There are advantages of extended and 24-hour trading, and exchanges entering space can partially bring the risk to limit more, but compliance teams need to increase their systems and processes. There are more ideas than only expanding hours: staffing and procedures need to be modified for additional hours, the system needs to be updated or re-designed, and they both need to adjust to separate market dynamic that is outside of 9-5 windows.
May 2025 Capital Markets Regulatory Update
19 May 2025, International Organization of Securities Commissions (iOSCO) Released three final reports on Finflunsers, online copying trading practices and digital engagement practices as part of their global strategy to protect retail investors from online fraud and misinformation.
12 May 2025, European Securities and Market Authority (ESMA) With the aim of reducing administrative burden while maintaining market integrity and investor trust and improving the reach of capital market, a consultation began a consultation on the misuse regulation of the market under the Listing Act and the proposed changes of Mifid II.
9 May 2025, FCA The final rules allow pools to combine the payment for research and business services, which aims to increase access to high quality investment research, promote market efficiency, and support competition and border research purchases.
8 May 2025: But SecondFor the development and development of the securities market, the 31st International Institute, a commissioner emphasized that a balanced, innovative-friendly regulation is necessary to fulfill capital markets, highlighting efforts to modernize rules-especially around tokens-and to promote global cooperation and promote investors.
2 May 2025, FCA A discussion letter seeking reaction to the future regulation of crypto asset activities as part of Crypto Roadmap was issued, aims to balance consumer protection and market integrity before the upcoming law.
29 April 2025, Esma The guidelines issued emphasized the challenges of risk-based supervision, border coordination and crypto trading and social media effects to help national regulators to prevent and detect market misuse in crypto assets under peacocks under peacocks.
Latest fine and enforcement action
- Australian Securities and Investment Commission (ASIC) A trading firm is sueing a trading firm for allegedly misinformed for sale of 1.5 billion less in 14 years due to systemic failures.
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Second Unicoin, Inc., to make incorrect statements in offerings of unicoin tokens and common stocks related to common stock.
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The United States Attorney for the Southern District of New York announced that three persons blamed for securities fraud for being engaged in an Insider Trading Scheme, which included the acquisition of Kaman Corporation, which illegally avails more than $ 1 million.
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The CME group repeatedly fined and suspended a broker for the unauthorized account change and copper futures markets, resulting in a significant loss in the corporate account, without the knowledge or consent of the customers.
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South African Financial Sector Conduct Authority (FSCA) Ninety Fund Managers SA (RF) (PTT) Limited R3 million was fined and a instruction was issued for the remade after failing to follow the firm Anti-Mani Laundering provisions.
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An American federal judge, citing bad beliefs and false statements by the agency, dismissed the CFTC’s trial against the traders Global Group (my foreign exchange fund), and ordered it to be paid for legal fees, as it failed to disclose the evidence, which refused to allege its fraud.
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Courts of Hong Kong Eastern Magistrates convicted the brothers for conspiring to do false business in shares of brother-in-law International Holdings and additionally convicted a brother for failing to disclose a change in their shareholding in Sehka on eight occasions.
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CFTC Left its appeal against a court verdict, allowing Khelex LLC to offer an election-based event contract, indicating a change in regulatory currency towards the prediction markets.
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New Zealand Financial Market Authority (FMA) -The mana tatai Hokohoko ordered a retail investor to ordered a NZ $ 198,000 fine to deliberately manipulate the price of RUA bioscience shares through small, non-mass trades in violation of market conduct laws.
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Securities and Exchange Board of India (SEBI) Patel stopped the four directors of wealth advisors and securities market and ordered a seizure of 3.2 crore in alleged illegal benefits to engage in sprugging.
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Second Three individuals were charged with fraud to orchestrate a multi-year plan, which manipulated more than $ 21 million by manipulating American Green, Ink stock through concessional share sales, false revelations and promotional strategy.
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