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FCA puts principals of appointed representatives on notice

The Financial Conduct Authority has identified major shortcomings in principal firms’ understanding of their regulatory responsibilities for their appointed representatives. Senior management of principal firms should take note 

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Bahamas regulator consults on digital assets bill

The Securities Commission of the Bahamas has issued a consultation on a bill that should provide market participants with clear rules to adhere to in respect of digital assets. It will apply to any organiser, issuer, founder, sponsor, wallet provider, exchange, purchaser or investor

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US SEC charges firm formed to invest in blockchain and former CEO with securities violations

The  U.S. Securities and Exchange Commission has settled charges against NextBlock, a Canadian corporation formed to invest in blockchain companies and related digital assets, and its co-founder and former CEO Alex Tapscott

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UK clamps down on the trading of goods outside the country without a licence

HM Revenue & Customs has fined £10,000 a UK person who was involved in trading goods outside of the UK without a licence, even though the goods were not exported from the UK