The U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and the Exchanges were active across a host of regulatory issues impacting fintech companies and broker-dealers during...more
10/2/2024
/ Analytics ,
Anti-Money Laundering ,
Books & Records ,
Broker-Dealer ,
Civil Monetary Penalty ,
Compliance ,
Customer Identification Program (CIP) ,
Cyber Incident Reporting ,
Disciplinary Proceedings ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
FinTech ,
Influencers ,
Investment Advisers Act of 1940 ,
MSRB ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934
In the dynamic world of financial regulation, the Commodity Futures Trading Commission (CFTC) has been actively addressing market manipulation with enforcement actions to ensure market integrity. The CFTC's recent settlement...more
9/10/2024
/ Ambiguous ,
CFTC ,
Civil Monetary Penalty ,
Commodity Exchange Act (CEA) ,
Enforcement Actions ,
Financial Markets ,
Financial Regulatory Reform ,
Innovation ,
Market Manipulation ,
Noncompliance ,
Regulatory Violations ,
Settlement
On November 7, 2023, the Division of Enforcement ("Division") of the United States Commodity Futures Trading Commission ("CFTC") released its annual report of the results of its enforcement efforts, announcing that it had...more
12/15/2023
/ CFTC ,
Civil Monetary Penalty ,
Commodity Exchange Act (CEA) ,
Cybersecurity ,
Decentralized Finance (DeFi) ,
Digital Assets ,
Enforcement ,
Financial Institutions ,
Fraud ,
HSBC ,
Interest Rates ,
OCC ,
Popular ,
Recordkeeping Requirements ,
Restitution ,
Spoofing ,
Swap Dealers ,
Unfair Trade Practices Act