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The UK Financial Conduct Authority has announced that discretionary investment firm EGR Wealth Limited has entered administration, with Kroll Advisory appointed as joint administrators.
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The UK Financial Conduct Authority has banned three former senior figures at Dolfin Financial and issued substantial fines over a scheme designed to circumvent Tier 1 investor visa rules.
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The Commodity Futures Trading Commission held the inaugural meeting of its Innovation Advisory Committee to address regulatory developments in crypto, AI, and prediction markets.
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The UK Financial Conduct Authority has issued a warning to consumers regarding high-risk, unregulated mini-bonds and loan notes marketed using regulatory exemptions.
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The UK Financial Conduct Authority has issued a warning to consumers regarding the dangers of high-risk loan notes and mini-bonds issued by unregulated firms.
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The UK Financial Conduct Authority has banned former SVS Securities CEO Demetrios Hadjigeorgiou from senior management roles and fined him £56,400 for failing to protect customer pension savings.
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The UK Financial Conduct Authority has issued an industry ban against senior manager Howard Roland Duckett after he concealed a 10-year director disqualification and fabricated evidence.
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The UK Financial Conduct Authority (FCA) has appointed financial services attachés in India and the UAE to enhance cross-border regulatory co-operation and investment.
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CFTC Chairman Michael S. Selig has released the agenda for the Innovation Advisory Committee's inaugural meeting on crypto regulation, AI, and prediction markets.
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The CFTC has invoked its emergency authority to direct KalshiEX to continue trading operations amid legal action by the New York Attorney General.
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The UK Financial Conduct Authority has added five fast-growing fintech and insurtech firms to its Scale-up Unit to assist with regulatory compliance and sustainable growth.
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The UK FCA is ramping up scrutiny of Annex 1 firms, warning against inadequate anti-money laundering controls and sending information requests to 900 entities.
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