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SEC and beneficial owners – rethinking proxy voting in a complex system
Efforts to engage with beneficial owners and provide them with mechanisms for influencing governance outcomes appear to be converging with a broader regulatory push for transparency.
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FCA work in review: February 13-19, 2025
Our at-a-glance guide to recent FCA activity.
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Crypto wrap: Elliot’s havoc warning, FCA approval for Coinbase, and India revisits crypto stance
Latest news and developments from the world of crypto.
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IOSCO urges improvements to trading venues’ resilience in case of market outages
IOSCO’s final report highlights five good practices to ensure market resilience and investor confidence.
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Advice Guidance Boundary Review puts transformative change on horizon
Joint policy paper reviews the boundary between advice and guidance to improve quality and availability of consumer support.
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ESMA consults on investor protection topics linked to digitalization
The European regulator sets out its views on how firms should protect their customers in the age of digitization.
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ASIC roundup: Forged signatures, and a record fine for pricing discount failures
The Australian Securities & Investments Commission’s latest actions, June 26 – 30.
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FCA forces three more firms to reverse misleading pension offers
The former British Steel Pension Scheme members were offered between £50 to £300.