Tag: SEC
SEC rewards three whistleblowers for helping stop securities fraud
The US Securities and Exchange Commission (SEC) has financially rewarded three individuals for submitting a tip which alerted the regulator to fraud scheme targeting retail investors.
Four US regulators join the Global Financial Innovation Network
Four US regulatory agencies have joined the Global Financial Innovation Network (GFIN) to improve co-operation among global regulators.
US SEC halts $1.7bn token offering
The US Securities and Exchange Commission (SEC) has halted the $1.7bn digital token offering in the US and overseas of Telegram Group.
US regulatory bodies issue statement on digital assets
US regulators have come together to issue a joint statement reminding those engaged with digital asset to meet anti-money laundering (AML) and counter financing terrorism (CFT).
The SEC alters Dodd-Frank rules for broker-dealers
The Securities and Exchange Commission (SEC) has adopted new recordkeeping and reporting rules for security-based swap dealers and major-based swap participants which increase the need of tracking.
SEC and CFTC sign enhanced MoU on information exchange
The US Securities and Exchange Commission (SEC) has signed an enhanced memorandum of understanding concerning consultation and cooperation and the exchange of information with the US Commodity Futures Trading Commission (CFTC).
Ascent RegTech reveals new regulators pack to support compliance with more...
Compliance automation platform Ascent RegTech has revealed a new Federal regulators pack which supports compliance requirements of a number of legislations.
US regulator FINRA launches new office monitoring issues from fintech innovation
US regulatory body FINRA has launched an Office of Financial Innovation focused on issues around new uses of fintech by businesses.
FCA, SEC sign MoUs to reaffirm cooperation after Brexit
The UK’s Financial Conduct Authority (FCA) and US Securities and Exchange Commission (SEC) have signed two memoranda of understandings (MoU) to reaffirm cooperation following Brexit.
SEC postpones decision on Bitcoin ETF
The US Securities and Exchange Commission has postponed its decision on whether it will approve or disapprove Bitcoin exchange-traded fund (ETF) SolidX Bitcoin.
