Social Media Ideas for Securities Commission

New Securities Law to enhance investor protection, promote investment banking

Abdullah bin Salim al Salmi, Executive President at the Financial Services Authority (FSA), affirmed that the regulatory provisions contained in the Executive Regulation of the Sec...

SFC and SC Malaysia Launch a Single Filing Route for Dual IPOs

The Securities and Futures Commission (SFC) and the Securities Commission Malaysia (SC) have launched a Single Submission Arrangement for a Hong Kong Malaysia dual listing. Firms l...

Regulator bans chargebacks on publicly offered investment fund sales

Final amendments to National Instrument 31-103 remove a pay structure the CSA calls a conflic

SEBI proposes mandatory monitoring agency for all public issues, ₹50,000 fine for non-cooperation

The proposed changes also allow direct reporting to stock exchanges and introduce graded enforcement, including possible freezing of promoters’ demat accounts.

Stocks and bonds eligible for security token offering: regulator

The country's financial regulator said Thursday that stocks, bonds, and funds will be eligible for a security token offering. The Financial Services Commission said revised amendme...

OSC names inaugural members of new capital markets advisory committee

Asset managers and dealers just got a new voice inside the regulator

Who regulates a bet on the Stanley Cup? Not Canada's securities regulators

The CSA says these products do not belong in securities law, and CIRO staff will not approve dealer applications to trade them

SEC Targets Former Linqto Executives in Pre-IPO Retail Access Fraud Case

The SEC has brought a closely watched enforcement action against former Linqto executives William Sarris and Joseph Endoso, alleging they misled thousands of retail investors who u...

SEC Charges 38 Alleged Scammers of False Filings to Lure Retail Investors

The SEC worked with an FBI task force to identify and remove filings of 38 foreign “entities” allegedly posing as legitimate advisory firms.

CSA finalizes ban on advisor chargebacks in public fund sales

Some commission recoveries fall outside the ban, but regulators still expect firms to act

SEC Targets Former Linqto Executives in Pre-IPO Retail Access Fraud Case

The SEC has brought a closely watched enforcement action against former Linqto executives William Sarris and Joseph Endoso, alleging they misled thousands of retail investors who u...

OSC clears away prospectus paperwork for issuers and dealers

A few fewer forms stand between pitching a deal and filing a prospectus

SEBI vs RBI vs MCA: Who Regulates What and When Are Filings Due?

RBI owns foreign investment filings, SEBI owns disclosure, MCA owns governance. See where they overlap, which penalties hit hardest, and the FY 2025-26 compliance calendar.

New framework to deepen Oman’s capital market

MUSCAT, SEPT 23The Financial Services Authority (FSA) of the Sultanate of Oman has unveiled key features of the executive regulations for the Securities Law, marking a significant....

SEC Grants Review of Nasdaq’s Proposed $5 Million Minimum Market Value of Listed Securities Rule

SECP Streamlines Stock Market Access with New Digital Onboarding Framework

The Securities and Exchange Commission of Pakistan (SECP) has introduced a comprehensive digital onboarding framework. It will make stock market investing significantly faster, mor...

SIMA calls for transparency and fee discipline in BCSC regulatory review

Association urges the securities regulator to adopt multi-year fee frameworks and explore AI efficiencies before raising costs on registered firms and advisors

SEC Sets ₱150 Million Capital Requirement in New Market Making Framework

The SEC issued Memorandum Circular No. 28 establishing a regulatory framework and a 150 million peso capital threshold for market makers on Philippine exchanges.

United States- SEC Moves to Open Private Markets to Retail Investors

On 30 September 2026, the SEC proposed rule amendments advancing Chairman Paul S. Atkins’ “responsible retailization” of private markets, expanding retail access to private-market...

SEC Charges Firms With $15M WhatsApp, Crypto Frauds

The commission alleges Cryptoaiml and TSAI were based overseas. In one case, fraudsters allegedly used WhatsApp to lure investors into a crypto scheme, while another falsely claime...

CIRO fines Scotia Securities $275,000 over complaint failures

Bank staff logged 371 client complaints in the wrong system for nearly two years

FAIR Canada tells regulators to hold the line on prediction markets

Wealthsimple wants wider retail access to event contracts; FAIR Canada says prove it first

OSC suspends Argosy Securities advisor over KYC misrepresentation, unauthorized trading

Compliance rejected his trades - so he lied on the forms instead.

DOJ Charges Former Linqto Head For Alleged Pre-IPO Fraud

William Sarris allegedly charged customers markups exceeding 200% on pre-IPO investments while misrepresenting prices and inventory to boost company revenue.