Tag: FINRA
Navigating market abuse enforcements: current focus and future implications
eFlow Global recently outlined some of the biggest challenges around navigating market abuse enforcement and future implications.
What are the opportunities for digitised regulation?
FinTech Global recently sat down for an interview with Clausematch and FINRA to find out the opportunities of digitised regulation.
Duct-taped solutions, expensive costs & lack of integration – key pain...
The FINRA Annual Conference brings together practitioners, peers and regulators to discuss the compliance space. Red Oak Compliance has released a whitepaper detailing some of the top pain points those attending the conference had.
Robinhood raises $280m Series F round on the back of a...
Stock trading app Robinhood has secured $280m in new funding after a year mired by service outages, software bugs and cancelled banking plans.
FINRA lists MirrorWeb on its compliance vendor directory
MirrorWeb, a web archiving and monitoring solution, has been listed in the Financial Industry Regulatory Authority (FINRA) Compliance Vendor Directory (CVD).
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