Feature Articles Archives - Page 12 of 31 - The Industry Spread

Regtech Will Help According FINRA Panel

February 10, 2019

FINRA, or the Financial Industry Regulatory Authority, put out a white paper in September 2018 identifying these areas, and that white paper was discussed in the most recent FINRA podcast, Unscripted.

Survey Finds Crypto Interest in American Advisors

February 4, 2019

“Ignoring crypt is no longer an option for financial advisors,” the survey concluded. “As the inaugural Bitwsie/ETF Trends Survey for Investment Advisors Attitudes Toward Crypto-assets shows, clients are interested, asking questions, and often investing on their own.”

An Australian Trader Pled Guilty to Spoofing

February 1, 2019

Jiongsheng (‘Jim’) Zhao, 31, of Sydney, Australia, pleaded guilty before U.S. District Judge John J. Tharp Jr. of the Northern District of Illinois to one count of spoofing.  Zhao was extradited to the United States on Nov. 16 and made his first court appearance on Nov. 19.  Sentencing is scheduled for July 19, 2019, before Judge Tharp.