03/06/2026
During a hearing before the House Committee on Financial Services, lawyers testified on the effectiveness of FINRA, as the committee considers a bill to transfer the agency's responsibilities to the SEC.
03/05/2026
Police said it was carrying out four arrest warrants and 15 search and seizure warrants issued by the Supreme Court in the states of Sao Paulo and Minas Gerais.
02/23/2026
As a result of the miscalculations, the bank reported higher capital ratios than it should have done, leaving the central bank in the dark as to its accurate risk exposure.
02/18/2026
Central bank plans to ease capital requirements in an effort to shift home lending back to banks, top official says
02/18/2026
The catastrophic injury firm that bears his name specializes in cases involving severe and life-altering injuries.
02/13/2026
Atkins named Judge Ryan as the agency’s enforcement director in September.
02/11/2026
In addition to attending the main Plenary sessions, members of the Cayman delegation will participate in a series of targeted meetings
02/09/2026
The timing of the next rate cut may be delayed by stronger growth data and early signs of stabilization in the labor market, but the likelihood of further easing increases the importance of putting excess cash to work for investors.
02/02/2026
Nubank is now in the "bank organisation phase" after first filing for a US national bank charter last September, and plans to open a regional bank within the next 18 months.
01/26/2026
Greater transparency is critical to protecting the integrity of the tax system
01/26/2026
The move underscores how large financial institutions, expected to be major winners of Trump's sweeping deregulatory agenda
01/20/2026
Brazil's federal police have pointed to the use of investment funds with cascading structures in their investigation
01/16/2026
Trump’s post is just that – a message on a social media platform.
01/16/2026
Former insurance agent Dean Vagnozzi claims SEC has dragged his name and reputation through the mud.
01/13/2026
Trump’s post is just that – a message on a social media platform.
01/12/2026
New exam-based framework arrives for advisors as CIRO reshapes proficiency standards
12/30/2025
Service fees and financial advice costs will increase over time — to reflect the higher cost of goods and service; however, transfer-out fees are not service fees.
12/24/2025
Rajesh Markan, who had logged over two decades in the industry, pleaded guilty in April to one count of securities fraud and reached a settlement in June with the Securities and Exchange Commission in a related civil case.
12/24/2025
According to the complaint, fraudsters posed as experienced financial professionals and encouraged retail investors to trade on allegedly fake crypto asset platforms.
12/19/2025
According to a complaint filed this week, Spartan Capital Securities raised about one-third of its overall revenue from excessive trading