DFSA's MD of Policy and Legal shares how interest from six jurisdictions in the sandbox reflect demand for responsible ...

Chuck Roberts, whose recommendations of structured notes landed the St. Louis firm a nearly $133 million arbitration award, was kicked out of the industry after ceasing to cooperate with a regulatory ...

Chuck Roberts ends a decadeslong career amid a flurry of client complaints.

$3 million upfront with up to an additional $2.9 million of potential aggregate gross proceeds upon the exercise in full of short-term warrants ...

The outcome is correct, but it’s disappointing that FINRA had ample opportunity to investigate the merits of clients’ allegations in these claims, including the testimony in the three investor ...

The Nigerian Midstream and Downstream Petroleum Regulatory Authority (NMDPRA) has emphasised the importance of compliance with regulations in the oil and gas sector, particularly in the midstream and ...

Lower capital and regulatory requirements could prompt almost 700 captive insurers to move onshore or set up in the UK, ...

Prometheum Earns Final Regulatory Nod to Try Hand at Fully-Compliant Crypto The U.S. platform, which drew industry barbs for insisting crypto can comply with SEC rules, is now approved for ...

UK Chancellor signals shift from post-crisis regulatory caution as financial services industry welcomes proposed reform at ...

It is time to take the boot off and regulate for growth, not risk. That was chancellor Rachel Reeves’ core message in her Mansion House speech last night, where she unveiled the biggest financial ...

FCA and PRA propose reforms to SM&CR aimed at reducing regulatory burden while upholding accountability and supporting sector growth.