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consultation discussion

Closing the gap between mutual, seg fund regulation

CCIR, CISRO propose new guidance on the design, distribution of seg funds

Regulation

OSC’s compliance work escalates

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

Magnifying glass on documents

ESMA reviews find disclosure, greenwashing issues

European regulators call for enforcement action on compliance failures

FCA charges finfluencers over social media posts

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

environment

FCA escalates greenwashing fight

Regulator seeks to extend regime to portfolio managers

right or wrong choice

SEC tightens robo exemption

Regulator aims to bolster investor protection, modernize rules

social media

FCA warns firms, finfluencers about misleading memes

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

FINRA fines firm over finfluencers

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

FCA revs up its anti-hype machine

Regulator reports rise in scam alerts, misleading promos

Crypto coins

Most crypto communications may be offside: FINRA

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