Tag: CFTC

As prediction markets continue to move from niche experimentation into mainstream financial discourse, they are creating a new set of challenges for regulators and...

Reconciliation has become one of the most important components of compliance, particularly as regulated firms face more complex communication environments and increasing regulatory scrutiny. The...

Prediction markets, also known as event derivatives or binary bets, are becoming increasingly popular among traders. Devexperts, which develops software for capital markets firms, recently...

In the evolving landscape of work, particularly in hybrid and remote settings, tools that enhance connectivity and engagement, like Zoom's Workvivo, are becoming indispensable for fostering a vibrant workplace culture.

In a crucial update from the CFTC, the OCEO has issued a warning about the growing use of generative AI in fraud schemes. The...

ElectronX, a financial infrastructure firm focused on electricity derivatives trading, has raised $10m in a strategic investment round.

Corlytics has released its regulatory enforcement data for Q3, showcasing a surge in regulatory actions, record fines, and a stronger emphasis on senior staff conduct.

Kaizen has successfully completed its first external funding round, securing a £42m investment from Guidepost Growth Equity. This marks a significant milestone for the...

The SEC and the CFTC have recently imposed fines totalling $477.75m on 26 broker-dealers and investment advisers for failing to comply with electronic communication...

BNY Mellon has been fined $5m by the CFTC for failing to accurately report millions of swap transactions and inadequately supervising its swap dealer operations.