FINRA fines Vistia Capital for alleged rule violations
Vistia Capital, LLC has agreed to pay a fine of $40,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Regulatory News
Regulatory News
FINMA completes annual assessment of emergency plans of ZKB, Raiffeisen and PostFinance
The Swiss Financial Market Supervisory Authority (FINMA) has completed its annual assessment of the emergency and recovery plans for the domestic systemically important banks.
FINRA fines American Veterans Group for alleged rule violations
American Veterans Group, PBC has agreed to pay a fine of $70,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Nexus IFA director, business operations manager admit charges brought by FCA
Two people who worked at financial advice firms have pleaded guilty to fraud after 4 clients lost £2m.
HK regulator takes action against suspected IPO-rigging syndicates
The Securities and Futures Commission (SFC) has taken action against two groups suspected of being involved in fraudulent schemes.
ASIC issues interim stop order preventing Fidante Partners Limited from issuing Class A units in Ares Global Credit Income Fund
ASIC has made an interim stop order preventing Fidante Partners Limited from issuing Class A units in the Ares Global Credit Income Fund.
Austria FMA issues warning against CFDs broker Bulltrade24
The Bulltrade24 website claims it is “the world’s leading social investment community”, and that it is a regulated Swiss bank.
ASIC seeks to extend and amend CFD consumer protections
ASIC is seeking feedback on its proposal to extend and amend the consumer protection measures governing contracts for difference (CFDs).
LEADING BROKERS
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AEGIS appoints Jay Graham to its BoD
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Barchart’s AI assistant Carl becomes available directly inside of WhatsApp
October 28, 2026
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October 28, 2026
Spotware Systems partners with Dubai-based fintech company Techysquad
October 28, 2026
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Regulatory News
FINRA fines Vistia Capital for alleged rule violations
Vistia Capital, LLC has agreed to pay a fine of $40,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINMA completes annual assessment of emergency plans of ZKB, Raiffeisen and PostFinance
The Swiss Financial Market Supervisory Authority (FINMA) has completed its annual assessment of the emergency and recovery plans for the domestic systemically important banks.
FINRA fines American Veterans Group for alleged rule violations
American Veterans Group, PBC has agreed to pay a fine of $70,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Nexus IFA director, business operations manager admit charges brought by FCA
Two people who worked at financial advice firms have pleaded guilty to fraud after 4 clients lost £2m.
HK regulator takes action against suspected IPO-rigging syndicates
The Securities and Futures Commission (SFC) has taken action against two groups suspected of being involved in fraudulent schemes.
ASIC issues interim stop order preventing Fidante Partners Limited from issuing Class A units in Ares Global Credit Income Fund
ASIC has made an interim stop order preventing Fidante Partners Limited from issuing Class A units in the Ares Global Credit Income Fund.
Austria FMA issues warning against CFDs broker Bulltrade24
The Bulltrade24 website claims it is “the world’s leading social investment community”, and that it is a regulated Swiss bank.
ASIC seeks to extend and amend CFD consumer protections
ASIC is seeking feedback on its proposal to extend and amend the consumer protection measures governing contracts for difference (CFDs).
Regulatory News
LEADING BROKERS
LATEST NEWS
- AEGIS appoints Jay Graham to its BoD
October 28, 2026 - DTCC Tokenization Service goes live
October 28, 2026 - Barchart’s AI assistant Carl becomes available directly inside of WhatsApp
October 28, 2026 - Bloomberg unveils BQuant Assistant
October 28, 2026 - Spotware Systems partners with Dubai-based fintech company Techysquad
October 28, 2026
FNG NEWSLETTER
Don't Miss a Story!
With FNG's Newsletter you'll get all the latest breaking FX Industry news stories - in a concise daily email, directly to your Inbox.
You have Successfully Subscribed!
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