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Moody Capital Solutions, Inc has agreed to a settlement with FINRA that includes a $50,000 fine, a censure, and an undertaking. The firm was cited for supervisory and anti-money laundering program deficiencies over multiple years.
Offshore forex and CFD broker YaMarkets has closed, ending a business focused on India and other eastern markets. Its B2B brand YaPrime also appears to have ceased operations, following regulatory pressure and operational challenges.
Former financial services director Ashley Arandez has been sentenced to five years and six months in prison for dishonest conduct and operating an unlicensed financial services business. He raised about A$1.97 million from self-managed superannuation fund investors with promises of high returns that mostly did not materialise.
Freetrade reported a sharp increase in its pre-tax loss for 2025 as acquisition-related costs and higher marketing spend offset double-digit revenue growth. The figures mark the UK retail investment app’s first full year under IG Group ownership, with assets under administration and trading volumes rising.
LMAX Group has launched Kiosk, a hosted interface that enables brokers and institutional clients to accept and custody digital assets and post them as margin across the group’s trading venues. BlackBull Markets is among the first adopters as it pursues a dual listing on the ASX and NZX.
The UAE Capital Markets Authority has begun displaying risk warnings for firms holding Category 5 licenses and has added some to its public warning list. The move underscores that these firms are limited to marketing and introducing services and cannot provide wider financial services.
Acetop Financial Limited reported a pretax loss for 2025 as client trading volumes fell sharply from 2024’s gold-driven peak. Revenue and trading gains declined, while higher interest costs pushed the London-based CFD provider into the red.
The Securities and Exchange Commission has filed a complaint in the Southern District of Florida against Reign Financial entities and several individuals over an alleged fraudulent high-yield investment scheme. The case involves three purported investment programs, more than $26 million raised from at least 31 investors, and additional alleged misappropriation of hedge fund assets by related defendants.
Deriv has opened a physical office in Mauritius two years after obtaining a licence from the Mauritius Financial Services Commission. The move aligns with the broker’s AI-first strategy and leverages the island’s established role as a hub for CFD brokers and payment providers.
CMC Markets has entered the German and Austrian structured products markets with its first listed certificates and warrants, focusing initially on crypto-linked products. The move positions the London-listed broker against established bank issuers amid regulatory changes for retail turbo certificates.
Outgoing ASIC Chairman Joe Longo used his final speech to urge a ban on unlicensed superannuation communications, labelling mass lead-generation targeting savers as industrial-scale misconduct. He highlighted enforcement results against failed funds and defended ASIC’s public enforcement stance.
The Central Bank of Ireland’s deputy governor for financial regulation has firmly rejected proposals to give financial regulators a mandate to promote sector competitiveness. Mary-Elizabeth McMunn warned such a move could repeat policy errors linked to Ireland’s banking crash and undermine financial stability.
