CONSOB Blocks Four Investment Fraud Websites, Bringing Total to 1,838 Since 2019
CONSOB blocks four unauthorised investment websites, bringing total enforcement actions to 1,838 since 2019.
FINRA Penalizes Revere Securities $800,000 for Failures in Foreign Small-Cap IPO Oversight
FINRA fines Revere Securities $800,000 for AML failures and inadequate supervision of foreign small-cap IPOs showing ramp-and-dump hallmarks.
AUSTRAC Uncovers Hundreds of Millions in Suspected Mortgage Fraud Across Australian Banks
AUSTRAC uncovers hundreds of millions in suspected mortgage fraud across 10 Australian banks through Operation Claw investigation.
Italian Regulator CONSOB Shuts Down Four Unauthorized Investment Platforms in Ongoing Fraud Crackdown
CONSOB blocks five unauthorized investment websites, bringing total enforcement actions to 1,834 since 2019.
DFSA Fines Vault Wealth Limited USD 109,200 for Unauthorized Financial Services in DIFC
DFSA fines Vault Wealth Limited USD 109,200 for conducting unauthorized financial services in DIFC.
Hong Kong Deposits Surge 7.3% Year-on-Year as HKMA Reports August Monetary Data
Hong Kong deposits surge 7.3% year-on-year to August 2026, with HKD deposits outpacing foreign currency growth.
BaFin Issues Warning Over Unauthorized Crypto and Financial Services Provider Fintresor
BaFin warns that Fintresor Vermögensverwaltung GmbH operates without required authorization to offer financial and crypto services in Germany.
Indonesia’s OJK Takes Control of Mineral and Strategic Commodities Exchange Regulation
OJK issues two regulations establishing Indonesia's Mineral and Strategic Commodities Exchange, effective January 1, 2027.
FINRA Bars Broker Who Diverted $1.7 Million from Customer Accounts to Personal Business
FINRA permanently bars former LPL Financial broker Rudy Anguiano for converting $1.7 million from customer accounts into personal business.
Brazil’s CVM Accepts R$2.3 Million Settlement in TC S.A. Market Manipulation Case
Brazil's CVM accepts R$2.39 million settlement from three individuals in TC S.A. market manipulation case.