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The SEC clarified its stance on "crypto asset securities," admitting that the term was misleading and it will stop using this ...

Breach of fiduciary duty and failure to register were among the most common types of misconduct leading to enforcement actions by state securities regulators in 2023, according to just-released data ...

TORONTO, Sept. 20, 2024 /CNW/ - The securities regulatory authorities of Alberta, Saskatchewan, Manitoba, Ontario, Quebec, New Brunswick, Nova Scotia, Prince Edward Island, Newfoundland and Labrador, ...

The exemption allows the exempted Goldmoney entities to conduct this activity without the need to become registered as a dealer or to deliver a prospectus, subject to compliance with certain terms and ...

Australia's prudential regulator is proposing to bar banks from issuing certain hybrid securities to help meet their capital ...

Malaysia aims to introduce policies to draw family offices, according to Salmah Bee Mohd Mydin, executive director of market ...

Hong Kong may have its securities regulator oversee OTC crypto trading, alongside the Customs and Excise Department.

The Canadian Securities Administrators (CSA) today published a CSA Notice of Consultation on proposed amendments to National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives.

The list of FAQs may be updated from time to time, and will be posted on the CSA website, as well as the websites of local securities regulators. NI 93-101 sets out a comprehensive regime for ...

BEIJING, Sept. 13 (Xinhua) -- The China Securities Regulatory Commission Friday announced an administrative penalty on PwC for failing to live up to its obligations in auditing annual reports and bond ...

Congress spokesperson Pawan Kera said Madhabi Puri Buch’s move to trade in listed securities during her SEBI membership is a ...