In series of legal filings, regulator claims exclusive jurisdiction
Effort to encourage independent IPO research hasn't worked, added costs
FCA leads week of action against illegal finfluencing activity
IPC denied regulator's review request on disclosure of records
Reps allegedly took $1 million from an elderly client
New licensing regime approved, full compliance due by October 2027
Regulators seek boost in reporting thresholds to reduce small firm demands
Regulators reach deal to support cross-listing in Canada and France
Firms no longer qualify for narrower online advisor exemption
Proposals out for 90-day comment period, final regime slated for Jan. 1, 2028