Tag: CFTC
CUBE: AI provenance and second-layer risk reshape compliance
Compliance and risk teams can no longer rely on simply knowing that a rule exists. According to the latest edition of The CUBE Read...
Why US investment managers can no longer wing compliance
US investment managers expecting a more relaxed regulatory environment in 2026 may need to reconsider. Regulatory scrutiny remains focused on investor protection, fiduciary responsibilities...
Prediction markets expose gaps in employee compliance
Prediction markets, tokenised securities and digital assets are opening new ways for employees to invest, and compliance teams risk falling behind. The products may...
Prediction markets expose new compliance gaps for advisers
The rapid rise of prediction markets is creating a fresh set of compliance challenges for investment advisers. When firms or their staff trade event...
On-chain trading leaves compliance teams in the dark
An alleged insider trading case involving two former Robinhood engineers has put a spotlight on a problem many compliance teams have yet to solve:...
Why comms compliance rules are converging worldwide
Regulated organisations no longer answer to a single communications compliance rule. Instead, they sit beneath a web of overlapping regimes, each drafted for a...
RegTech becomes non-negotiable for US investment managers
US investment managers are being warned that 2026's regulatory landscape is not lighter, just sharper, as the SEC narrows its focus to fraud and...
Insider trading risk lurks in prediction markets’ rise
Prediction markets have rapidly become one of the most discussed developments in financial services, opening new avenues for participation while introducing fresh compliance and...
UBS hit with $8m CFTC fine over AML monitoring gaps
UBS Financial Services has been ordered by the Commodity Futures Trading Commission to pay an $8m civil monetary penalty over failures to properly supervise...
Eventus wins surveillance mandate at fast-growing Rothera
Rothera, the US-based event contract exchange regulated by the CFTC, has gone live with the Validus platform from trade surveillance specialist Eventus to monitor...
© Copyright 2026 FinTech Global. All Right Reserved
