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Keyword: regulation

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As SEC shifts, NASAA touts state regulation

Local boots on the ground needed to defend investors, state regs tell Congress

Crypto coins

SEC commissioner questions regulator’s new guidance on crypto mining

Caroline Crenshaw cautioned against suggestion that mining activity doesn't involve securities

Europe’s wealth managers set to consolidate: Fitch

Rising costs, revenue competition to drive search for added scale

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

Fifth man charged in alleged £3.9M water investment scam

The men allegedly lied to investors about how their capital would be invested, returns they would receive: FCA

Rules and regulations

FCA calls on alt managers to beef up valuation

Review flags conflict, independence shortcomings in private asset valuations

Hand placing a wooden person onto a wooden block

FSB taps BoC’s Macklem to head oversight group

Appointment comes as U.S. officials depart Treasury, FDIC

The Australian Coat of Arms in metal hangs on the glass wall of a building that reflects another high-rise across the street.

ASIC seeks to revive public markets

Australian regulator seeks ideas for revitalizing listings, curbing risks

U.S. flag

CFTC names new enforcement chief

Derivatives regulator's acting head becomes director of enforcement

virtual regulation

ESMA to review fund managers’ internal controls

Review to take place throughout the year, ESMA to report in 2026

Illustration of a businessperson using a magnifying glass to examine files

SEC relaxes audit trail requirements

Move weakens investor protection, commissioner says