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Notice – ONTARIO SECURITIES COMMISSION and PURPOSE INVESTMENTS INC. and SOM SEIF, File No. 2025-18

TORONTO, April 24, 2026 /CNW/ – The Tribunal issued an Order in the above-named matter. A copy of the Order dated April 24, 2026 is available at capitalmarketstribunal.ca. Registra...

Takeovers not a crime, SC says amid ‘corporate mafia’ allegations

KUALA LUMPUR, April 22 — The Securities Commission Malaysia (SC) today said it has no authority to act on allegati...

SEC launches digital reference for regulations

MANILA, Philippines – The Securities and Exchange Commission (SEC) has launched a consolidated digital reference for the country’s securities regulations. It wants to make complian...

SEC issues advisory vs Zild Telecommunication

THE Securities and Exchange Commission (SEC) has issued an advisory against Zild Telecommunication Repair Services (ZILD TRS) and its owner, warning the public that the entity has...

SEC revokes Mount Peak registration, issues advisory on unauthorized MocaMoca-linked platforms

THE SECURITIES and Exchange Commission (SEC) said it had revoked the broker-dealer registration of Mount Peak Securities, Inc. over alleged regulatory violations and deficiencies i...

SEC rolls out unified SRC rules reference

THE Securities and Exchange Commission (SEC) has released a consolidated digital reference for the implementing rules and regulations (IRR) of the Securities Regulation Code (SRC),...

<b>FSA warns against dealing with unauthorised securities entities</b>

The Financial Services Authority (FSA) has launched a public awareness campaign addressing financial fraud linked to entities and platforms offering investment services in securiti...

SEC warns against unregistered HTX investment platform

THE Securities and Exchange Commission (SEC) has issued advisories against HTS and its related entities, warning investors that these platforms have been offering securities withou...

SEC orders catering firm to stop alleged investment solicitation

THE SECURITIES and Exchange Commission (SEC) has issued a cease-and-desist order (CDO) against Melot’s Catering Services, its point person, and its agents for the alleged unauthori...

SEC Staff Issues Statement on Covered User Interfaces

On April 13, 2026, staff in the US Securities and Exchange Commission (SEC) Division of Trading and Markets issued a Staff Statement Regarding Broker-Dealer Registration of Certain...

BSP Issues Warning Anew Against Unauthorized Crypto Service Providers

The BSP stated it is coordinating with the Securities and Exchange Commission (SEC), the National Telecommunications Commission (NTC), and other government agencies to conduct mark...

OSC pushes SEDAR+ exemption for foreign securities to January 2028

Stakeholders say the filing break helps Ontario clients tap into global offerings

US SEC seeks comment on contentious trading database

SEC enforcement haul hits $17.9B as agency sharpens focus on retail investor protection

Record tips and whistleblower payouts highlight SEC’s intensified enforcement push

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 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...

DoT and SEBI Signs an Agreement to Curb Telecom-Related Financial Frauds

DoT and SEBI Signs an Agreement to Curb Telecom-Related Financial Frauds As digital investments grow in India, cyber fraud cases are also increasing. To address this, the Departmen...

Regulators draw tight limits around prediction market event contracts

CSA and CIRO let two dealers offer select us-traded event contracts under strict conditions

Watchdog warns vs investment, lending fraud

MANILA, Philippines – The Securities and Exchange Commission (SEC) has intensified its crackdown on illegal investment and lending activities, warning the public against entities a...

CSA proposes amendment to close insider reporting gap on single-issuer ETFs, CDRs, and structured products

Single-issuer ETFs and CDRs are growing fast — and regulators are paying attention

SEC Staff Clarifies Broker-Dealer Registration Expectations for Non-Custodial Crypto Wallet Providers

On April 13, 2026, the Staff of the Division of Trading and Markets (Staff) of the U.S. Securities and Exchange Commission (SEC) issued a statement detailing their views on the bro...

Remitano fraud warnings from Malaysia & UK

Remitano has received fraud warnings from Malaysia and the UK. Malaysia’s Securities and Exchange Commission (SEC)  issued a Remitano investor alert in April 2021. The UK’s Financi...

Analysts see SEC broker director cap strengthening governance

THE Securities and Exchange Commission’s (SEC) new 10-year term limit for broker directors could strengthen governance standards at exchange boards by encouraging leadership renewa...

Mutual fund dealer fined $250,000 over supervisory & compliance failures

CIRO sanction comes with an additional $15,000 in costs