News
(Institutional Investor)
The Securities and Exchange Commission’s whistleblower bounty program has paid nearly $300 million to activist short sellers and other “outsider” tipsters since its creation in 2010, according to a new report by a University of Kansas Law School professor.
(Global Trading)
The Commodity Futures Trading Commission’s (CFTC) Technology Advisory Committee (TAC) has made five recommendations as to how the CFTC should handle AI responsibily in order to safeguard financial markets.
(Blockworks)
Securities and Exchange Commission Chairman Gary Gensler says that the agency is just a “cop on the beat” when it comes to policing the crypto industry. Gensler spoke to CNBC a day after Robinhood disclosed that it received a Wells notice from the US securities regulator.
(Thomson Reuters)
Banks and asset managers are vying with Europe’s exchanges to develop technology that can deepen the pool of investors in the continent’s capital markets and better compete with Wall Street. The United States has long had a ‘consolidated tape’ aggregating stock and bond prices from competing trading platforms for investors to spot the best deals, and the European Union and Britain seek to match this over the coming three years.
(Substantive Research)
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SEC enforcement head focusing on insider trading, off-channel chatter, AI washing
(Pensions & Investments)
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Banks moving into the cloud prompt forecasts of security risk
(Financial Times)
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Bank-led consortium takes aim at position reporting
(Waters Technology)($)
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Chancellor to hold summit in bid to boost stock market
(Proactive Investors)
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CFTC Weighs Outright Ban for Derivatives Bets on US Election
(Bloomberg)($)
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Investment in Compliance Has Decreased in 2024
(Traders Magazine)
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Virginie Saade: Benefits of consolidated tape ‘cannot be overstated’
(Global Trading)
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BlackRock Executive Highlights Basel III Issues
(Traders Magazine)
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Industry calls for major rethink of Basel III rules
(Risk.net)($)
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Regulatory Round-up April
(Best Execution)
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FSB sets out NBFI liquidity preparedness proposals
(Best Execution)
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SEC Fines 16 Firms in Latest WhatsApp Probe Penalties
(Bloomberg)($)
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ESMA: EMIR data quality ‘evolving positively’
(Best Execution)
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