DeFi development carried quietly on throughout 2023, but DeFi protocols also faced significant hurdles. In the US, the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) increased their...more
2/12/2024
/ Alternative Trading System (ATS) ,
Anti-Money Laundering ,
CFTC ,
Decentralized Finance (DeFi) ,
Enforcement Authority ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Innovation ,
Innovative Technology ,
Know Your Customers ,
Popular ,
Regulation ATS ,
Regulatory Agenda ,
Securities and Exchange Commission (SEC) ,
UK
FINRA’s recent overhaul of its Sanction Guidelines is the largest and most significant in two, if not three, decades. It would be quite the understatement to say that the time had come for FINRA to make a much-needed change...more