SEC hands fintech investment advisor Titan $850,000 penalty for misleading clients
The SEC says the fine should serve as “a warning for all advisers to ensure compliance”.
The SEC says the fine should serve as “a warning for all advisers to ensure compliance”.
Here’s our pick of five of the top news stories from the world of finance and tech this week.
Evaluating painkillers and vitamins that drive data governance, and more, in this free webinar.
The SEC has leveraged 30 enforcement actions to date against firms failing to comply with recordkeeping requirements.
The company has now raised more than $150 million to date.
Here’s our pick of five of the top news stories from the world of finance and tech this week.
A handy round-up of the recent funding endeavours of fintech companies across the globe.
From 3 October, access to crypto through Revolut will be fully disabled for US customers.
The insurtech previously raised $18 million in its Series A funding round of July 2021.
Moody’s Analytics’ Orbis database is set to strengthen the European Commission’s anti-fraud efforts.
Here’s our pick of five of the top news stories from the world of finance and tech this week.
The US Federal Reserve has fined Credit Suisse $269 million, with the UK’s PRA issuing a further $119 million fine.
Here’s our pick of five of the top news stories from the world of finance and tech this week.
Wagman joins Rapyd from the Israel Money Laundering and Terror Financing Prohibition Authority (IMPA).
The complaint was filed by a Mexican citizen in June, according to El Economista.
The Fed says it found that Deutsche Bank made “insufficient remedial progress” in fixing its AML controls.
ThetaRay currently engages around one billion end users and monitors over 15 billion transactions per year.
Fincom’s AML Sanctions Screening solution won the AML & Compliance Tech of the Future at the awards.
Here’s our pick of five of the top news stories from the world of finance and tech this week.
Cheqly’s services include business accounts, physical and virtual Visa cards, ACH payments and wire transfers.
The company says the funding has fueled the growth of its Fintech Fraud DAO consortium, launched last fall.
The bank’s CEO says Avaloq’s solution will enable its clients to have “even more control over their assets”.
Socure has integrated Berbix’s tech to launch its new predictive document verification solution, DocV 3.0.
Google Cloud claims its AML AI solution helps increase risk detection and lower operational cost.
In an internal memo, FIS shares that it completed the Bond acquisition on 8 June.
The transaction, subject to regulatory approvals, is expected to close within six to nine months.
Consilient, a US-based regtech, aims “to transform how the industry prevents financial crime”.
Intapp says the acquisition will augment its risk management and compliance offering.
HSBC Securities and Scotia Capital have agreed to pay penalties of $15 million and $7.5 million respectively.
The proposed bill aims to increase transparency, eliminate conflicts of interest and protect victims of fraud.
The move comes just weeks after the firm announced it would be shutting down operations in the US.
The onramp has built-in fraud tools and identity verification to meet KYC and compliance requirements.
Mastercard Crypto Credential defines verification standards, instilling “critical” trust in blockchain tech.
Sonar will help protect the growing business against sanctions violations and other types of financial crime.
Intellect claims its new cloud-based platform is the largest of its kind in the world, offering 1,214 API connections.
RingCentral and Theta Lake’s collaboration on hybrid work compliance enables firms to avoid “blind spots”.
How unified communications platforms facilitate compliance, collaboration, and engagement.
Here’s our pick of five of the top news stories from the world of finance and tech this week.
At Visa, Yu led teams across the business, including business development, sales, finance, and operations.
Hear from Allica Bank and tbi bank on mitigate risk, grow revenue, and improve the banking experience.