Fidelity Investments launches new regtech business
Developed in Fidelity Labs, Saifr is powered by AI to facilitate creation and approval of public communications with regulatory organizations.
Read More
Category: Regulatory
CySEC fines Atlantic Securities for non-compliance with market abuse regulation
CySEC announces the imposition of a EUR 3,000 fine on Atlantic Securities Ltd for violating market abuse regulation.
Read More
SEC goes after former UBS adviser for $5.8M theft
Between May 2014 and February 2020, UBS investment adviser German Nino stole approximately $5.8 million from a client.
Read More
CFTC, former HSBC exec secure extra time to pursue depositions
The CFTC and former HSBC executive Christophe Rivoire have secured two extra months to pursue depositions.
Read More
ASIC bans former Spaceship Capital CEO from providing financial services
ASIC has banned former Spaceship Capital Limited CEO Paul Kevin Bennetts from providing financial services for six years.
Read MoreLeading Brokers
Recent Comments