FINRA Fines Morgan Stanley $5 Million for Sub-Standard Anti Money Laundering Practices

2018-12-29 15:00

The American financial industry regulatory authority, FINRA, has fined wall Street bank Morgan Stanley for violating anti-money laundering (AML) rules over a period of five years, reported Finance Magnates on December 26, 2018.

Fraud in the Traditional Space FINRA stated the financial giant failed to adhere to three requirements of the Bank Secrecy Act of 1970, which stipulates all U. S. -based. . . Read More. The post by Shaurya Malwa appeared first on BTCManager, Bitcoin, Blockchain & Cryptocurrency News.

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Источник: btcmanager.com

finra financial → Результатов: 28

Op Ed: SEC’s Latest Declaration Creates Legal Minefield for Digital Assets

On November 16, 2018, the U. S. Securities and Exchange Commission (SEC) issued a public statement clarifying its intent to regulate activities involving the issuance and trading of digital assets.

2018-11-21 01:44	Op-ed
digital sec assets securities exchange act registration

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Trader Jailed and Fined Over $1 Million for Bitcoin and Litecoin Fraud Scheme

The U. S. Commodity Futures Trading Commission (CFTC) issued a press release on Friday, November 9, 2018, stating that it had fined Arizona resident Joseph Kim for perpetrating a fraudulent cryptocurrency trading scheme against his former employer and other investors.

2018-11-13 22:55	Law & justice
kim investors had funds employer crypto company

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Everbloom Decentralized Exchange (DEX) Seeks Licensed Broker-Dealer Status

Why Everbloom DEX is Enduring The Tedious But Necessary' Process to Get a Securities License The decentralized exchange (DEX) has announced that it is going through with the tedious but necessary process to obtain a license from the Financial Industry Regulatory Authority (FINRA), the self-regulatory organization (SRO) for securities dealers. Everbloom as one of the […]

2018-9-28 21:54	News
dex everbloom necessary tedious process securities license

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Crypto Exchange Poloniex Dumps Eight Underperforming Coins

Cryptocurrency exchange Poloniex is delisting eight coins: BitcoinDark (BTCD), Bitmark (BTM), Einsteinium, (EMC2), Gridcoin (GRC), NeosCoin (NEOS), PotCoin (POT), VeriCoin (VRC) and BitcoinPlus (XBC).

2018-9-20 01:10	Digital assets
poloniex exchange coins 2018 delisting securities delisted

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FINRA Targets Cryptocurrency Firm Marketing HempCoins for Selling Unregistered Securities

Financial regulators in the United States are now taking steps to ensure that firms engaged in cryptocurrency-related activities operate within the confines of the law. In a recent move, the Financial Industry Regulatory Authority (FINRA) is accusing Rocky Mountain Ayre President Timothy Tilton Ayre of selling unregistered securities in connection with the company’s sale of […] FINRA Targets Cryptocurrency Firm Marketing HempCoins for Selling Unregistered Securities was originally found on [blokt] - Blockchain, Bitcoin & Cryptocurrency News.

2018-9-17 13:24
unregistered finra selling securities cryptocurrency ayre targets

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FINRA Issues Its First Crypto Disciplinary Action

The U. S. Financial Industry Regulatory Authority has taken its first disciplinary action involving cryptocurrencies. The authority charges a broker with fraudulent and unlawful distribution of unregistered crypto securities.

2018-9-13 08:10	Virtual Currency
crypto disciplinary action finra authority public issues

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A New Precedent: FINRA Charges Crypto Broker With Securities Fraud

The Financial Industry Regulatory Authority (FINRA), a non-profit watchdog for public brokerage firms in the U. S. , has had its first run-in with the cryptocurrency industry.

2018-9-12 21:15	Regulation
ayre finra hempcoin industry cryptocurrency securities rmtn

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FINRA Charges Rocky Mountain Ayre CEO With Fraud

Financial regulator FINRA has charged the president of Rocky Mountain Ayre with securities fraud relating to the distribution of HempCoin.

2018-9-12 20:34	law and legislation
fraud finra rocky mountain ayre hempcoin securities

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In First, FINRA Files Fraud Complaint Against Crypto Broker

The Financial Industry Regulatory Authority (FINRA) has filed a securities fraud complaint against a cryptocurrency broker.

2018-9-11 17:44
complaint against fraud broker finra authority filed

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FINRA Releases Alert on Cryptocurrencies and ICOs

According to the Financial Industry Regulatory Authority (FINRA), Initial Coin Offerings (ICOs) and cryptocurrencies are investments that have significantly higher risks than conventional assets like stocks and bonds.

2018-8-21 02:00	ICOs
finra cryptocurrencies alert icos investments releases forms

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FINRA Cautions Crypto Investors About Concerning ICO SAFT Claims

The Financial Industry Regulatory Authority (FINRA) recently cautioned investors about ICOs that claim they’ve adopted Simple Agreements for Future Tokens (SAFT) as evidence of investment security or regulatory compliance.

2018-8-20 21:45	News
finra saft regulatory investor investors august 2018

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Templum Markets Announces Aspen Digital Tokenized Asset Security Offering

Templum Markets recently announced the launch of Aspen Digital Inc. , a Tokenized Asset Offering (TAO), on Templum’s trading platform. Templum Markets, LLC is a financial technology company and broker-dealer registered with the U.

2018-8-9 11:53	News
templum markets trading financial offering digital aspen

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Will Coinbase Custody List XRP As Well As XMR And DASH?

First of all, what is Coinbase Custody? Check it out for yourself – https://custody. coinbase. com/ According to the website, Coinbase Custody is: “Custody through a regulated, institutional broker-dealer.

2018-8-6 17:00	ripple
coinbase custody broker-dealer etc well xrp list

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Coinbase: Never Needed SEC Approval to List Security Tokens

San Francisco-based Coinbase backpedaled on its Security and Exchange Commision (SEC) approval announcement after previously exciting a furor in cryptocurrency circles for claiming the contrary. Coinbase Backpedals Statements On July 17, 2018, CryptoSlate reported that cryptocurrency exchange behemoth Coinbase received approvals from the SEC and Financial Industry Regulatory Authority (FINRA) to acquire Keystone Capital Corp.

2018-7-20 13:00	SEC
coinbase sec security approval exchange cryptoslate cryptocurrency

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Coinbase says it never needed SEC approval to list security tokens

Earlier this week, leading cryptocurrency exchange desk Coinbase announced it had gotten a stamp of approval from the US Securities and Exchange Commission (SEC) to close a trio of acquisitions that could allow the company to trade security tokens.

2018-7-19 11:16	hard fork
coinbase approval exchange never sec needed regulatory

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Ripple XRP Can Legally Be Listed On Coinbase

Coinbase has officially been given the go head to be able to list digital coins which are classed as securities. Reported on July 16th, the U. S Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA).

2018-7-18 13:30	ripple
coinbase able security reported finra ripple digital

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Coinbase Security License Unlikely To Help XRP Get Listed Soon

The big news of the day is that Coinbase has been given the green light and is now a licensed as a security broker and is no longer your general cryptocurrency. The U. S Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) has given Coinbase the go ahead to list digital coins which are considered to be a security.

2018-7-17 15:00	ripple
coinbase security digital exchange finra given sec

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Reveal All Crypto Activity, FINRA Tells Its Members

The US Financial Industry Regulatory Authority is requesting that all its member firms notify the regulator if they engage in any activity related to digital assets. This is an ongoing initiative by the regulator to ascertain the members’ involvement in the digital assets marketplace and covers the firms, their staff, and their affiliates. Making the […]

2018-7-13 19:00
all firms members assets activity regulator digital

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FINRA Encourages Members To Notify Of Crypto Mining & Digital Asset Related Activities

An important U.S. self-regulatory agency for broker dealers is requesting information to its member firms to submit details about their cryptocurrency activities. The information has been released in a regulatory notice issued on Friday in which the Financial Industry Regulatory Authority requests information about the firms’ involvement in the crypto market. The main intention is […]

2018-7-10 10:43	News
information regulatory activities firms crypto notice issued

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FINRA Requests That Firms Report Digital Asset Holdings

The Financial Industry Regulatory Authority has released a notice requesting that investment firms disclose their involvement in cryptocurrencies.

2018-7-11 20:45	business and finance
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US FINRA Calls on Members to Reveal Crypto Activities

The financial industry watchdog wants to know what the current and future crypto plans of its members, including the purchase of digital coins, ICO investments and mining interests.

2018-7-9 19:31	News
crypto members including future plans purchase coins

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FINRA Wants to Know All About Member Firms' Crypto Activities

The U.S. financial self-regulatory body is asking member firms to submit every detail of their existing or future activities in cryptocurrency.

2018-7-9 11:00	Republished
activities member firms detail every submit existing

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Coinbase’s New Custody Service Opens Its Doors

On July 2, 2018, Coinbase officially launched Coinbase Custody. After accepting its first trial deposit last week, the newly introduced custodial service is up and running.

2018-7-2 20:31	Investing
coinbase custody services service bitcoin storage expand

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Privacy as a Fundamental Human Right

What role do privacy tools play in crypto, and how does this discussion develop? Those were some of the questions at a panel I moderated last week at the DC Privacy Summit.

Prosecutors Charge Four Crypto ‘Market Makers,’ Employees With Market Manipulation, Fraud

Gobit and ZM Quant were secretly offering market manipulation services to projects that wanted to artificially inflate their trading volume, prosecutors allege.

Mango Markets Mulls CFTC Settlement Over Crypto Trading Violations

Decentralized crypto exchange Mango Markets has already weathered a debilitating multimillion-dollar hack and the expensive regulatory investigations it spawned. The group may soon take another blow: a six-figure settlement with the Commodity Futures Trading Commission (CFTC).

Trump says US must lead in crypto or risk China’s takeover

Trump believes the US needs to be involved and take the lead in crypto development; otherwise, another country, likely China, will. The post Trump says US must lead in crypto or risk China’s takeover appeared first on Crypto Briefing.

Ahead of the U.K. Election, Major Parties Remain Silent on Crypto Issues

The U.K. is set to hold its first election in five years on Thursday and crypto is not a campaign-trail issue.

Florida Man Pleads Guilty to Wire Fraud Conspiracy Tied to Forcount Crypto Ponzi

Juan Tacuri, oe of the top promoters in the Forcount crypto ponzi scheme – a Brazil-based scam that bilked Spanish-speaking investors around the world of a collective $8.4 million – has pleaded guilty to his role in the operation, federal prosecutors announced Wednesday.

What's Next for FIT21? (A Consensus 2024 Recap)

CoinDesk held its annual Consensus conference in Austin, Texas last week, where we heard from lawmakers and regulators, developers, company execs and all sorts of other people in and around this sector.

2018-12-29 15:00

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