These guides are part of a series of updated Sound Practice Guidance (SPG’s) documents for risk managers, designed to...
- SEC doles out more messaging violation fines September 29, 2023The Securities and Exchange Commission today announced charges against five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment advisers for widespread and longstanding failures to maintain and preserve electronic communications.
- FCA calls for era of “new enlightenment” for financial inclusion September 29, 2023At the Scottish Financial Enterprise: Extending Financial Inclusion event in Glasgow this afternoon, CEO of the Financial Conduct Authority (FCA) Nikhil Rathi delivered a speech on how the regulator plans to implement policies to include the financially excluded in the current cost of living crisis, calling it “a new enlightenment” for financial inclusion.
- WFE's regulatory affairs head on the risks of unregulated crypto-trading platforms September 29, 2023“Using the term exchange can be misleading if you’re not doing these things,” said Richard Metcalfe, head of regulatory affairs at the World Federation of Exchanges (WFE) when speaking to Finextra after laying out their six recommendations for regulators and crypto trading platforms.
- Zumo first to conform to FCA’s tech-based crypto promotion rules September 29, 2023Zumo has become the first digital asset platform to integrate tech-based requirements of the Financial Conduct Authority’s (FCA’s) new financial promotions regime for cryptoasset firms.
- Collaboration to Overcome Fragmentation September 29, 2023At Sibos 2023, Stephen Grainger, Chief Executive, Americas & U.K. Region, Swift, discusses how collaborating on standardization, interoperability, and cross-border payments are pushing the financial community to evolve.