Tag: Stockbroker

Regulatory Watch News

• 

  SEC Proposes New Regulation Crypto Assets

  SEC

  August 18, 2026

  Washington D.C., Aug. 18, 2026 —

  The Securities and Exchange Commission today announced that it proposed new rules, titled “Regulation Crypto Assets,” that would create a clear and fit-for-purpose framework for certain investment contracts involving crypto assets. This proposal follows the Commission’s March 2026 interpretation clarifying how the federal securities laws apply to certain crypto assets and transactions involving crypto assets. Together, these efforts introduce a comprehensive, tailored securities offering regime intended to address long-standing barriers to responsible capital formation and innovation within domestic crypto asset markets, while preserving the investor protections at the core of federal securities laws.

• 

  Serbia: New GRECO report evaluates progress in anti-corruption measures for the central government and law enforcement

  GRECO

  August 18, 2026

  GRECO has made public today its Fifth Round Second Compliance Report on Serbia, setting out an assessment of the progress made by Serbia in implementing GRECO's recommendations issued in its Fifth Round Evaluation Report to prevent corruption and promote integrity in respect of central governments (top executive functions) and law enforcement agencies.

• 

  FCA bans senior manager for lack of honesty and integrity

  Financial Conduct Authority

  August 18, 2026

   

  The FCA has banned Howard Roland Duckett from working in financial services due to a serious lack of honesty and integrity.

  Mr Duckett was a senior manager at Beauforce Corporation Limited, a debt management firm. The High Court has disqualified Mr Duckett from acting as a company director for 10 years. It found that he had failed to maintain adequate records while director of an unrelated company. The Court also found that Mr Duckett repeatedly lied and attempted to rely on fabricated evidence to distance himself from the company and deny that he was a director. This included falsely claiming that a fictitious individual was responsible for running the business.