Regulatory Updates
US SEC Approves Distribution Plan for Quantstamp Inc. Following US Securities Law Violations, Culminates in Investor Restitution
On 26 November 2024, the United States Securities and Exchange Commission passed an order approving plan of distribution concerning Quantstamp,...
United States SEC Extends Review Period for NYSE Proposed Rule Change on Reverse Stock Splits
On 25 November 2024, the United States Securities and Exchange Commission announced the extension of the review period for a proposed rule change...
Customers Urged to Act on Premium Savings Contracts as BaFin Appeals Frankfurt Court Ruling
On 25 November 2024, Christian Bock, Consumer Protection Officer of the German Federal Financial Supervisory Authority (BaFin), issued a strong call...
Gen Z Turns to Finfluencers for Investment Advice According to BaFin Study
On 16 October 2024, Germany's Federal Financial Supervisory Authority (BaFin) published a report examining the growing influence of financial...
United States SEC Reports Enforcement Outcomes for Fiscal Year 2024
On 22 November 2024, the United States Securities and Exchange Commission announced the enforcement statistics for fiscal year 2024, providing a...
Miami International Securities Exchange LLC and MIAX PEARL LLC Propose Rule Changes to the US SEC to Allow Bitcoin-Backed Options Trading
On 22 November 2024, the United States Securities and Exchange Commission received proposals i.e. proposal 1, proposal 2 and proposal 3 from Miami...
Gary Gensler Announces Departure as Chair of the United States Securities and Exchange Commission
On 21 November 2024, the United States Securities and Exchange Commission announced that Gary Gensler, the 33rd Chair of the Commission, will step...
US Commodity Futures Trading Commission Proposes DLT and Blockchain for Non-Cash Collateral in Derivatives Markets
On 21 November 2024, the United States Commodity Futures Trading Commission’s Global Markets Advisory Committee, chaired by Commissioner Caroline D....
Unravelling the Bribery scheme involving Indian Energy Companies: US SEC Files Complaint Against Cyril Sebastien Cabanes Allegations Announcement
On November 20, 2024, the United States Securities and Exchange Commission filed a complaint in the United States District Court for the Eastern...
US SEC initiates Legal Proceedings Against Adani Greens Pvt. Ltd and its Directors for Securities Law Violations
On November 20, 2024, the United States Securities and Exchange Commission filed a complaint in the United States District Court for the Eastern...
New York Stock Exchange Implements Rule Changes to Enhance Transparency and Simplify Regulation
On 20 November 2024, the New York Stock Exchange announced the implementation of new rule changes filed with the United States Securities and...
Australian Financial Regulator Announces 2025 Enforcement Priorities to Protect Vulnerable Consumers
On 14 November 2024, the Australian Securities and Investments Commission announced its enforcement priorities for the year 2025. These priorities...