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16 Nov 2023, 9:04 am
Collecting over $400 million in combined civil penalties from twenty-five broker-dealers, advisory firms, and credit rating agencies for violations of federal recordkeeping requirements, including: Wells Fargo Bank Scotia Capital HSBC Global technology company ABB, Ltd, agreed to pay a $75 million civil penalty to resolve charges related to an alleged bribery scheme Companies that engaged in self-reporting, self-policing, remediation, and cooperation with SEC staff upon discovery… [read post]
15 Nov 2023, 10:21 pm
In 1787, people held their wealth in land because there was no stock market or bond market yet and few banks. [read post]
15 Nov 2023, 6:26 am
The submissions contained missing or inaccurate trade data for at least 163 million transactions. [read post]
15 Nov 2023, 6:15 am
On November 13, global investment banking firm BTIG filed a lawsuit in California state court against rival company StoneX Group, alleging trade secret and breach of contract claims related to a StoneX’s recruitment of several key BTIG employees in order to gain access to valuable proprietary software code developed at BTIG. [read post]
15 Nov 2023, 6:15 am
On November 13, global investment banking firm BTIG filed a lawsuit in California state court against rival company StoneX Group, alleging trade secret and breach of contract claims related to a StoneX’s recruitment of several key BTIG employees in order to gain access to valuable proprietary software code developed at BTIG. [read post]
14 Nov 2023, 9:01 pm
The submissions contained missing or inaccurate trade data for at least 163 million transactions. [read post]
14 Nov 2023, 2:00 pm
The content also addresses key questions on oversight and supervision, advertising, marketing, usury, fraud, and unfair and deceptive trade practices. [read post]
14 Nov 2023, 2:00 pm
Federal Trade Commission (FTC) Resource Kit Access more content concerning laws within the purview of the FTC. [read post]
14 Nov 2023, 2:30 am
Upon being recognised by the BoE, overseas CCPs are able to provide clearing services to UK clearing members and trading venues. [read post]
13 Nov 2023, 9:05 pm
Assessing Potential Risks The Analytic Framework retains the eight proposed “vulnerabilities that most commonly contribute” to financial stability risks.[24]Relative to the proposal, the Analytic Framework includes additional examples of the types of “quantitative metrics” the Council may consider under certain vulnerabilities: Vulnerability Sample Metrics – Proposal Additional Metrics – Final Leverage… [read post]
13 Nov 2023, 7:00 am
“Great companies get great valuations, and we can debate what great is, but if people don’t feel good about the valuations, largely they’re not trading,” Mark says. [read post]
13 Nov 2023, 2:00 am
Fraud can involve deception to receive money, information, property, or trade secrets. [read post]
12 Nov 2023, 9:05 pm
While they are formally mutual funds, they function – and are used – more like bank accounts. [read post]
12 Nov 2023, 6:32 am
The two companies announced the completion of the merger on August 11, 2021, with Rockley Photonics Holdings Limited as the surviving publicly traded company. [read post]
12 Nov 2023, 1:00 am
That means they did not trade on any public market, so there was no public trading price to track their value. [read post]
11 Nov 2023, 4:25 am
The FSTB keynote included announcements relating to: (a) the launch of a new integrated fund platform (IFP) to be operated by the Hong Kong Stock Exchange (HKEX), to cover the front-to-back distribution life cycle of retail funds; (b) the launch of cross-boundary e-CNY applications to benefit cross-border travellers; and (c) promotion of real economy applications of virtual assets (VAs) and further development of the VA regulatory framework, including the stablecoin… [read post]
11 Nov 2023, 2:00 am
Fraud can involve deception to receive money, information, property, or trade secrets. [read post]
10 Nov 2023, 9:02 am
OCC AND THE TCPA The main agencies tasked with implementing and policing compliance with the TCPA are the FCC and Federal Trade Commission (“FTC”). [read post]
10 Nov 2023, 6:00 am
[So] the whole point of open banking and finance is opening that up to the wider ecosystem. [read post]
10 Nov 2023, 4:25 am
SBF's version of ETG EA mirrors the grandiosity and the childishness of Rand's libertarianism.Finally, it should not go unremarked that the way that SBF sought to build his fortune was via participation in and facilitation of trading cryptocurrency--at least for a time beloved by so many libertarian crypto bros as a means of liberating finance from the tyranny of government-operated central banks, what with their pesky ability to provide liquidity or… [read post]
