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US prosecutors charged Linqto founder William Sarris on six counts over an alleged $450 million pre-IPO investment fraud, while former CEO Joseph Endoso pleaded guilty and is cooperating.
Deriv has obtained a banking licence in St Vincent and the Grenadines, awarded to a separate entity, letting the CFD broker build direct deposit and withdrawal infrastructure.
Charles Schwab & Co. will pay a $175,000 FINRA fine and accept a censure after failing to report or timely report about 2.8 million fractional share transactions.
AUSTRAC has opened an enforcement investigation into Western Union's Australian and global entities over the management of high-risk payment channels, customers and affiliates.
The Australian Financial Complaints Authority has proposed doubling its direct scam-loss compensation cap to A$1.263 million and aligning it with its existing monetary jurisdiction. The draft rules would allow AFCA to apportion liability across multiple regulated entities and introduce new Scam Rules for firms covered by the Scams Prevention Framework.
The FCA reported a sharp rise in significant action taken in whistleblowing cases in Q2, while overall intervention levels remained broadly stable. The shift comes as the regulator prepares to extend non-financial misconduct rules to about 37,000 non-bank firms from 1 September.
CySEC settled with Robomarkets Ltd for €100,000 over possible law and MiFIR breaches, while FXDD operator Triton Capital Markets surrendered its Malta MFSA licence on 25 August 2026.
Godo has joined the European trading landscape as a CySEC-regulated broker, marking a move against the broader offshore trend in the retail brokerage sector. The firm was co-founded by former AvaTrade Dubai executives Mohamed Ahmed and Ebieraja Alex, who launched Godo in 2021 under a Mauritius licence from a Dubai hub.
Malta’s financial regulator has accepted the voluntary surrender of Triton Capital Markets Ltd.’s investment services license, ending the former FXDD Malta broker’s authorization after 16 years. The Malta Financial Services Authority stated the exit was not the result of enforcement action and applied only to the Maltese entity.
The Australian Securities and Investments Commission will review and consult on the future of Australia’s CFD leverage limits ahead of their expiry in May 2027. The regulator also outlined parallel work on OTC derivative capital rules, licensing timeframes, and digital asset platform standards.
An Australian court has appointed provisional liquidators to 12 companies following a A$182 million capital raise linked to ASIC enforcement action. FTI Consulting has 10 weeks to assess solvency, assets, creditor returns and suspected legal breaches across the entities.
The Cyprus Securities and Exchange Commission has agreed a €100,000 settlement with RoboMarkets Ltd over possible breaches of investment services rules, including CFD restrictions for retail clients. The case follows earlier regulatory action and comes as RoboMarkets shifts away from retail CFDs in Europe and expands in the Middle East.
