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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: European Commission Proposes European Innovation Act to Scale Regional Technology and R&DEuropean Commission Proposes European Innovation Act to Scale Regional Technology and R&D
The European Commission has introduced the European Innovation Act, a legislative initiative designed to address structural barriers preventing European research and inventions from scaling within the continent. As part of the EU competitiveness compass, the draft legislation introduces frameworks for intellectual property valuation, cross-border research procurement, and targeted regulatory sandboxes.…
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…
Read more: Brazil’s CVM Releases Second-Quarter 2026 Sanctioning Activity ReportBrazil’s CVM Releases Second-Quarter 2026 Sanctioning Activity Report
The Securities and Exchange Commission of Brazil (CVM) published its Sanctioning Activity Report for the second quarter of 2026 on 9 September 2026. The document details enforcement metrics, ongoing investigations, warning notices, settlement agreements, and criminal referrals made to public prosecutors. Active Investigations and Technical Charges By the end of…
Read more: ESMA Consults on Prospectus Disclosure Rules and Updates Guidelines under Listing Act ReformsESMA Consults on Prospectus Disclosure Rules and Updates Guidelines under Listing Act Reforms
The European Securities and Markets Authority has published a package of measures under the EU Prospectus Regulation to reflect updates introduced by the Listing Act. The regulatory updates aim to foster supervisory convergence across European Union member states while streamlining disclosure rules and reducing compliance burdens for market participants. Consultation…
Read more: Brazilian Securities Commission Schedules Trial Session for Market Infraction CasesBrazilian Securities Commission Schedules Trial Session for Market Infraction Cases
The Securities and Exchange Commission of Brazil, known as CVM, scheduled an administrative sanctioning trial session for Tuesday, 8 September, beginning at 15:00. The proceedings address alleged fraudulent market practices, artificial price creation, fiduciary breaches, and investor relations disclosure failures. Cases Concerning Brazil Realty FII Quota Issuance and Transfers The…
Read more: IAASB and IESBA Release 2025 Joint Annual Report Focusing on Global Standards and Sustainability AssuranceIAASB and IESBA Release 2025 Joint Annual Report Focusing on Global Standards and Sustainability Assurance
The International Auditing and Assurance Standards Board and the International Ethics Standards Board for Accountants have published their 2025 Joint Annual Report. The publication details standard-setting activities, global engagement, and implementation work across financial and sustainability reporting. Global engagement and core output metrics The joint report, titled Building Trust Through…
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