Top Tweets for #softekbit
#SEC Rule 606(a) reports on NMS securities now are required to also be submitted to #FINRA. The new requirement starts with Q2 2024 reports, due to FINRA by July 31. For more: https://t.co/m0w1yA5HAp. #softek.ca/compliance #Softek #softekbit #compliance
Failing to review millions of employee emails led to a $600K fine for TD Private Client Wealth, a broker-dealer subsidiary of #TDBank, #FINRA said. For more: https://t.co/IcFlMZIseO #Softekcompliance #Softek #softekbit #Compliance #complianceofficers
Remote inspections of branch offices will be allowed under a 3-year #FINRA pilot program approved by the #SEC. New rules governing residential offices were also approved. For more: https://t.co/SO91A86zrE #Softek #softekbit #FINRA #SEC #remotework #Compliance #complianceofficers
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: https://t.co/s7Cr9vzZP7 #Elinphant #Elinphantbit #Softek #softekbit
#Artificialintelligence must be subject to effective #compliance when used in the #financial industry to avoid the risk of illegal #trading strategies, #CFTC’s Kristin Johnson says. For more: https://t.co/gju5f9rTV9 #Elinphant #Elinphantbit #Softek #softekbit #AI #trading
#Antimoneylaundering efforts may become more effective with a new #GoogleCloud tool that uses #artificialintelligence to reduce the number of false positives, #WSJ reports. For more: https://t.co/hl5QtHyke6 #Elinphant #Elinphantbit #Softek #softekbit #AI
Not providing material info to possible #investors regarding 2 alternative #funds and not having a proper supervisory system leads to $353,200 #fine for #Hightower Securities: #FINRA. For more: https://t.co/p9yxo0vNwR #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: https://t.co/I39BJP6SvL #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: https://t.co/UUEC0Y3YYB #Elinphant #Elinphantbit #Softek #softekbit
Accidentally deleting 47M electronic messages that should have been kept led to a $4M fine for #JPMorganChase: #SEC. #Compliance officers, make sure your firm is careful with #recordkeeping. For more: https://t.co/IZtm2rGVh1 #Elinphant #Elinphantbit #Softek #softekbit
New #crypto exchange #EDX Markets isn’t directly handling users’ digitals assets or dealing with individual #investors, hoping it can avoid regulatory troubles that hit #FTX + #Binance: #WSJ. For more: https://t.co/7q4hGgyeRW. #Elinphant #Elinphantbit #Softek #softekbit #Binance
#Emojis could prompt a #Rule4530 complaint depending on how customers interpret them so examiners will be looking at how emojis are surveilled + supervised, says #FINRA official. For more: https://t.co/vGL2NtDuCp #Elinphant #Elinphantbit #Softek #softekbit #Compliance
#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: https://t.co/r1AsV55jhe #Elinphant #Elinphantbit #Softek #softekbit
#Emojis may lead to a #Rule4530 complaint depending on how a customer interprets the image so examiners will be looking at how emojis are surveilled and supervised, warns a #FINRA official. For more: https://t.co/tseRIq55D3 #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: https://t.co/Zf67LeCkt2 #Elinphant #Elinphantbit #Softek #softekbit
#Brokerages would have to keep a financial cushion to survive market turmoil + stresses under a #FINRA proposal. Liquidity risk management program + a contingency funding plan would be required. For more: https://t.co/5frgabGz6M #Elinphant #Elinphantbit #Softek #softekbit
#Brokerages would need a financial cushion to survive market turmoil and other stresses under a #FINRA proposal. The proposal also calls for firms to have a #liquidity risk management program. For more: https://t.co/Wg0u5Yik5h #Elinphant #Elinphantbit #Softek #softekbit #brokers
Engaging in a ‘naked’ #shortselling scheme that generated more than $2 million in profit has led to #charges against an investment advisory firm and its managing partner, #SEC says. For more: https://t.co/sQicopnr5w #Elinphant #Elinphantbit #softek #softekbit #nakedshortselling
You might consider dropping #crypto because crypto trading platforms are under a #regulatory siege that has only just begun, says @JohnReedStark, former head of SEC’s internet enforcement. For more: https://t.co/OMleEEAcqe #Elinphant #Elinphantbit #softek #softekbit #SEC
Running unregistered #exchanges & offering the sale of unregistered #securities are the main allegations against #cryptocurrency platforms #Binance and #Coinbase, as #SEC becomes more aggressive on #crypto. For more: https://t.co/YeaOn55cxR #Elinphantbit #softek #softekbit
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