The proposed roadmap consolidates the bulk of recently advanced agency initiatives.
IPO
One of the most significant changes under the proposed rules would expand federal preemption to all registered securities offerings.
London is actively removing market friction to position itself as an agile global financial hub, contrasting itself with the regulatory burdens of the US and the fragmented EU.
The proposal is the biggest reformulation of reporting rules in decades.
Our regular roundup of the latest news and developments from the FCA.
Atkins touched on familiar themes, including sandboxes for tokenized security trading and a more streamlined IPO process.
“Finders,” or those who find capital for small businesses but are not necessarily registered broker-dealers, have operated in a regulatory gray area.
The SEC’s complaint alleges the company’s investors were misled about product testing and cybersecurity, and its CEO’s previous criminal history.