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US Financial Industry Regulatory Authority bars former broker over USD 1.731 million conversion of customer funds
The Financial Industry Regulatory Authority barred former LPL broker Rudy Anguiano for transferring USD 1.731 million from two customers to his company’s bank account without authorization. LPL reimbursed both customers, and Anguiano settled without admitting or denying FINRA’s findings.
Dutch Authority for the Financial Markets publishes red flags for online investment content amid rise in consumer reports
The Dutch Authority for the Financial Markets has published red flags for online investment content after a sharp rise in questions and reports about finfluencers during summer 2026. It highlighted heightened risks in private groups and paid communities, where reliability is harder to assess and consumers may be steered toward unsuitable investments or illegal providers.
Dutch Authority for the Financial Markets identifies four priorities to strengthen asset managers’ ICT recovery
The Dutch Authority for the Financial Markets found that large institutional asset managers have the foundations for ICT recovery in place but need better alignment across critical functions, recovery objectives, providers and testing. It identified four priorities covering consistent classification, function-level recovery objectives, provider agreements and testing against extreme disruption scenarios.
Central Bank of Syria assumes annual chair of Council of Governors of Arab Central Banks and Monetary Authorities
Central Bank of Syria Governor Safwat Raslan assumed the annual chair of the Council of Governors of Arab Central Banks and Monetary Authorities and led its 50th session. Discussions covered monetary and banking stability, payment systems and regional economic challenges.
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Updated just nowView the key developments for the period from September 21 - 27 2026 in the latest Global Regulator & Central Bank News Roundup. Access Regxplora on the go with our new iOS app.
Disclaimer: Summaries are created using generative AI and may contain inaccuracies. Please refer to the original source for authoritative information.
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241 updates in the past 7 daysKazakhstan’s financial regulator has launched a FinOtinish pilot that lets consumers submit and track appeals involving four participating banks, with unresolved cases potentially transferred to the bank ombudsman. The free, voluntary platform will also provide anonymized data for conduct supervision and is planned to expand to other banks after the pilot.
The Thailand Securities and Exchange Commission has backed four draft capital market laws accepted in principle by the House of Representatives. The package would modernize digital processes, broaden oversight of market participants and service providers, and strengthen enforcement and sanctions. The drafts will undergo committee review before further consideration by the House and Senate.
The Slovenia Insurance Supervision Agency outlined how insurers could shift from paying for the consequences of illness toward preventing and actively managing health and longevity risks. It emphasized evidence based innovation, responsible data and model governance, fair treatment and longer term measures of preventive investment. Insurers could also help address retirement income gaps and the risk that individuals outlive their savings.
The National Bank of Moldova reviewed financial regulatory alignment with the EU, 2026 legislative changes concerning central bank independence and the ongoing European Banking Authority assessment of Moldova’s prudential framework. Discussions also covered the central bank’s contribution to access-to-finance and capital market reforms under the EU-supported EUR 1.9 billion Growth Plan for 2025-2027.
The Slovenia Insurance Supervision Agency assessed how AI, data center and energy investment is expanding commercial insurance demand while increasing geographic and supply chain concentration risks. Slovenian gross written premiums rose 14.5% to EUR 1.22 billion in the first half of 2026, with surety insurance premiums doubling amid strong infrastructure investment.
The National Securities and Stock Market Commission of Ukraine has backed three bills to modernize voluntary pension funds and strengthen protection of participants’ savings. The proposals would tighten governance, risk management and disclosure, introduce the prudent person investment rule, and align tax and civil law with the new framework.
The Hong Kong Insurance Authority has fined FWD Life HKD 19.5 million for systemic anti-money laundering control and governance failures between April 2012 and September 2024. Deficiencies affected third-party payments, suspicious transaction monitoring, politically exposed person screening and due diligence for higher-risk customers. FWD has implemented remediation, with enhanced reviews finding no ineligible customer onboarding caused by delayed detection.
The Philippine Securities and Exchange Commission has issued rules governing the registration and trading of structured warrants after consulting on the framework. The requirements supplement applicable securities laws and exchange and self-regulatory organization rules, with a focus on market integrity and investor protection.
The Philippine Securities and Exchange Commission has approved DragonFi Securities to test access to preapproved U.S. equities and exchange-traded funds through an over-the-counter depositary receipt model. The sandbox test will assess the offering’s viability, investor safeguards and regulatory implications.
The Danish Financial Supervisory Authority found that pension companies’ discount structures for market rate products are generally reasonable and compliant with applicable rules. Companies must continue monitoring pricing to ensure value for money and prevent discounts for some groups from producing unreasonable prices for others.
The European Banking Authority has urged targeted changes to MiCA, led by stronger rules for third-country multi-issuer stablecoins and clearer crypto-asset classifications. It also recommends regulating crypto lending, including facilitated access to decentralised finance protocols, and improving issuer and service provider reporting. Existing stablecoin requirements are broadly appropriate, although reserve deposit rules should be reviewed without weakening liquidity safeguards.
European Central Bank research finds that interlinking countries’ fast payment systems is associated with about 4% more bilateral trade. Gains are greatest for smaller and underserved economies, high-cost payment corridors, and systems that support wholesale transactions.