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Minimum Shareholder Fund Requirement for Stock Brokers

The Securities and Exchange Commission of Sri Lanka has issued a directive mandating all licensed stock brokers and stock dealer firms to maintain a minimum shareholder's fund requirement of Rs. 100 million or 50% of the firm's stated capital, whichever is higher. This directive aims to strengthen the financial position of these firms and uplift market standards.

SEC directs Colombo Stock Exchange to suspend enforcement for non-compliance

The Securities and Exchange Commission of Sri Lanka directed the Colombo Stock Exchange to temporarily suspend enforcement actions against stockbrokers non-compliant with minimum shareholders' fund requirements until November 30, 2019. A case-by-case mechanism for granting such suspensions was also mandated.

SEC Directive Revises Colombo Stock Exchange Transaction Fees

The Securities and Exchange Commission of Sri Lanka has issued a directive revising share transaction fees for the Colombo Stock Exchange (CSE) and Central Depository Systems (CDS). The changes introduce a step-up fee structure and increase the threshold for the two-band fee structure, effective March 15, 2017.

SEC Directive on Minimum Capital Adequacy Requirements for Stock Brokers

The Securities and Exchange Commission of Sri Lanka has issued a directive requiring all licensed stock brokers, except those trading only in debt securities, to maintain a minimum Capital Adequacy Ratio of 1.2 and a minimum liquid capital of Rs. 35 million. This directive, effective March 1, 2017, aims to implement risk-based capital adequacy requirements.

Companies (Prospectus and Allotment of Securities) Rules, 2014

The Securities and Exchange Board of India has issued the Companies (Prospectus and Allotment of Securities) Rules, 2014. These rules establish the regulatory framework for the issuance of securities and the process of prospectus filing and allotment by companies in India.

SEBI (Annual Report) Rules, 2021

The Securities and Exchange Board of India (SEBI) has published the SEBI (Annual Report) Rules, 2021. These rules establish requirements related to annual reporting for entities regulated by SEBI.

Depositories (Procedure for Holding Inquiry and Imposing Penalties) Rules, 2005

The Securities and Exchange Board of India (SEBI) has amended the Depositories (Procedure for Holding Inquiry and Imposing Penalties) Rules, 2005. The amendments, last updated on December 31, 2021, pertain to the procedural aspects of inquiries and penalty imposition for depositories.

Companies (Issue of Global Depositories Receipts) Rules, 2014

The Securities and Exchange Board of India has issued the Companies (Issue of Global Depositories Receipts) Rules, 2014. These rules establish the regulatory framework for the issuance of Global Depository Receipts (GDRs) in India, impacting public companies seeking to raise capital internationally.

FT SkyBridge Bitcoin Plus ETF Listing Proposal

NYSE Arca has filed a proposal to list and trade shares of the FT SkyBridge Bitcoin Plus ETF. This filing is a notice of proposed change under the Securities Exchange Act of 1934, initiating a review period for the listing of this new security-based swap. The filing includes contact information for NYSE staff and details regarding the submission process.

AMF applies ESMA crypto-asset staff training guidelines under MiCA

The AMF in France has adopted guidelines from the European Securities and Markets Authority (ESMA) regarding the knowledge and competence of staff at crypto-asset service providers (CASPs). These guidelines, adopted by ESMA on January 28, 2026, aim to ensure CASP staff act in the best interests of clients under the MiCA regulation.

ASIC applies to wind up 12 companies linked to accountant

ASIC has applied to the Supreme Court of New South Wales to wind up 12 companies associated with accountant Christopher Malcolm Edwards. The action follows concerns about the companies' management, unclear application of investor funds, significant liabilities, and failure to lodge audited financial statements.

Order Granting Extension of Time to Respond for Andrew Actman

The SEC has granted an extension for respondent Andrew Actman to respond to a motion to vacate sanctions. The Division of Enforcement's response is now due by April 10, 2026, and Actman may reply by May 8, 2026.

Enforcement Order: Freeman Financial Group Enlargement of Time

The Oklahoma Department of Securities has added a new enforcement order granting an unopposed application for enlargement of time to respond for Freeman Financial Group, LLC, Byron Kent Freeman, and Karen Lynne Freeman. The order is part of an ongoing case, CJ-25-9405.

FCA Annual Work Programme 2026/27 Strategic Priorities

The Financial Conduct Authority (FCA) has published its annual work programme for 2026/27, outlining strategic priorities for the second year of its 5-year strategy. The programme details planned activities across four key themes: being a smarter regulator, supporting growth, helping consumers, and fighting financial crime.

FCA consults on regulated fees and levies for 2026/27

The FCA is consulting on proposed regulatory fees and levies for the 2026/27 period. This consultation seeks feedback on rates intended to fund the FCA and the Financial Ombudsman Service, as well as collect levies for government departments. The consultation is open to all FCA fee-payers and relevant levy payers.

FCA Perimeter Report on Regulatory Remit and Current Issues

The FCA has published its Perimeter Report, detailing its regulatory remit and current issues at the edge of its scope. The report highlights areas where legislative change may be needed to address emerging risks, close consumer protection gaps, and support economic growth, particularly concerning technological advancements like AI.

Remarks on Nonbank Designation Proposal

SEC Chairman Paul S. Atkins made remarks supporting a proposal at the Financial Stability Oversight Council meeting on March 25, 2026. While supporting the proposal as a step in the right direction, he reiterated skepticism about the fundamental issues with nonbank designation under the Dodd-Frank Act.

CMF Reports Claims Exceeding CLP 106 Billion in Banks and Cooperatives

The Chilean Financial Market Commission (CMF) reported that claims against supervised banks and cooperatives have exceeded CLP 106 billion. This report highlights the significant volume of claims processed within the Chilean financial sector.

Page Not Found - Comisión para el Mercado Financiero

The Comisión para el Mercado Financiero (CMF) in Chile has indicated that the requested page is unavailable. Users are advised to use the site's search or navigation features to find the required information.

Financial Market Commission Website Page Not Found

The Financial Market Commission (CMF) of Chile has indicated that a requested page on its website is unavailable. Users are advised to use the site's search function or navigation options to find the required information.

CMF Updates Mutual Funds Portal with December 2025 Data

The Chilean Financial Market Commission (CMF) has updated its Mutual Funds Portal with data as of December 2025. The portal provides information on profitability, costs, and portfolios for mutual funds.

CMF Sanctions Cooperative for Charging Excessive Interest

Chile's Financial Market Commission (CMF) has sanctioned a Savings and Credit Cooperative for violating the maximum conventional interest rate. The cooperative received a censure, indicating a breach of financial regulations designed to protect consumers.

CMF Adjusts Leadership of General Directorates

The Chilean Financial Market Commission (CMF) announced adjustments to its leadership structure, with several key directors stepping down. This internal organizational change aims to optimize the CMF's operational efficiency and strategic direction.

NYSE Arca Proposed Rule Change: Options Regulatory Fee Methodology

NYSE Arca has filed a proposed rule change with the SEC to amend its Options Regulatory Fee (ORF) methodology. The proposed change aims to align with other options exchanges by assessing ORF only for options transactions occurring on the Exchange and cleared in the Customer range at The Options Clearing Corporation. The Exchange intends to implement this new methodology by July 1, 2026.

NYSE Proposes Amendments to Rule 8000 and 9000 Series

The New York Stock Exchange (NYSE) has proposed amendments to its Rule 8000 and 9000 Series concerning Security-Based Swap Submissions. This filing initiates the public comment period for these proposed rule changes.

SFC Freezes $219 Million in Assets of Suspected KNT Share Manipulators

The Securities and Futures Commission (SFC) of Hong Kong has obtained a court order to freeze assets up to $219 million belonging to four individuals suspected of manipulating KNT shares. This action is part of a broader enforcement effort, including parallel criminal proceedings against three of the suspects.

SEC Commissioner Peirce's Remarks on Investment Company Regulation

SEC Commissioner Hester M. Peirce delivered remarks at the Investment Company Institute's conference, discussing the growth of investment companies and advocating for smarter, less burdensome regulation. She emphasized that regulations should support firms serving investors well, rather than making compliance a miserable exercise.

OK Securities Enforcement Order: Answer and Affirmative Defenses

The Oklahoma Securities Commission has added a new enforcement order to its public records: the Answer and Affirmative Defenses of Defendants in case CJ-25-9405. This filing is part of an ongoing enforcement action.

SEC Extends Decision Issuance Time for Jason Lynn DiPaola

The SEC has extended the decision issuance time by 90 days for the disciplinary action against Jason Lynn DiPaola, originally taken by FINRA. The new deadline for the Commission's decision is June 22, 2026.

SEC Extends Decision Deadline for Norman Thorn Robertson Case

The SEC has extended the deadline for issuing a decision in the administrative proceeding against Norman Thorn Robertson by 90 days. The new deadline for the decision is June 22, 2026. This action pertains to a review of action taken by FINRA.

SEC Extends Decision Period in FINRA Disciplinary Action Review

The SEC has extended the decision period by 90 days in the administrative proceeding concerning Christopher Peter Tranchina's review of disciplinary action taken by FINRA. The new deadline for issuing a decision is June 22, 2026. This extension is discretionary and does not alter the substance of the case.

FCA Consultation on Simplifying Pensions and Investment Advice Rules

The FCA has opened a consultation on proposals to simplify rules for firms providing pensions and investment advice. The aim is to make it easier for firms to offer simplified advice, promote innovation, and enhance consumer protection while maintaining standards.

Consob Orders Darkening of 14 Financial Abuse Websites

The Italian financial regulator, CONSOB, has ordered the blocking of 14 websites for engaging in financial abuse. This action includes 4 sites offering investment services and 10 sites providing crypto-asset services without authorization. This brings the total number of blocked sites to 1622 since July 2019.

IOSCO Monitoring Group Extends PIOB Board Terms

The IOSCO Monitoring Group has extended the terms of three Public Interest Oversight Board (PIOB) members and the PIOB Chair through December 31, 2027. This action supports the group's objective of advancing high-quality international auditing, assurance, ethics, and independence standards.

SFC Freezes $219M in Assets for KNT Share Manipulation

The Securities and Futures Commission (SFC) of Hong Kong has obtained a court order to freeze assets totaling up to $219 million. These assets are suspected to be involved in the manipulation of KNT shares.

NYSE American LLC - New Options Regulatory Fee Methodology

NYSE American LLC has filed a proposed rule change with the SEC to adopt a new methodology for assessing and collecting its Options Regulatory Fee (ORF). This change aligns with proposals from other options exchanges and will limit the ORF to options transactions occurring on NYSE American and cleared in the Customer range at OCC.

SFC bans Lui Pak Tong for life, fines $17.43 million for misconduct

The Securities and Futures Commission (SFC) has banned Lui Pak Tong for life and fined him $17.43 million for misconduct. Lui, a former licensed representative, illegally extended unsecured loans from a fund he managed to a company he controlled, transferring a significant portion of the proceeds to himself and connected persons.

SEC No-Action Letter: Pentalpha Capital LLC Exemption from Audited Annual Reports

The SEC's Division of Trading and Markets has granted Pentalpha Capital LLC a no-action letter, exempting them from filing audited annual reports for the fiscal year ending December 31, 2025. This exemption is contingent upon Pentalpha Capital LLC's Form BDW becoming effective 60 days after its filing.

SEC Order Scheduling Briefs for Joseph Gordon Nelson

The SEC has issued an order scheduling the briefing schedule for Joseph Gordon Nelson's application for review of FINRA's action. Briefs are due on April 23, 2026, with opposition briefs due May 25, 2026, and reply briefs due June 8, 2026. Failure to file may result in dismissal.

SEC Remarks on Digital Asset Markets Clarity

SEC Chairman Paul S. Atkins announced new guidance clarifying the definition of investment contracts and distinguishing between categories of digital assets, with four categories identified as not securities. This action aims to provide much-needed clarity to digital asset markets and entrepreneurs operating within federal securities laws.

SEC Grants Ally Financial Waiver from Ineligible Issuer Status

The SEC's Division of Corporation Finance granted Ally Financial Inc. a waiver from its 'ineligible issuer' status under Rule 405 of the Securities Act of 1933. This waiver is a result of a settlement by its subsidiary, Ally Invest Advisors Inc., with the SEC regarding disclosure violations.

SFC bans Lui Pak Tong for life, fines him $17.43 million

The Securities and Futures Commission (SFC) of Hong Kong has permanently banned Lui Pak Tong from the industry and imposed a fine of $17.43 million for misconduct. This action follows an enforcement investigation into his professional conduct.

CySEC Circulars for Issuers

The Cyprus Securities and Exchange Commission (CySEC) provides access to its circulars for issuers through its website. This document serves as a portal to these circulars, which offer guidance on regulatory matters affecting listed companies.

CySEC Certifications Circulars

The Cyprus Securities and Exchange Commission (CySEC) has published circulars related to certifications. These circulars provide guidance on certification requirements for professionals operating within the Cypriot financial services sector.

CySEC General Circulars Listing

The Cyprus Securities and Exchange Commission (CySEC) provides a listing of its general circulars. This notice serves as an index to publicly available regulatory information and guidance issued by CySEC.

CySEC Circulars for Regulated Entities

The Cyprus Securities and Exchange Commission (CySEC) provides a central repository for circulars issued to regulated entities. This page serves as a notification hub for all official communications and updates relevant to entities supervised by CySEC.

CySEC Updates CIF Annual Fees Form and Deadline

The Cyprus Securities and Exchange Commission (CySEC) has updated the CIF annual fees calculation form (87-03-01) to include fees for 2025. Cyprus Investment Firms (CIFs) must use the revised form to calculate and submit their annual fees, along with audited financial statement extracts and proof of payment, by April 30th.

CySEC Consultation on Beneficial Owners Directive Updates

The Cyprus Securities and Exchange Commission (CySEC) has launched a consultation on proposed amendments to its Directive on the Register of Beneficial Owners. The changes aim to restrict public access to beneficial ownership information, granting it only to those demonstrating a legitimate interest, in line with EU directives and court rulings. The consultation period closes on March 24, 2026.

CySEC Announces Investment Compartment Dissolution and Liquidation

The Cyprus Securities and Exchange Commission (CySEC) announced the dissolution and liquidation of the investment compartment M-RinIT2 of AIF Monterock Investments AIF V.C.I.C. Plc. This action follows the total redemption of its units and is in accordance with the Alternative Investment Funds Law of 2018.

CySEC Announces RAIF Dissolution and Liquidation

The Cyprus Securities and Exchange Commission (CySEC) announced that 7Q Asset Management Ltd, the external manager for ELINET RAIF V.C.I.C. PLC, has initiated the dissolution and liquidation procedure for the RAIF. The RAIF will remain registered and appear on CySEC's website with a 'under liquidation' notice until the process is complete.