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Securities Regulation and Compliance

The importance of securities regulation is reflected in the scale of U.S. financial markets. In 2025, the U.S. equity market showed record-breaking resilience, with the S&P 500...

SEC Commissioner: Tokenized Real-World Assets Could Address PSE Trading Lull

The commission is requesting companies within the digital asset industry to submit formal applications to enter its strategic sandbox testing environment.

SEC Commissioner: Three Crypto Applicants Must Pay Penalty Before ‘StratBox’ Entry

SEC Commissioner Quevedo warned crypto firms against operating without approval, revealing that three applicants must settle penalties of up to ₱20 million before entering the St...

Mynt, Inc. Notice of Registration Statement Filing with the Securities and Exchange Commission

Mynt, Inc. Notice of Registration Statement Filing with the Securities and Exchange Commission: ADVT....Keep on reading: Mynt, Inc. Notice of Registration Statement Filing with the...

SECP Introduces Certificate of Statutory Compliance Framework

SEC cracks down on online investment platforms, sets August deadline for licensing

The Securities and Exchange Commission (SEC) has directed all online investment platforms, fintech operators and digital trading service providers to regularise their operations by...

BG Wealth Sharing securities fraud warning from Canada (ON)

BG Wealth Sharing and associated scams have received a securities fraud warning from the Ontario Securities Commission (OSC). As per OSC’s June 1st, 2026 BG Wealth Sharing fraud wa...

Chairman SECP unveils reform agenda to expand investor base, strengthen capital markets

NBI, SEC Arrest SEC Director for Extortion

The National Bureau of Investigation (NBI), in coordination with the Securities and Exchange Commission (SEC), arrested an SEC director for allegedly extorting funds from a private...

MACC probing two individuals over IJM Corp share acquisition

SHAH ALAM, May 21 — Two investigation papers involving the voluntary acquisition of IJM Corporation by Sunway Berh...

SEC Cracks Down on Unauthorised Dangote Refinery IPO Campaigns

Nigeria’s capital market regulator has moved to halt all promotional activities linked to a purported public share offering by Dangote Petroleum Refinery, warning investors against...

SEC Approves Nasdaq’s $25 Million IPO Requirement for China-Based Companies

On May 14, 2026, the U.S. Securities and Exchange Commission approved Nasdaq’s proposed rule change to its initial listing standards, which will require companies primarily operati...

SEC Proposes Bold Reforms to Registered Offering Process

On May 19, 2026, the US Securities and Exchange Commission (SEC) proposed a broad set of amendments intended to reform the registered offering framework under the Securities Act of...

SEBI reviews broker net-worth norms, weighs IPO auction reforms

Regulator also plans easier compliance for research analysts, new MF liquidity framework and measures to deepen corporate bond market

B.C. Securities Commission pays whistleblower $25,000

The aim of the whistleblower program is to increase the number and quality of public tips about investment fraud and other forms of market misconduct

Securities Law Private Rights of Action: Supreme Court Reinforces Strict Test in Saba

SEC Issues Cease and Desist: Orders BG Wealth to Stop Crypto Investment Operations in PH

The Philippine SEC ordered BG Wealth Sharing Ltd. and founder Stephen Beard to stop offering unregistered crypto investments after regulators linked the platform to alleged financi...

SEBI bars Rajesh Mehta from trading in Rajesh Exports shares

Regulator alleges misrepresentation of over ₹15 lakh crore in revenues linked to overseas subsidiaries; orders fresh forensic audit

SEBI to sharpen tech-led surveillance as online investment frauds evolve

Regulator has facilitated takedown of over 1.4 lakh misleading posts in 18 months; more investor-protection tools in the works

Capital Markets Tribunal fines man $22,000 for breaching director, officer ba

Barred for life from directing or running companies - he stayed on for two year

SEC Bans Promotion of Unapproved Dangote Refinery IPO

The Securities and Exchange Commission (SEC) has banned the marketing and promotion of an alleged Initial Public Offering (IPO) by Dangote Petroleum Refinery and Petrochemicals FZE...

SEBI Tightens Employee Ethics Rules, Mandates Exit From Non-Permitted Investments

SEBI's revised ethics framework mandates stricter disclosures, curbs non-permitted investments and introduces a two-year cooling-off period for employees.

OSC moves to extend capital-raising exemptions indefinitely for Ontario issuers

One exemption now hinges on advice from a registered dealer or adviser

FSC chief vows tougher crackdown on stock manipulation

The head of Korea's financial regulator on Wednesday pledged to step up efforts to crack down on stock manipulation and other unfair trading practices. Lee Eog-weon, chairman of th...