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SEC CHARGES REGISTERED INVESTMENT ADVISER ZOE FINANCIAL FOR FAILURE TO DISCLOSE CONFLICT OF INTEREST

The Securities and Exchange Commission announced settled charges against New York-based investment adviser Zoe Financial Inc. for failing to fully and fairly disclose material facts concerning confli...

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Investment Executive
ESMA TO PRIORITIZE BURDEN REDUCTION
September 29, 2026

As part of ongoing efforts to strengthen and streamline Europe’s capital markets, the European Securities and Markets Authority (...

Investment Executive
U.K. COURT ORDERS CRYPTO CONFISCATION
September 29, 2026

A pair of convicted crypto fraudsters have now been ordered to pay back £850,000 to harmed investors by a London court, the U.K.’...

CFTC
CFTC CHARGES CASH FX GROUP S.A., AND CEO; THREE OTHERS WITH $950 MILLION FRAUD SCHEME
September 28, 2026

The Commodity Futures Trading Commission announced it filed a complaint in the U.S. District Court for the Middle District of Flo...

FCA
TWENTY-FOUR CFD FIRMS CLOSING IN CRACKDOWN ON MISUSE OF UK AUTHORISATION
September 28, 2026

Twenty-one Contracts for Differences (CFD) firms have closed since 2025, following a FCA crackdown. The FCA was concerned the fir...

Investment Executive
B.C. COURT TOSSES INVESTOR"S CLAIM AGAINST BROKER
September 28, 2026

An investor who tried to sue her former discount broker, claiming that unauthorized trading took place in her account, had her cl...

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