Latest SEC investigations News, Insights & Analysis - FinTech Global

SEC recordkeeping penalties

Preserve eComms or pay the price: The SEC’s 2024 focus on...

June 4, 2024

The SEC and CFTC have charged multiple Wall Street firms with widespread recordkeeping failures, imposing staggering penalties exceeding $2.5bn.

Latest Analysis

IMTF

Babel Street, IMTF unite to set new standards in international compliance...

November 21, 2024

Tide unveils carbon calculator to help SMEs achieve net zero

Tide unveils carbon calculator to help SMEs achieve net zero

November 21, 2024

Akur8 and AAIS collaborate to revolutionise predictive modelling in P&C insurance

Akur8 and AAIS collaborate to revolutionise predictive modelling in P&C insurance

November 21, 2024

Anitian raises $7m Series D funding to drive AI-powered compliance innovation

Compliance Management

Anitian raises $7m Series D funding to drive AI-powered compliance innovation

November 21, 2024