FINRA imposes $125k fine on Moomoo Financial
Moomoo Financial Inc., formerly known as Futu Inc, has agreed to pay a fine of $125,000 as a part of a settlement with FINRA.
Regulatory News
Regulatory News
Verena Ross to step down as ESMA Chair
The European Securities and Markets Authority (ESMA) today announced that its Chair, Verena Ross, has decided not to renew her term as Chair for a second mandate.
FCA launches Firm Checker to help consumers avoid scams
To help fight financial crime, the FCA has launched Firm Checker, a tool to help consumers avoid scams.
CBA pays $792k in penalties for alleged breaches of Consumer Data Right Rules
The Commonwealth Bank of Australia (CBA) has paid penalties totalling $792,000 after the ACCC issued it with four infringement notices.
ASIC seeks orders to restrain Colin Oxlade and Spice Capital from engaging in unlicensed financial services activity
ASIC alleges that Spice Capital and Mr Oxlade have carried on an unlicensed financial services business.
ASIC commences civil penalty proceedings against Diversa Trustees
ASIC has commenced civil penalty proceedings in the Federal Court against Diversa Trustees Limited, alleging failures concerning the First Guardian Master Fund.
FINRA fines J. Alden Associates for alleged rule violations
J. Alden Associates, Inc has agreed to pay a fine of $40,000 as a part of a settlement with FINRA.
Number of unauthorized investment websites blocked by Italy’s CONSOB exceeds 1,500
Italy’s CONSOB today announced that the number of unauthorized investment websites blocked since July 2019 has exceeded 1,500.
LEADING BROKERS
LATEST NEWS
HK regulator warns against CoinCola
December 26, 2025
Interactive Brokers adds Options Strategy Selector in Strategy Builder
December 26, 2025
TradingView announces integration of CME options data
December 26, 2025
FINRA fines The Benchmark Company
December 26, 2025
Skyview Ventures LLC gets a slap on the wrist for alleged ICE Futures US rule violations
December 26, 2025
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Regulatory News
FINRA imposes $125k fine on Moomoo Financial
Moomoo Financial Inc., formerly known as Futu Inc, has agreed to pay a fine of $125,000 as a part of a settlement with FINRA.
Verena Ross to step down as ESMA Chair
The European Securities and Markets Authority (ESMA) today announced that its Chair, Verena Ross, has decided not to renew her term as Chair for a second mandate.
FCA launches Firm Checker to help consumers avoid scams
To help fight financial crime, the FCA has launched Firm Checker, a tool to help consumers avoid scams.
CBA pays $792k in penalties for alleged breaches of Consumer Data Right Rules
The Commonwealth Bank of Australia (CBA) has paid penalties totalling $792,000 after the ACCC issued it with four infringement notices.
ASIC seeks orders to restrain Colin Oxlade and Spice Capital from engaging in unlicensed financial services activity
ASIC alleges that Spice Capital and Mr Oxlade have carried on an unlicensed financial services business.
ASIC commences civil penalty proceedings against Diversa Trustees
ASIC has commenced civil penalty proceedings in the Federal Court against Diversa Trustees Limited, alleging failures concerning the First Guardian Master Fund.
FINRA fines J. Alden Associates for alleged rule violations
J. Alden Associates, Inc has agreed to pay a fine of $40,000 as a part of a settlement with FINRA.
Number of unauthorized investment websites blocked by Italy’s CONSOB exceeds 1,500
Italy’s CONSOB today announced that the number of unauthorized investment websites blocked since July 2019 has exceeded 1,500.
Regulatory News
LEADING BROKERS
LATEST NEWS
- HK regulator warns against CoinCola
December 26, 2025 - Interactive Brokers adds Options Strategy Selector in Strategy Builder
December 26, 2025 - TradingView announces integration of CME options data
December 26, 2025 - FINRA fines The Benchmark Company
December 26, 2025 - Skyview Ventures LLC gets a slap on the wrist for alleged ICE Futures US rule violations
December 26, 2025
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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