In March of 2022, the SEC proposed rules to include “any market participant that engages in activities as describe in the rules [as] a ‘dealer’ or ‘government securities dealer[.]’”...more
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
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Anti-Money Laundering ,
CFTC ,
Decentralized Finance (DeFi) ,
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European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
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Know Your Customers ,
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Regulation ATS ,
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UK
Welcome to Banking Bites! This is our short summary flagging key developments in the UK that we hope will inform your activities in your market. ...more
Key Takeaways -
..While typically there is a relatively small portion of FINRA customer cases that proceed to an award of damages, approximately one out of every four damage awards goes unpaid.
..FINRA has proposed...more