FinTech Futures: Top five news stories of the week – 22 November 2024
Our pick of the top fintech news stories this week includes Robinhood, CaixaBank, Nationwide and more.
Securities and Exchange Commission
FinTech Futures: Top five stories of the week – 13 October 2023
Here’s our pick of five of the top news stories from the world of finance and tech this week.
FinTech Futures: Top five stories of the week – 29 September 2023
Here’s our pick of five of the top news stories from the world of finance and tech this week.
SEC hands fintech investment advisor Titan $850,000 penalty for misleading clients
The SEC says the fine should serve as “a warning for all advisers to ensure compliance”.
SEC brings the hatchet down on Wall Street’s bad recordkeeping with $289m in fines
The SEC has leveraged 30 enforcement actions to date against firms failing to comply with recordkeeping requirements.
Challenging funding environment pushes LedgerEdge into administration
David Robert Baxendale and Edward John Macnamara have been appointed as joint administrators.
SEC charges Genesis, Gemini over alleged sale of unregistered securities
The SEC alleges that the Gemini Earn program “constitutes an offer and sale of securities under applicable law”.
2022: Top five regulations and fines
FinTech Futures takes a look back at some of the year’s top regulatory stories of 2022.
FinTech Futures: Top five stories of the week – 7 October 2022
Here’s our pick of five of the top news stories from the world of finance and tech this week.
Kim Kardashian hit with $1.26m SEC fine for crypto promotion violations
The SEC says Kardashian failed to disclose the payment she received for promoting EMAX tokens, a crypto asset.
SEC fines 16 Wall Street firms $1.1bn for recordkeeping failures
For more than three years employees routinely used messaging apps on their devices to discuss business matters.
Morgan Stanley’s wealth management arm hit with $35m data protection fine
The SEC says that MSSB failed to protect the personal identifying information of approximately 15m customers.
2021: Top five movers and shakers
FinTech Futures takes a look back at some of the year’s seminal hires and appointments.
UBS pays $8m to settle SEC compliance charges
US regulator found failings in the bank’s handling of exchange-traded products.
Biden reshuffles US financial regulators to reign in corporates
Consumer protection fines against financial corporates have declined under Trump.
CoinAlpha fined $500k for crypto law breach
Blockchain protocol also gets a cease and desist from the US regulator.
AriseBank execs fined $2.5m over ICO scam
US Securities and Exchange Commission lays down the law yet again.
I’m a celebrity… get my ICO out of here!
US Securities and Exchange Commission makes two people in/famous.
US regulator plays hardball over ICO securities
Yo fintech! Don’t mess with the Securities and Exchange Commission.
US regulator lures crypto fools with fake ICO site
HoweyCoins might look real, but it isn’t.
SEC charges Mozido founder with investment fraud
Michael Liberty and “friends” took some real liberties with the cash.
