SEC Warns Celebrities over Endorsing SPACs without Disclosure Like ICOs and similar crypto-related fundraisings, SPAC mania has entered the celebrity phase.
Whistleblower Gets $9.2 Million under SEC’s New Bounty Rule The latest amendments to the SEC’s whistleblower program came into effect in December 2020.
Everything You Need to Know about Primary-Source Data for Corporate KYC Making decisions based on primary-source data is an easy way to improve KYC compliance.
FX Global Code of Conduct Recognised by Central Bank of Russia The country’s mega regulator joins a number of key adopters who have pledged to adhere to the code’s principles.
SEC Distributes $1.1 Million Bounty to Five Whistleblowers SEC awarded more than $100,000 to a whistleblower who provided independent analysis of publicly available material.
FINRA Slaps $6.5 Million Fine on LPL Financials The regulatory authority fined LPL for failing to establish a supervisory system to meet compliance requirements.
Deutsche Börse Starts Regulatory Reporting in the UK after Brexit The UK trade repository was formed in March 2019.
Brexit: Croatia’s Hanfa to Deregister 800 Firms from UK, Gibraltar The Brexit deal turned out to be a poor one for the British financial services industry.
Bloomberg Platforms Settle with OSC for $3M over Registration Lapses In addition to paying a fine of $2.5 million, Bloomberg units disgorged $663,000 in fees earned from Ontario-based investors.
Get Ready for Brexit: Top 5 Tips for Financial Institutions Financial institutions will need to remain compliant after Brexit.
CFTC Extends Relief to UK Firms on Brexit Transition The move means that UK firms can qualify for time-limited relief from certain regulatory requirements.
Wall Street Regulator Sounds Alarm over Email Phishing Scam The mass email scam appears to be from the source domain name '@invest-finra.org'.
The Most Common Misconceptions about Global Corporate Registries Complacency can be dangerous, especially when it comes to compliance.
FINRA Imposes $150,000 Fine on Santander Investment Securities The authority imposed a penalty on Santander as the firm failed to capture 6 million emails due to a ...
Goldman Sachs Picks France for Post-Brexit EU Stock Trading Goldman would shift trading in shares of companies based in the bloc to its new Paris hub, SIGMA X ...
FCA Slaps £3.44 Million Fine on TFS-ICAP The FX options broker was found guilty of communicating misleading information to clients.
How Brokers Need to Report Transactions with Changing Regulations? Regulators circle transaction reporting improvements - how brokers will need to liaise with LPs to report the same transaction ...
Analyst Awarded $1.1 Million under SEC Whistleblower Program The tipster examined publicly available materials and then alerted the watchdog to refocus an ongoing investigation.