Each month our finance writers round up the top regulatory announcements and compliance changes to ensure our clients stay informed. We follow regulatory news and updates from ASIC, CySEC, MFSA, FCA, FSA, FRB, SEC, MiFID II to produce compliant content marketing for our clients. Here’s our financial regulations roundup for November 2026.
October was an important month for global financial regulation. Regulators in the United States, Europe, Africa, and Asia introduced new proposals and initiatives affecting forex trading, contracts for difference (CFDs), digital assets, and cross-border financial services. Key developments included closer scrutiny of CFD financing charges, reforms to FX transaction reporting, stronger compliance expectations for cryptocurrency businesses, and ongoing efforts to modernise financial market infrastructure.
UK Regulator Raises Concerns Over CFD Overnight Charges
The Financial Conduct Authority (FCA) published findings on how CFD providers charge customers for holding positions overnight.
After reviewing 81 CFD firms, the regulator warned that some overnight financing charges may not deliver fair value under its Consumer Duty rules. It also questioned whether brokers give clients enough information to understand these costs. The findings put fresh pressure on forex and CFD brokers to review their swap fees, pricing structures, and customer disclosures.
UK Moves to Simplify FX Derivatives Reporting
The FCA launched a consultation on implementing its revised transaction reporting framework. The wider reform will remove FX derivatives from certain transaction reporting obligations, cut the number of reporting fields from 65 to 52, and eliminate requirements covering millions of EU-only financial instruments.
The changes are expected to save financial firms more than £100 million a year. The reforms aim to reduce administrative costs while preserving effective market surveillance, and they could benefit forex brokers and investment firms operating in the UK.
South Africa Launches FX Global Code Register
The South African Reserve Bank (SARB) and the South African Foreign Exchange Committee launched a public register to promote compliance with the FX Global Code. The register lets wholesale forex market participants publish voluntary Statements of Commitment, demonstrating their support for global principles on ethics, governance, execution, information sharing, and risk management. The initiative aims to strengthen transparency and encourage responsible forex market practices across South Africa and the wider Southern African Development Community.
Participation is voluntary, and publication does not amount to regulatory certification or approval by the SARB.
South Africa Proposes a New International Financial Hub
The SARB invited public comment on a proposed Synthetic Financial Centre framework designed to attract international investment activity to South Africa.
In its first phase, approved institutions would be able to manage qualifying foreign portfolios and associated foreign-currency investments from South Africa, even when the investors and assets are located elsewhere. The framework could expand South Africa’s role in cross-border investment management and foreign exchange services, and it could help establish the country as a regional financial services hub.
EU Regulator Tightens Rules on Non-Compliant Stablecoins
The European Securities and Markets Authority (ESMA) issued an opinion calling on crypto firms to stop offering services involving stablecoins that do not comply with the Markets in Crypto-Assets Regulation (MiCA). The guidance covers trading, exchange, custody, transfers, investment advice, and portfolio management. Regulators in EU member states, including Germany, France, and Cyprus, are expected to ensure that authorised providers restrict access to non-compliant stablecoins. The move could reshape the European stablecoin market and increase compliance obligations for cryptocurrency exchanges and payment providers.
France and US Strengthen Cross-Border Financial Supervision
France’s Autorité des Marchés Financiers (AMF) and the US Securities and Exchange Commission (SEC) announced a memorandum of understanding to strengthen supervisory cooperation.
The agreement sets out a framework for exchanging information and coordinating oversight of investment advisers, investment companies, and investment service providers operating in both countries. The SEC also said it would resume processing relevant registration applications. The agreement could make cross-border financial services easier to provide while improving regulatory coordination and investor protection.
Cyprus Updates Investment Firm Reporting and AML Guidance
The Cyprus Securities and Exchange Commission (CySEC) issued several circulars affecting Cyprus Investment Firms, including forex and CFD brokers.
One circular addressed quarterly statistical reporting requirements. Others covered developments in European anti-money-laundering regulation, customer due diligence, and regulatory technical standards. Together, these updates underline the importance of reporting, compliance monitoring, and customer verification for Cyprus-regulated financial institutions. They are particularly relevant to international forex brokers operating under Cyprus investment firm licences.
Singapore Proposes Stronger Payment Services Oversight
The Monetary Authority of Singapore (MAS) launched a consultation proposing that licensed payment institutions and future regulated stablecoin issuers join the Financial Industry Disputes Resolution Centre.
The proposal would extend access to independent dispute resolution across more payment services, including those involved in cross-border transfers. Singapore also advanced its regulatory discussions on stablecoins, focusing on the framework governing their issuance and operation. These developments could strengthen consumer protection and regulatory accountability across payment and digital asset businesses.
Japan and US Expand Financial Regulatory Cooperation
Japan’s Financial Services Agency and the SEC held their autumn regulatory dialogue in Tokyo. The discussions covered public and private markets, asset management, financial innovation, and supervisory priorities.
Both agencies committed to continued cooperation on cross-border financial supervision and investor protection. The dialogue reflects ongoing efforts by major financial regulators to coordinate their approaches to emerging financial products and evolving market risks.
US SEC Proposes New Crypto Custody Framework
The SEC proposed rules that would allow registered investment advisers and regulated funds to custody cryptocurrency under a more tailored regulatory framework.
The proposal would permit certain self-custody arrangements and the use of qualifying state trust companies, subject to conditions. The changes could make it easier for regulated investment firms to offer cryptocurrency exposure while maintaining investor safeguards, and they mark another step toward integrating digital assets into mainstream US capital markets.
Regulations Roundup is produced by our team of finance writers. Contentworks is a financial content agency that works with forex brokers, fintechs, banks and payment providers. If you’re looking for expert financial marketing, book a free Zoom with our team.