC has charged Zymergen Inc. for Misleading Investors
The U.S. Securities and Exchange Commission (SEC) has charged Zymergen Inc. with misleading investors during its 2021 initial public offering (IPO). Zymergen, a biotechnology company, raised $530 million but provided false information about the market potential of its flagship product, Hyaline, a fi
SEC Takes Action Against Seven Public Companies for Violating Whistleblower Protection Rules
Photo by Don Ramey Logan In a significant move aimed at reinforcing its commitment to protecting whistleblowers, the Securities and Exchange Commission (SEC) has announced charges against seven public companies for violations of the Whistleblower Protection Rule. The SEC revealed that these companie
Uniswap Labs Cooperation with CFTC Led to a Reduced Civil Penalty
Photo by Johncoin In a significant regulatory move, the Commodity Futures Trading Commission (CFTC) has taken action against Uniswap Labs, a Delaware-based company operating out of New York, for offering illegal digital asset derivatives trading. The CFTC issued an order filing and settling charges
“My Forex Funds” accused of a $300 million fraud: CFTC
The Commodity Futures Trading Commission (CFTC) has unveiled a significant case against Murtuza Kazmi, a New Jersey resident, and his enterprises, Traders Global Group Inc. both in the U.S. and Canada. Operating under the name “My Forex Funds,” they stand accused of deceptively enticing customers in
Binance.US will have to repatriate customer funds to US and facilitate customer withdrawals: SEC
The Securities and Exchange Commission (SEC) has secured emergency relief to protect the assets of customers using the Binance.US crypto trading platform. The relief comes after litigation against Binance Holdings Limited, BAM Trading Services Inc., BAM Management US Holdings Inc., and founder Chang
CFTC wins case againts fraudolent CPO, ordered to pay more than $ 24 million to victims and civil penalty
The U.S. District Court for the Eastern District of Wisconsin has entered an order of default judgment and permanent injunction against Kay Yang and her companies, AK Equity Group LLC and Xapphire LLC, for forex transaction fraud that targeted the local Hmong community. Yang, along with her companie
The Art of Deceptive Trading: Unraveling the World of Wash Trades (1)
In the fast-paced world of financial markets, where billions of dollars change hands every day, there exists a darker side marked by manipulative practices. One such practice is the “wash trade,” a deceptive trading technique that artificially inflates trading volumes, creates misleading price movem
After Binance, the SEC sues Coinbase
The U.S. Securities and Exchange Commission (SEC) has accused Coinbase, America’s leading cryptocurrency exchange, of breaking securities laws. According to the SEC, Coinbase has been operating as an exchange, a broker, and a clearing agency without the requisite registration. The SEC also stated th
A Comparative Study of Payment for Order Flow (PFOF) (1)
Payment for Order Flow (PFOF) has long been a contentious topic in the world of finance. This practice, where brokers receive payment from market makers for directing orders to them, has different applications and regulations across various countries. This article delves into the PFOF landscape in t
The Evolving Landscape of Global Financial Centers: Traditional vs. Emerging Powerhouses
The world of finance is experiencing significant shifts as the impact of Brexit, globalization, and changing power balances reshape the global economy. As established financial centers face new challenges, emerging centers are seizing opportunities to establish themselves as key players in the inter
Arguments in Favor for Regulation in Forex Trading (1)
Forex trading is a popular way for individuals to invest and trade currencies in the global financial market. With the increasing popularity of forex trading, there has been a growing concern about the regulation of this industry. Forex trading regulation is essential to ensure that the market opera