FinTech Futures: Top five stories of the week – 13 October 2023
Here’s our pick of five of the top news stories from the world of finance and tech this week.
Here’s our pick of five of the top news stories from the world of finance and tech this week.
Here’s our pick of five of the top news stories from the world of finance and tech this week.
The SEC says the fine should serve as “a warning for all advisers to ensure compliance”.
The SEC has leveraged 30 enforcement actions to date against firms failing to comply with recordkeeping requirements.
David Robert Baxendale and Edward John Macnamara have been appointed as joint administrators.
The SEC alleges that the Gemini Earn program “constitutes an offer and sale of securities under applicable law”.
FinTech Futures takes a look back at some of the year’s top regulatory stories of 2022.
Here’s our pick of five of the top news stories from the world of finance and tech this week.
The SEC says Kardashian failed to disclose the payment she received for promoting EMAX tokens, a crypto asset.
For more than three years employees routinely used messaging apps on their devices to discuss business matters.
The SEC says that MSSB failed to protect the personal identifying information of approximately 15m customers.
FinTech Futures takes a look back at some of the year’s seminal hires and appointments.
US regulator found failings in the bank’s handling of exchange-traded products.
Consumer protection fines against financial corporates have declined under Trump.
Blockchain protocol also gets a cease and desist from the US regulator.
US Securities and Exchange Commission lays down the law yet again.
US Securities and Exchange Commission makes two people in/famous.
Yo fintech! Don’t mess with the Securities and Exchange Commission.
HoweyCoins might look real, but it isn’t.
Michael Liberty and “friends” took some real liberties with the cash.