Tag: FINRA

Goldman Sachs & Co. has settled charges with the Securities and Exchange Commission (SEC) for neglecting to supply comprehensive and precise securities trading details, otherwise known as blue sheet data. The prominent financial institution has consented to a penalty of $6m to conclude the SEC's allegations.

In the past few months, both the SEC and CFTC have targeted numerous Wall Street firms for extensive recordkeeping oversights. This resulted in eye-watering penalties surpassing $1.5bn. Both major and minor firms should anticipate that this assertive enforcement will remain unrelenting.

In a recent post, RegTech firm Eventus outlined key reasons why practitioners must be the key drivers behind trade compliance. 

eFlow Global recently outlined some of the biggest challenges around navigating market abuse enforcement and future implications.

FinTech Global recently sat down for an interview with Clausematch and FINRA to find out the opportunities of digitised regulation.

The FINRA Annual Conference brings together practitioners, peers and regulators to discuss the compliance space. Red Oak Compliance has released a whitepaper detailing some of the top pain points those attending the conference had.

Robinhood to pay nearly $70m to resolve sweeping regulatory allegations that the brokerage misled customers, approved ineligible traders for risky strategies and didn’t supervise technology that failed and locked millions out of trading.

MirrorWeb, a web archiving and monitoring solution, has been listed in the Financial Industry Regulatory Authority (FINRA) Compliance Vendor Directory (CVD).

Financial Industry Regulatory Authority (FINRA) has fined Citigroup Global Markets $1.25m for deficiencies in its background checks.

Compliance automation platform Ascent RegTech has revealed a new Federal regulators pack which supports compliance requirements of a number of legislations.