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CFTC SECURES COURT ORDERS DIRECTING TEXAS AND FLORIDA RESIDENTS TO PAY OVER $500,000 IN DISGORGEMENT AND CIVIL MONETARY PENALTIES AND IMPOSING TRADING BANS FOR COMMODITY POOL FRAUD

The Commodity Futures Trading Commission announced the U.S. District Court for the Southern District of Florida entered consent orders against defendants Steven Likos and Archie Rice for committing r...

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Investment Executive
ESMA AIMS TO EASE ISSUERS" BURDEN
September 10, 2026

Amid efforts to cut compliance costs and reduce regulatory burdens for issuers, the European Securities and Markets Authority (ES...

Investment Executive
SEC SANCTIONS PURPORTED HEDGE FUND MANAGER
September 10, 2026

The head of a purported hedge fund is being sanctioned in a settlement with the U.S. Securities and Exchange Commission (SEC), wh...

CSA
CSA REPORT: DATA PORTABILITY HOLDS PROMISE FOR INVESTMENT MARKET, IF REGULATORS AND INDUSTRY ADDRESS CHALLENGES
September 09, 2026

Members of the Canadian Securities Administrators (CSA) published a report on the potential benefits and challenges involved in g...

OSC
ONTARIO SECURITIES COMMISSION BRINGS TOGETHER CAPITAL MARKETS LEADERS TO ADVISE ON FUTURE PRIORITIES
September 09, 2026

The Ontario Securities Commission (OSC) announced the membership of its newly established Capital Markets Advisory Committee (CMA...

IOSCO
GLOBAL STANDARD-SETTING BODIES PUBLISH A TOOLKIT FOR CYBER RESILIENCE AT FINANCIAL MARKET INFRASTRUCTURES (FMIS) AND A DISCUSSION PAPER ON FMIS" RELIANCE ON THIRD PARTY SERVICE PROVIDERS
September 09, 2026

The Bank of International Settlements (BIS)’ Committee on Payments and Market Infrastructures (CPMI) and the International Organi...

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