Compliance Financial News

21.09 / 16:25

Stablecoin Binance regulation Europe European Union MICA compliance Binance plans to delist stablecoins in Europe, citing MiCA compliance

An executive at cryptocurrency exchange Binance said in a public hearing with the European Banking Authority (EBA) that it plans to delist stablecoins for the European market by June 2024.

21.09 / 15:03

Stablecoin Binance regulation Europe European Union MICA compliance Binance plans to delist stablecoins in Europe citing MiCA compliance

An executive at the cryptocurrency exchange Binance said in a public hearing with the European Banking Authority (EBA) that it plans to delist stablecoins for the European market by June 2024.

21.09 / 05:37

Kraken ASIC compliance ASIC Initiates Civil Proceedings Against Bit Trade for Alleged Compliance Failures

Australia's regulatory body, the Australian Securities and Investments Commission (ASIC), has initiated legal proceedings against Bit Trade Pty Ltd, the provider of the Kraken cryptocurrency exchange for Australian users, for breaching design and distribution obligations related to its margin trading product.

19.09 / 16:07

Digital Platform performer compliance Digital platforms should be wired for rule compliance

reliance on these systems of legal ordering. As our world becomes more digital, the greater is our need to try and embed the regulations to which we are subject directly into the digital systems that enable our interactions. We can already begin to see early signs of what this might look like in the ways our stock markets and digital payments ecosystems operate, given that their digital workflows already implement underlying regulatory architectures designed to ensure the safety of participants and the certainty of their transactions.

15.09 / 05:31

Apple iphone Apple iPhone iPhone 12 compliance Canada to ‘reaffirm’ iPhone 12 radiation compliance after France ban

Canada will be taking “additional measures” to make sure the iPhone 12 complies with the limits of human exposure to radiofrequency after France found the phone exceeded limits.

08.09 / 13:05

crypto regulation OKX Exchange Regulatory compliance compliance regulatory Exclusive: OKX Crypto Exchange Targets 'Tech-Savvy' India, But Regulatory Compliance Comes First, Says Global CMO Haider Rafique

In an exclusive interview with CryptoNews, OKX Global Chief Marketing Officer, Haider Rafique, expressed the company’s vision to target India's “tech-savy” market.

07.09 / 17:41

Law regulation marketing 2024 compliance Financial UK financial watchdog could give crypto firms until January 2024 for marketing compliance

The United Kingdom’s Financial Conduct Authority, or FCA, has reiterated its warning for all crypto asset firms marketing to users in the country to be in compliance with rules going into effect in October 2023, but added companies could have “more time to implement certain changes”.

05.09 / 22:37

COST Progressive SEC Strategy show fall compliance Brokerages make progress, but still fall short on Reg BI compliance: State regulators

Brokerages are doing a better job of complying with Regulation Best Interest but they have more work to do before they get it right, state securities regulators said Tuesday.

04.09 / 17:43

Provident Cooper SEC Action Strategy Mobile performer compliance SEC Charges Titan Global Capital Management for Misleading Advertisements and Compliance Failures

On August 21, 2023, the Securities and Exchange Commission (SEC) announced that it has levied charges against «Titan Global Capital Management USA LLC», a New York-based FinTech investment adviser. The charges stem from Titan's use of «hypothetical performance metrics» in advertisements that the SEC deemed misleading.

01.09 / 10:25

UPS Lowe's Progressive country compliance Government launches incentive scheme to improve tax compliance at retail level

₹1 crore, ₹10 lakh and ₹10,000 as incentive. The minimum value for invoices to be considered for the draw has been kept at ₹200. All invoices issued by GST registered sellers will be eligible for the scheme and maximum 25 invoices will be considered from an individual in a month.

31.08 / 12:29

Provident Target Reuters Platform Ft compliance Fed warned Goldman's fintech unit on risk, compliance oversight -FT

(Reuters) -A division of Goldman Sachs' transaction banking business (TxB) has stopped signing on riskier financial technology clients after a warning from the U.S. Federal Reserve over risk and compliance earlier this year, the Financial Times reported on Thursday.

28.08 / 09:35

Adoption compliance Oman's Multi-Million Crypto Investments Trigger Sharia Compliance Discussion

The Sultanate of Oman is continuing its push into the world of cryptocurrency with a series of multi-million-dollar investments.

25.08 / 18:17

COST UPS Cooper Fallout Flushing Hudson Anti-money laundering compliance TD could face penalties in probe of anti-money laundering compliance in U.S.

Toronto-Dominion Bank, coming off less-than-stellar third-quarter financial results that fell short of analyst expectations, said it is facing a probe over anti-money-laundering (AML) compliance in the United States.

25.08 / 12:01

COST UPS Cooper compliance TD Bank expects penalties from probes into its compliance with anti-money-laundering rules

Toronto-Dominion Bank says it’s been receiving inquiries from regulators and law enforcement about its compliance with anti-money-laundering rules, including requests related to a United States Department of Justice investigation.

24.08 / 01:27

Provident Williams SEC voice compliance SEC rule Advisors must document annual compliance review in writing under new SEC rule

Buried deep within a regulation that increases scrutiny of private-fund advisors is a rule that applies to all investment advisors and requires that advisors document their annual compliance review.

21.08 / 21:09

Provident Cooper SEC Action Strategy performer social penalty compliance Titan hit with $1 million penalty in ‘perfect compliance cocktail’

An SEC enforcement action against Titan Global Capital Management USA highlights the dangers investment advisors face when using hypothetical returns in their advertising, compliance experts said Monday.

18.08 / 14:03

Provident CEO compliance WeWork seeks to regain listing compliance with 1-for-40 reverse stock split

(Reuters) -WeWork said on Friday it would proceed with a one-for-forty reverse stock split to regain compliance with listing requirements, days after the flexible workspace provider raised «substantial doubt» over its ability to continue operations.

17.08 / 01:21

FIVE Digital Aware Action track Inside compliance Compliance executives face flak over insider trading norms

compliance officers of companies that have failed to comply with the Securities and Exchange Board of India's insider trading norms. Both the BSE and NSE have displayed in the stock price quote section of JK Cement that the company has not maintained the structured digital database (SDD) — an internal record of key employees with access to unpublished price-sensitive information (UPSI).

16.08 / 05:59

TCS Samsung electronic compliance Mukesh Ambani's Reliance issues guarantee for RJIL, RINL. Ensures compliance and no adverse impact

Reliance Industries Ltd (RIL) has issued guarantees for Reliance Jio Infocomm Limited (RJIL) and Reliance International Limited (RINL), ensuring compliance and no adverse impact. In an exchange filing dated August 14. RIL informed.

11.08 / 13:55

business Blockchain Binance regulation Cybersecurity AML compliance Binance applies for Taiwan AML compliance: Report

Binance, the world’s leading crypto exchange by trading volume, has reportedly applied to be registered in Taiwan under the Money Laundering Control Act and the Financial Supervisory Commission (FSC).

10.08 / 21:59

regulation SEC Bittrex Fine compliance SEC’s Crypto Compliance by Enforcement Push Continues as Bittrex Hit With $24 Million Fine

The US Securities and Exchange Commission (SEC)’s push to force the crypto industry into “regulatory compliance” via enforcement action continues, with bankrupt crypto exchange Bittrex the latest to fall foul of the agency.

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