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Regulation

Risky firms, crypto platforms add to compliance division's workload

Magnifying glass on documents

European regulators call for enforcement action on compliance failures

U.K. regulators allege an unregistered FX trading scheme was touted on Instagram

environment

Regulator seeks to extend regime to portfolio managers

right or wrong choice

Regulator aims to bolster investor protection, modernize rules

social media

Reels, streams and more must comply with rules against misleading ads, regulator says

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

SRO brings first case following compliance review targeting firms' use of online influencers

Regulator reports rise in scam alerts, misleading promos

Crypto coins

Compliance review finds potential violations in 70% of firms' messages

Man painting pollution green

FCA forms working group to enhance advisor expertise in sustainable investment