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Tweets1K
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Likes28
Requests to expunge customer disputes about a #broker will need the approval of a special panel starting Oct. 16, under new rules adopted by #FINRA. Requests must be made within 2 years. For more: buff.ly/3OVZa7a #Elinphant #Elinphantbit #Softek #Softekbit
Failing to properly maintain communications because workers were using unauthorized apps like #WhatsApp leads to 11 Wall Street firms paying $549M in #fines: #NewYorkTimes. For more: buff.ly/3OsX2Cp #Elinphant #Elinphantbit #Softek #Softekbit #compliance
Providing advice that favored his own interests to obtain $20M in financing, to the disadvantage of his clients, leads to #SEC charges against the founder of 2 #ETF entities. For more: buff.ly/43SvFYd #Elinphant #Elinphantbit #Softek #Softekbit #compliance
#Continuingeducation requirements must be completed annually by #brokerdealers and registered reps starting this year. #Compliance officers, please make sure everyone is aware of the change. For more: buff.ly/3DDajmI #Elinphant #Elinphantbit #Softek #Softekbit #Finra
Unregistered sales of a newly created #crypto token & trading platform are among the #SEC allegations against a man and his 3 companies in a scheme that cost investors $1 million. For more: buff.ly/3rIf3VM #Elinphantbit #Softek #Softekbit #cryptotrading #fraud
Moving too slowly to fix problems with its #moneylaundering controls that were flagged as long ago as 8 years has led to a $186M fine for #DeutscheBank: #Federal Reserve. For more: buff.ly/46Xkz6O #Elinphant #Elinphantbit #Softek #Softekbit
#Artificialintelligence when used in the #financial industry must be subject to effective #compliance to avoid the risk of illegal #trading strategies, #CFTC’s Kristin Johnson says. For more: buff.ly/3DmivrI #Elinphant #Elinphantbit #Softek #Softekbit #AI
Failing to report a private securities transaction in which he persuaded an elderly couple to invest in a startup he had a financial interest in has led to a broker being barred: #FINRA. For more: buff.ly/3XToduD #Elinphant #Elinphantbit #Softek #Softekbit #compliance
Failing to report hundreds of suspicious transactions over 10 years because it used the wrong threshold led to #MerrillLynch to pay $12M in #penalties, #SEC says. For more: buff.ly/3O9J6OD #Elinphant #Elinphantbit #Softek #Softekbit #compliance
#Antimoneylaundering efforts may become more accurate with a new tool from #GoogleCloud that uses #artificialintelligence to reduce the number of false positives: #WSJ reports. For more: buff.ly/44cnkz6 #Elinphant #Elinphantbit #Softek #Softekbit
Failing to disclose material info to possible #investors regarding 2 alternative #funds and failing to have a proper supervisory system leads to $353,200 #fine for #Hightower Securities: #FINRA. For more: buff.ly/3NZuUb4 #Elinphant #Elinphantbit #Softek #Softekbit
Accessing his girlfriend’s work laptop from her #investment bank led to a chief #compliance officer being charged with #insidertrading: #WSJ. #CCOs, please make sure your remote workers are careful. For more: buff.ly/3rfPL0E #Elinphant #Elinphantbit #Softek #Softekbit
The accidental deletion of 47M electronic messages that should have been kept led to a $4M #SEC fine for #JPMorganChase. #Compliance officers, make sure your firm is careful with #recordkeeping. For more: buff.ly/433H9HG #Elinphant #Elinphantbit #Softek #Softekbit
New #crypto exchange #EDX Markets will work with retail #brokerages rather than individual #investors in hopes that it can avoid the regulatory troubles that hit #FTX + #Binance: #WSJ. For more: buff.ly/3CBsJEb. #Elinphant #Elinphantbit #Softek #Softekbit #cryptoexchange
#Emojis may lead to a #Rule4530 complaint depending on how a customer interprets the image, warns #FINRA official, with examiners looking at how emojis are surveilled and supervised. For more: buff.ly/3PojJcT #Elinphant #Elinphantbit #Softek #Softekbit
#Brokerages would need to maintain a financial cushion to survive market turmoil + stresses under a #FINRA proposal. A contingency funding plan and stress testing also would be required. For more: buff.ly/3qAswhC #Elinphant #Elinphantbit #Softek #Softekbit
Intentionally placing sales when they had not borrowed or located the shares + failing to make timely delivery leads to charges against investment firm + managing partner: #SEC. For more: bit.ly/3N6aJ9Q bit.ly/3N6aJ9Q #Elinphant #Elinphantbit #softek #softekbit
Consider getting out of #crypto as @JohnReedStark, former chief of SEC's internet enforcement, says #SEC is spot-on with enforcement efforts: He calls crypto platforms inherently unsafe. For more: bit.ly/3oUmBUg #Elinphant #Elinphantbit #softek #softekbit #regulatory
Walking the streets of downtown New York, the bell rings at 9:30 a.m. for Fiserv as they have made a significant move by joining the New York Stock Exchange. Fiserv's integration will bolster its position as a significant player in the financial technology sector. #fiserv
Offering the sale of unregistered #SECurities & operating unregistered #exchanges are the main allegations against #crypto platforms #Binance and #Coinbase, a significant shift in the #SEC's position. For more: bit.ly/3oMZ2g7 #Elinphant #Elinphantbit #softek #softekbit
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Julie DiMauro @Julie_DiMauro
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522 Followers 2K Following TFM ELD is a FMCSA registered and certified ELD solution offering companies of any size a simple, reliable and low-cost HOS logging and racking tool.
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