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Europe's Economic Crossroads: Recession Fears and S&P Global's
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Will Blockchain Technology Mark a Turning Point in Fraud
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7 Things We Wish Someone Had Told Us Before We Started Trading
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Nexo Enhances Data Security Credentials With SOC 3 Assessment
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Europe's Economic Crossroads: Recession Fears and S&P Global's
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CryptoCurrency
SEC Grants Preliminary Approval to Ether ETFs: 3 Firms Eye Tuesday Debut
2024-07-16T10:25:03.780+02:00
BlackRock, Franklin Templeton, and VanEck are the firms expected to launch Ether ETFs.
Bitwise forecasts $15 billion in inflows for the new Ether ETFs within 18 months.
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Retail FX
SEC, MSRB, and FINRA Gear Up for Municipal Market Compliance Program
2024-07-01T16:54:09.236+02:00
Municipal advisors and dealers can attend in person or virtually to learn about regulatory updates and compliance challenges.
Topics include fiduciary duties, compliance pain points, and post-trade monitoring in the municipal market.
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CryptoCurrency
Coinbase Initiates Legal Actions against SEC and FDIC over FOIA Compliance
2024-06-27T14:34:00.519+02:00
Lawsuits claim SEC and FDIC excluded crypto industry from banking sector.
The firm seeks SEC clarity on Ethereum 2.0 and past investigations via FOIA.
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CryptoCurrency
In Its De Facto War on Crypto, Regulatory Rulemaking Isn't the SEC's Priority
2024-06-06T16:43:15.339+02:00
The SEC under Gary Gensler has focused on enforcement actions.
US crypto regulation lags behind the EU, UK and Singapore.
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CryptoCurrency
SEC Chair Warns Crypto Exchanges: Actions Speak Louder than Disclosures
2024-06-06T11:29:08.136+02:00
The regulator steps up actions against crypto firms for insufficient transparency.
It adopts a nuanced stance on crypto ETFs following recent approvals.
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CryptoCurrency
HTX Surpasses Coinbase with $2.4 Billion Spot Trading Volume Surge
2024-05-28T12:27:12.847+02:00
The firm now ranks among the leading exchanges, trailing Binance, Bybit, OKX, and Gate.io.
Coinbase's exchange volume decline aligns with ongoing US legal challenges.
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Institutional FX
ICE Agrees to $10 Million Penalty for Cyber Intrusion Notification Lapse
2024-05-22T16:29:29.717+02:00
The firm delayed notifying its subsidiaries of a cyber intrusion in April 2021.
The cyber intrusion led to missed reporting deadlines critical for investor protection.
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CryptoCurrency
Ripple Pushes Back: Challenges SEC's Proposed $2 Billion Fine
2024-04-23T10:31:19.582+02:00
The SEC has proposed a $1.95 billion fine for securities law violations.
The filing has opposed the SEC's requests, advocating for a civil penalty capped at $10 million.
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Retail FX
WhatsApp Compliance: Self-Reporting Drives Regulatory Change Initiation
2024-04-15T15:10:41.670+02:00
The SEC is pushing for cultural change in compliance, focusing on self-reporting.
Firms like Perella Weinberg and Huntington benefited from self-reporting, receiving lower penalties.
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Harriet Christie
Binary Options
Court Orders $204.6 Million Penalties in CFTC Binary Options Case
2024-03-14T19:36:46.705+02:00
The defendants were found guilty of illegal binary options trading and fraudulent practices.
They are permanently barred from CFTC registration and trading on any registered entity.
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CryptoCurrency
US District Court Closes Case on Alleged Crypto Asset Trading Scheme
2024-03-11T17:57:16.576+02:00
The SEC alleged privileged information was shared by a former Coinbase manager.
Sameer Ramani has been ordered to pay $817,602 in disgorgement and a $1,635,204 civil penalty.
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CryptoCurrency
Kraken Fires Back: Challenges SEC Lawsuit as Regulatory Overstep
2024-02-23T09:48:30.964+02:00
The testimony delivered on May 10, 2023, highlighted inadequate digital asset industry regulation.
The firm disputes the SEC's token-contract stance citing a lack of buyer-issuer agreement.
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CryptoCurrency
Texas Crypto Company Lejilex Throws Down Gauntlet against SEC
2024-02-22T09:34:59.814+02:00
Last year, the company aimed to list digital assets, including those contested by Coinbase and Binance.
Previous rulings on Ripple Labs and Terraform Labs did not address the applicability of the doctrine to crypto.
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CryptoCurrency
South Korean Financial Watchdog Turns to SEC for Bitcoin ETF Guidance
2024-02-05T11:50:27.325+02:00
The FSS chief has planned to visit major financial markets like New York in 2024.
Earlier, South Korea's President’s office challenged FSC on Bitcoin ETFs.
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Retail FX
Regulators Flex Tech Muscle: Report Reveals Global Surge in Financial Fines
2024-01-25T14:05:47.137+02:00
The SEC and CFTC jointly imposed $9.2 billion in penalties.
The FCA experienced a seven-year low with only eight fines totaling £52.8 million.
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News
Binance Faces Legal Showdown as Judge Questions SEC Lawsuit Dismissal Request
2024-01-22T19:42:28.428+02:00
Last June, the SEC accused Binance's US arm of inflating volumes, diverting funds, and providing misleading information.
The firm settled for $4.3 billion with the DOJ and CFTC over illicit finance breaches last year.
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CryptoCurrency
Binance.US CEO Slams SEC's Approach to Digital Asset Regulation in Op-Ed
2024-01-19T18:56:07.358+02:00
The CEO criticizes agency's shift from core principles.
He sees internal disagreements as a sign of broader challenges in the regulatory landscape.
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CryptoCurrency
SEC Delays Fidelity's Ether ETFs, Direxion Steps into Bitcoin Arena
2024-01-19T12:27:10.525+02:00
The SEC delays Fidelity's Ether ETF decision to March 5, 2024, for further evaluation.
Industry opinions differ on the likelihood of the SEC's approval for spot Ether ETFs.
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CryptoCurrency
Coinbase and SEC Lock Horns in Landmark Federal Court Hearing
2024-01-17T14:53:19.678+02:00
The crypto community is watching the case for clarity on the SEC's digital asset jurisdiction.
In June, the SEC sued Coinbase, alleging the exchange traded 13 unregistered securities.
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CryptoCurrency
Ripple Delays IPO Plans Citing Hostile US Regulator
2024-01-17T12:15:17.910+02:00
The firm may reconsider a US listing with a change in SEC leadership.
Other firms, like Circle, are pursuing public listings during a positive year for cryptocurrencies.
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Retail FX
SEC Charges JP Morgan $18 Million for Obstructing Client Whistleblowing
2024-01-16T16:20:52.202+02:00
The firm barred retail clients from contacting the SEC through confidentiality agreements from March 2020 to July 2023.
The firm has agreed to pay a civil penalty of $18 million without admitting or denying findings.
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CryptoCurrency
SEC Escalates Ripple Legal Battle, Demands Financial Documents
2024-01-12T11:49:29.172+02:00
The regulator has pushed the firm to disclose proceeds from institutional sales.
The firm admits $729M pre-complaint profits, pledges compliance, and disputes court injunction.
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CryptoCurrency
BlackRock's Bitcoin ETF Takes the Lead in Historic Pre-market Debut
2024-01-11T22:23:09.561+02:00
iShares Bitcoin Trust soared 22% on pre-market trading.
Grayscale's Bitcoin Trust (GBTC) debuted with a gain of 2%.
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CryptoCurrency
Goldman Sachs Considers Bitcoin ETF Collaboration with BlackRock, Grayscale: Report
2024-01-03T22:40:35.291+02:00
SEC's approval of spot Bitcoin ETFs could pave the way for more institutional involvement in crypto.
This authorization is expected to change crypto investments and the regulatory landscape.
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FinTech
SEC Charges Dozy Mmobuosi and Affiliated Entities in Fraud Scheme
2023-12-18T17:02:33.514+02:00
Since 2019, Mmobuosi allegedly fabricated financial statements.
The regulator seeks legal remedies, including disgorgement, penalties, and bonus recovery.
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