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SMALL BUSINESS FORUM"S REPORT TO CONGRESS HIGHLIGHTS RECOMMENDATIONS TO IMPROVE CAPITAL-RAISING POLICY

The Securities and Exchange Commission released a report to Congress highlighting policy recommendations from the SEC’s 45th Annual Government-Business Forum on Small Business Capital Formation. The ...

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FCA
FCA SECURES MAJORITY OF VICTIMS" MONEY BACK FROM CONVICTED FRAUDSTER
July 28, 2026

Victims of convicted fraudster John Burford are set to recover the majority of the money they invested after the FCA obtained a c...

Investment Executive
INVESTOR CLASS ACTION SETTLEMENT EDGES CLOSER
July 28, 2026

Accounting giant KPMG LLP has reached a proposed settlement in an investor class action alleging that its 2022 audit report for C...

Investment Executive
ETF ADVISOR SETTLES WITH SEC
July 28, 2026

ETF fund manager Simplify Asset Management, Inc. has settled allegations from the U.S. Securities and Exchange Commission (SEC) t...

Investment Executive
ESMA APPROVES EQUITY, ETF DATA PROVIDER
July 28, 2026

A joint venture of 16 European stock markets is now expected to launch consolidated market data on equities and exchange-traded f...

Investment Executive
TRIBUNAL FINDS DAY TRADING PLATFORM ENGAGED IN "SPOOFING"
July 27, 2026

Ontario’s Capital Markets Tribunal has found that Oasis World Trading Inc. engaged in “spoofing,” but dismissed allegations of wa...

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