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Read more: US and UK Financial Regulators Hold Joint Exercise on Central Counterparty ResolutionUS and UK Financial Regulators Hold Joint Exercise on Central Counterparty Resolution
Senior regulatory officials from the United States and the United Kingdom convened on 3 September 2026 for a joint tabletop exercise addressing the hypothetical resolution of central counterparties. Cross-Border Regulatory Collaboration Representatives from the Securities and Exchange Commission, the Federal Deposit Insurance Corporation, the Commodity Futures Trading Commission, the Federal…
Read more: FRC Opens Investigations Into State Oil Limited Audits and Individual AccountantFRC Opens Investigations Into State Oil Limited Audits and Individual Accountant
The Financial Reporting Council has launched investigations into statutory audits of State Oil Limited conducted by KPMG LLP and PKF Littlejohn LLP, alongside an investigation into the conduct of an individual accountant. Scope of the Regulatory Investigations The Financial Reporting Council has commenced investigations concerning State Oil Limited, a company…
Read more: EFRAG Launches Cost-Benefit Analysis Survey for Non-EU ESRS StandardsEFRAG Launches Cost-Benefit Analysis Survey for Non-EU ESRS Standards
EFRAG has launched an online survey to gather feedback for a Cost-Benefit Analysis on the Exposure Draft European Sustainability Reporting Standards for Certain Non-EU Undertakings under Article 40a of the Accounting Directive. Objectives of the Cost-Benefit Analysis Operating alongside EFRAG's public consultation, the Cost-Benefit Analysis survey seeks input directly from…
Read more: Brazil’s CVM Clarifies Performance Fee Restrictions for FIDC ConsultantsBrazil’s CVM Clarifies Performance Fee Restrictions for FIDC Consultants
The Superintendency of Securitisation and Agribusiness of Brazil's Securities and Exchange Commission has published Circular Letter CVM/SSE 3/2026 to clarify rules governing Receivables Investment Funds. The guidance explicitly prohibits allocating performance fees, in whole or in part, to specialised consultants hired by fund managers. Prohibition of Performance Fee Sharing with…
Read more: Brazilian Regulator CVM Signs New Supervisory Agreement in Americanas InvestigationBrazilian Regulator CVM Signs New Supervisory Agreement in Americanas Investigation
The Securities and Exchange Commission of Brazil (CVM) has announced a new Administrative Agreement in a Supervisory Process related to retail company Americanas S.A. New Supervisory Agreement Executed The Supervisory Process Administrative Agreement Committee (CAS) of the CVM has signed a new agreement concerning facts linked to the relevant fact…
Read more: SEC Charges Founder and New Jersey Entities Over Alleged 16 Million Dollar Ponzi SchemeSEC Charges Founder and New Jersey Entities Over Alleged 16 Million Dollar Ponzi Scheme
The US Securities and Exchange Commission has charged Ernest Ossei Boateng and two New Jersey-based companies he controls regarding an alleged 16 million dollar Ponzi scheme that targeted over 200 inexperienced investors between January 2020 and March 2026. Allegations of Fraud and Misappropriation of Funds According to the SEC complaint,…
Read more: ESMA Warns of Market Vulnerabilities Masked by High Tech ValuationsESMA Warns of Market Vulnerabilities Masked by High Tech Valuations
The European Securities and Markets Authority has issued its second risk monitoring report of 2026, warning that optimism in technology sectors is obscuring underlying economic and geopolitical risks across EU financial markets. Market valuations decouple from macroeconomic risks The European Securities and Markets Authority published its second risk monitoring report…
Read more: EBA Responds to European Commission Decision on Technical Standards for Prior PermissionEBA Responds to European Commission Decision on Technical Standards for Prior Permission
The European Banking Authority has acknowledged the European Commission’s decision not to adopt proposed amendments to Commission Delegated Regulation (EU) No 241/2014, which aimed to shorten processing times for reducing own funds and eligible liabilities instruments. European Commission Decision on Draft Regulatory Technical Standards The European Banking Authority (EBA) confirmed…
Read more: CVM Accepts Settlement with Plano & Plano Executive and Rejects Agreement with QI CorretoraCVM Accepts Settlement with Plano & Plano Executive and Rejects Agreement with QI Corretora
The Board of the Securities and Exchange Commission of Brazil (CVM) has accepted a settlement proposal of BRL 180,000 from an officer at Plano & Plano Desenvolvimento Imobiliário S.A., while rejecting a proposed settlement from fund administrator QI Corretora de Títulos e Valores Mobiliários S.A. Executive Settlement Approved in Share…
Read more: CVM Releases Q2 2026 Sanctioning Activity Summary ReportCVM Releases Q2 2026 Sanctioning Activity Summary Report
The Securities and Exchange Commission of Brazil has made available its summary report detailing sanctioning activity for the second quarter of 2026. Publication Details The regulatory body has issued its summary enforcement update for the second quarter of 2026 under the document title Relatório de Atividade Sancionadora CVM 2026: 2º…
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