Desk
Regulation
Enforcement, licensing and rule-making from the SEC, FCA, CySEC, ASIC and the rest.
189 stories since 2018 · page 9 of 10
March 2021
BTON Financial Taps Ex-Bloomberg Trading Solutions CEO
The non-executive director is also expected to help expanding BTON Financial’s U.S.
SEC Stops ‘Pump and Dump’ Fraudster on Twitter
Fassari's Twitter profile stated: "Bulls make money, bears make money, pigs get slaughtered and wolves take everything." -OC.
ASIC Bans Nizi Bhandari for Dishonest Conduct
The Australian Dealer Group (ADG) and his sole director, Nizi Bhandari, were banned from the Australian financial services industry by ASIC.
Bakkt Granted Crypto License in New York
The New York State Department of Financial Services (DFS) has approved the application of Bakkt Marketplace for virtual currency and money transmitter licenses.
SEC Warns Over Celebrity Endorsements on SPACs
The SEC warned investors not to make investment decisions related to SPACs based solely on celebrity involvement.
Crypto Platform Bybit Shuts Down in UK Amid Crypto Ban
Crypto derivatives trading platform Bybit will end its UK operation by March 31, 2021, the firm announced in its blog.
BitGo Gets NY Crypto License in Times of Crypto Bans
Including the charter granted to BitGo NY, to date DFS has approved 28 charters and licenses for companies engaged in virtual currency business activity.
ASIC License and The New CFD Trading Rules
The ASIC license this year may come at a relatively higher price as CFD trading restrictions are about to come into effect by the end of March.
Japan to Review ESG Rules After $9.4b Fund Greenwashing
The Financial Services Agency, Japan's financial watchdog, has announced it will initiate an industry-wide review of the ESG rules.
February 2021
SEC Fights Off 15 ‘Meme Stocks’ for Questionable Trading
The regulator has recently identified nearly two dozen securities targeted for potential attempts to exploit investors through social media platforms.
ASIC: Immunity for Criminals Assisting Law Enforcement
The new policy will ensure whistleblowers are provided with immunity from both civil penalty and criminal proceedings despite their wrongdoings in the past.
January 2021
Mizuho Americas Taps Fenergo for KYC AML Process Automation
Fenergo announced today that Mizuho Americas has deployed Fenergo’s software to improve the customer onboarding and drive efficiencies.
December 2020
Danske Bank Using Quantexa Following Change in AML Strategy
Danske Bank is announcing sweeping changes to its Anti-Money Laundering strategy, turning to London-headquartered analytics firm Quantexa.
October 2020
September 2020
FCA Overdraft Changes: Payment holiday looms with some banks increasing fees
Around 26 million Brits use an overdraft each year.
