FINRA orders Robinhood to pay $70m penalty for “false and misleading information”
The sanction is the largest financial penalty issued by the regulator.
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FINRA
Finra slaps UBS with $2m fine for short position failures
Self-regulatory body calls out the bank’s repeated failures.
Thesys loses US stock exchange contract to Finra
The firm was hired to build a data warehouse for all stock-market activity.
Finra wants fintech feedback on US broker-dealer industry
US-based Financial Industry Regulatory Authority open to ideas.
Securities markets: standing at the crossroads
Financial technology has the potential to radically transform the securities industry. The fast pace of change could lead to disintermediation, according to an Iosco study.
Market manipulation detection firm offers “Pepsi Challenge” with new system
One company grateful for the flurry of publicity given to the practice of front-running orders by the publication of Michael Lewis’s book Flash Boys earlier this year is New York-based Trillium, whose Surveyor market manipulation detection tool can be used to detect the practice.
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E-guide: Loan management #technology trends Loan administration systems are essential in today’s lending and loan… twitter.com/i/web/status/1…
White paper: The eIDAS primer New to eIDAS and electronic IDs? Wondering about their impact on your online identit… twitter.com/i/web/status/1…
ICYMI funding round-up: @TomoCredit, Lightyear, @xmargintrading, @Coinfirm_io & more fintechfutures.com/2021/09/icymi-…
RT @FinTech_Futures: #Analysis: Back to the future for banks As most of my regular readers know I like to look at what the future holds fo…
RT @FinTech_Futures: .@GrowCredit raises $106m to expand subscription-based credit builder The round consists of $6.3 million in equity fi…
Elizabeth Warren calls on Fed to break up @WellsFargo Senator Warren cites the #bank’s “longstanding ungovernable… twitter.com/i/web/status/1…
.@_Finnovex Middle East Summit: Digging deeper into resilient and agile transformation strategies The host’s virtu… twitter.com/i/web/status/1…