Regulator news for traders
Warnings about unlicensed and clone firms, enforcement actions and fines, and rule changes — collected from the official websites of UAE and major global regulators. Each item links to the regulator’s original notice.
449 notices · Latest notice: 6 Nov 2026
- CFTC Secures Federal Court Orders Requiring Former Long Island Resident and His Firm to Pay Over $288 Million for Operating a Commodity Pool Ponzi Scheme
- ASIC's annual report outlines strong enforcement and consumer outcomes
ASIC published its Annual Report for 2025-26 which showed ASIC secured court orders for civil penalties of $830 million and helped secure more than $580 million in repayments and refunds for consumers and investors…
- ASIC cancels Australian credit licence of MWL Financial Services Pty Ltd (In Liquidation)
ASIC has cancelled the Australian credit licence of MWL Financial Services Pty Ltd (In Liquidation) ACN 095 907 574 (MWL) following a payment by the Compensation Scheme of Last Resort (CSLR).
- Altera Investment in Commercial Enterprises and Management Co. L.L.C.
Address: Dubai. The CMA advises investors against dealing with this entity, as it is not licensed or authorized to conduct regulated financial activities or provide related services.
- New Q&As available
New Q&As available 16 October 2026 CCP Digital Finance and Innovation The European Securities and Markets Authority (ESMA), the EU's securities markets regulator, has published the following question and answer:…
- ASIC bans former MWL financial adviser Pardeep Singh for four years
ASIC has banned former MWL Financial Services Pty Ltd (MWL) financial adviser Pardeep Singh (authorised representative number 001264972) from providing any financial services for four years.
- LIBOR/EURIBOR-related bans
The FCA has reviewed its regulatory action against individuals whose convictions have recently been overturned by the Court of Appeal.As these convictions formed the basis on which the FCA took its action, we have…
- ESMA finalises the review of guidelines on the delay in disclosure of inside information
ESMA finalises the review of guidelines on the delay in disclosure of inside information 16 October 2026 Guidelines and Technical standards Market Abuse Market Integrity Simplification and Burden Reduction The…
- One year to go for T+1 settlement: the regulatory framework is complete, now let’s make it happen
One year to go for T+1 settlement: the regulatory framework is complete, now let’s make it happen 16 October 2026 Guidelines and Technical standards Post Trading Press Releases The European Union (EU) will switch to…
- Titanedge Securities Ltd — Total Fine €100.000
The Investment Services and Activities and Regulated Markets Law
- ESMA updates its manual on transparency with new guidance for OTC derivatives and tick-size regime
ESMA updates its manual on transparency with new guidance for OTC derivatives and tick-size regime 15 October 2026 Trading The European Securities and Markets Authority (ESMA), the EU regulator and supervisor, has…
- ASIC consults on implementation of new digital asset laws
ASIC has today commenced consultation on guidance and standards to implement new laws for digital asset platforms and tokenised custody platforms commencing on 8 April 2027.
- ESMA's third Sanctions Report highlights the need for greater convergence in enforcement
ESMA's third Sanctions Report highlights the need for greater convergence in enforcement 15 October 2026 Market Abuse Supervisory convergence Transparency The European Securities and Markets Authority (ESMA), the…
- SEC Small Business Advisory Committee to Discuss IPO Modernization and Regulation Crowdfunding
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday, October 27, 2026, at 10 a.m. to continue discussing IPO modernization and…
- (Neolin Capital Market Ltd) · (Neolin Marketing Management Est) · (SUMAN POUDEL TARA NATH POUDEL)
Address: (https://neolinfx.com/). The CMA advises investors to refrain from dealing with these entities, as they are not licensed or authorized to conduct regulated financial activities or provide related services.
- Global standard-setting bodies publish final report on guidance for FMIs on general business risk and general business losses
- Capital Market Authority Enhances Access to Capital Market Regulatory Frameworks
- Two plead guilty after clients lose £2m in fraud case
Two people who worked at financial advice firms have pleaded guilty to fraud after 4 clients lost £2m. Kerry Nelson, the director of Nexus Independent Financial Advisers Limited and Nexus Investment Managers Limited,…
- Dinar Marketing Management
Address: (dinarmm.ae). The CMA advises investors to refrain from dealing with these entities, as they are not licensed or authorized to conduct regulated financial activities or provide related services.
- CFTC Seeks Public Comment on Notice of Proposed Rulemaking Concerning the Inclusion of Certain Event Contracts in the Definition of Swap
- CFTC Issues Interim Final Rule Excluding Certain Activity from the Definition of Swap
- SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Funds
The Securities and Exchange Commission today proposed amendments to the Investment Company Act “cross-trading rule,” which permits transactions in securities between a registered fund and its affiliates under certain…
- FSRA Alerts Public to Suspected Fraudulent Scheme by Takeo Investments
- SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Case
The Securities and Exchange Commission today moved for entry of a final judgment by consent against Stephen Kenneth Leech II, the former co-chief investment officer of registered investment adviser Western Asset…
- CFTC Seeks Public Comment on Advanced Notice of Proposed Rulemaking Relating to Regulation Crypto Asset Transactions and Regulation Crypto Asset Markets
- SEC Coordinates with Global Financial Regulators to Raise Fraud Awareness During World Investor Week
The Securities and Exchange Commission, in coordination with other U.S. and global financial regulators, today issued a joint investor bulletin as part of World Investor Week (WIW). The bulletin encourages investors…
- DFSA Issues Feedback Statement on Consultation Paper No. 174
- The DFSA made targeted amendments to credit rating agency and prudential reporting requirements
- Toxotis Investments Public Ltd, A. Tsokkos Hotels Public Ltd, Dome Investments Public Company Ltd and Karyes Investment Public Company Ltd — Suspension of trading of shares
The Investment Services and Activities and Regulated Markets Law
- (RADHIKA FINANCIAL MARKET L.L.C) · (Radhika Capital Markets) · Website: www.radhikafx.com
Address: Dubai. The CMA advises investors to refrain from dealing with these entities, as they are not licensed or authorized to conduct regulated financial activities or provide related services.
- Lydya Financial Ltd — Fine €1300
The Cyprus Securities and Exchange Commission Law
- Warning regarding unregulated entities
- Lydya Financial Ltd — Fine €1300
The Cyprus Securities and Exchange Commission Law
- SEC Proposal Would Address How Investment Advisers and Funds Can Custody Crypto Assets Under the Federal Securities Laws
The Securities and Exchange Commission today proposed new rules and amendments to provide a tailored framework for the custody of crypto assets for registered investment advisers and regulated funds, i.e. registered…
- DFSA | The DFSA fines Vault Wealth Limited USD 109,200 for carrying on unauthorised financial services in Dubai International Financial Centre
- Notice of Amendments to Legislation: October 2026
- SEC Charges Meyer Global Management and Its CEO With Defrauding Retail Investors in Private Funds That Held Interests in SpaceX and Other Pre-IPO Securities
The Securities and Exchange Commission today charged private fund adviser Meyer Global Management LLC (MGM) and its CEO, Owen E.H. Meyer, with defrauding investors and MGM-managed funds in connection with investments…
- SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted Veterans
The Securities and Exchange Commission today announced charges against Christopher Kenji Dinelli and Jacob David “Kobe” Frankel for allegedly orchestrating a fraud scheme that raised more than $8.7 million from 35…
- SEC Proposes Amendments to Expand Responsible Retailization of Private Markets
The Securities and Exchange Commission today voted to propose rule amendments that would facilitate capital formation in the public and private markets by expanding retail investor choice and promoting innovation in…
- CFTC Secures Court Order Directing Louisiana Man and Arkansas Woman to Pay Over $31 Million for Digital Assets, Precious Metals Fraud
- FSRA Alerts Public to Suspected Fraudulent Scheme by E-Community
- SEC Charges Multiple Entities in Fraud Schemes Totaling at Least $15 Million That Used WhatsApp and Other Platforms to Lure Investors
The Securities and Exchange Commission today charged multiple entities that are likely operated by individuals located overseas for defrauding hundreds of retail investors, including many in the U.S., through…
- DIFC Firm Impersonated in Employment Scam
- SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest
The Securities and Exchange Commission today announced settled charges against New York-based investment adviser Zoe Financial Inc. for failing to fully and fairly disclose material facts concerning conflicts of…
- JKV GLOBAL CAPITAL MARKET SERVICES LTD · JKV GLOBAL MARKETING MANAGEMENT CO L.L.C · JKV GLOBAL MARKET FZE
Address: (https://jkvglobal.com). The CMA advises investors to refrain from dealing with these entities, as they are not licensed or authorized to conduct regulated financial activities or provide related services.
- CFTC Charges Cash FX Group S.A., and CEO; Three Others With $950 Million Fraud Scheme
- False Claims by Fin that it is Regulated by the DFSA
- DFSA Authorised Firm Impersonated – XTB MENA Limited
- Fraudulent Recruitment Communications Impersonating the DFSA
- SEC Charges South Florida Resident and His Company for Alleged Investment Scheme Defrauding Law Enforcement
The Securities and Exchange Commission today charged CMI Capital LLC and its founder and manager, Michael D. Williams, for an alleged fraudulent investment scheme that raised approximately $860,000 from at least 18…
About these notices
Every item comes from the regulator’s own website or feed and is checked several times a day. Titles are shown as the regulator published them; Invvex does not add findings. A notice is not a full list — always check the regulator’s public register before dealing with a firm.
- Capital Market Authority (UAE, formerly SCA)
- Dubai Financial Services Authority (DIFC)
- Financial Services Regulatory Authority (ADGM)
- Virtual Assets Regulatory Authority (Dubai)
- Financial Conduct Authority (UK)
- Cyprus Securities and Exchange Commission
- Australian Securities and Investments Commission
- U.S. Securities and Exchange Commission
- U.S. Commodity Futures Trading Commission
- National Futures Association (U.S.)
- European Securities and Markets Authority
- International Organization of Securities Commissions