Money
Regulation
SEC Overhauls Regulatory Reviews With New Division Exam Handbook
The SEC Division of Examinations has published a new practical guide detailing the revi...
Regulation
Securities regulation and enforcement — the SEC in the US, SEBI in India — covering fraud cases, disclosure rules, market-structure changes and the filings every investor should know.
Regulation
SEC Charges Meyer Global and CEO Over SpaceX Pre-IPO Fund Fraud
The SEC charges Meyer Global Management and its CEO with defrauding retail investors in...
Regulation
SEC Proposes Expanding Retail Access to Private Markets and New Accredited Investor Pathways
The SEC has proposed rule amendments to expand retail investor access to private market...
Regulation
Fed, FDIC Give Clean Bill of Health to 15 Major Banks on Living Wills
The Fed and FDIC found no deficiencies in 2025 resolution plans for 15 large banks, inc...
Regulation
RBI Issues Fresh Compliance Directives Following UNSC Sanctions Update
The Reserve Bank of India mandates strict compliance across all regulated financial ent...
Regulation
SEC Charges Entities in $15M WhatsApp Crypto Investment Scams
The SEC charges Cryptoaiml and TSAI entities in $15M WhatsApp and AI bot crypto fraud s...
Regulation
SEC Fines Zoe Financial $450,000 Over Undisclosed Referral Conflicts
The SEC charges registered investment adviser Zoe Financial $450,000 for failing to dis...
Regulation
RBI Fines Ola Financial Services Over KYC Compliance Failures
The Reserve Bank of India has imposed a monetary penalty of ₹3.10 lakh on Ola Financial...
Regulation
RBI Fines KLM Axiva Finvest ₹2.7 Lakh Over Gold Auction Rules
The RBI penalises KLM Axiva Finvest ₹2.70 lakh for failing to return surplus funds from...
Regulation
SEC Charges South Florida Man in 860,000 Dollar Police Pension Fraud Scheme
The SEC charges Michael D. Williams and CMI Capital with defrauding current and retired...