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Snapshot: what’s happening and what to do next Parliament has finally passed the FFSP licensing regime which will bring certainty to how FFSPs engage with potential clients in Aust...
The Financial Services Authority (FSA) has launched a public awareness campaign addressing financial fraud linked to entities and platforms offering investment services in securiti...
On 1 April 2026, the Treasury Laws Amendment (Genetic Testing Protections in Life Insurance and Other Measures) Bill 2025 (the Bill) passed both the House of Representatives and th...
On 19 May 2026, the Financial Services and Markets Bill completed its first reading in the House of Lords. The Bill was referred to in the briefing notes of the King’s Speech as th...
Forthright Securities and Forthright Capital have received approval from the Securities and Futures Commission (SFC) to add virtual asset capabilities. This applies to their existi...
3 March – 3 April 2026 Introduction ESG is changing the landscape for financial institutions as stakeholders, including investors, increasingly expect them to make their operations...
3 April – 3 May 2026 Introduction ESG is changing the landscape for financial institutions as stakeholders, including investors, increasingly expect them to make their operations m...
With higher fine limits now in place, regulators say recent penalties may only reflect the early stages of a stricter regime
On 27 May 2026, the Financial Conduct Authority (FCA) published its findings following a review which assessed ten authorised firms that approve financial promotions for businesses...
The Dubai Financial Services Authority (DFSA), the independent regulator of banking, wealth & asset management, capital markets, and insurance in Dubai International Financial...
Advisor compensation, a regulatory sandbox and cyber resilience also make the cut
The Financial Services Commission (FSC) is seeking to have fees increased for the insurance sector as it moves to better...
The UK government has taken the first step in its plan to overhaul and update financial regulation after introducing the Financial Services and Markets bill before Parliament.
The Ministry of Economy and Tourism of the United Arab Emirates (UAE), and the Dubai Financial Services Authority (DFSA), the independent regulator of banking, wealth & asset m...
On 16 April 2026, the Financial Conduct Authority (FCA) published Policy Statement PS26/5, setting out its final rules and guidance for the UK’s reformed short selling regime. The...
MUSCAT: Financial Services Authority held a meeting with active individual investors in the Muscat Stock Exchange as part of efforts to strengthen engagement with market participa...
Financial Conduct Authority wants small businesses and consumers to be able to use their data to get better finance deals
When the FCA announced that it would move away from issuing portfolio letters (seemingly to sometimes ill-defined sectors, and at random intervals) with a focused, annual, pre-set...
Regulator flags AI, derivatives, and a national marketing sweep among its top examination priorities
On 6 May 2026, the Financial Conduct Authority announced the establishment of a joint regulatory taskforce to tackle the poor handling of motor finance claims by some claims manage...
On March 2, 2026, the Financial Industry Regulatory Authority (FINRA) announced a series of enhancements to its enforcement program as part of its broader “FINRA Forward” initiativ...
For futures commission merchants (FCMs) that are clearing members of the Chicago Mercantile Exchange, it’s that time of year: Time for the annual examination of the FCM’s operation...
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