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CFTC Awards Insider Whistleblower Approximately $1.25 Million
Date 14/03/2024
The Commodity Futures Trading Commission today announced an approximately $1.25 million award to a whistleblower who reported misconduct to the CFTC after initially reporting it to the whistleblower’s employer.
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SEC Charges 17 Individuals In $300 Million Crypto-Asset Ponzi Scheme Targeting The Latino Community
Date 14/03/2024
The Securities and Exchange Commission today charged 17 individuals for their roles in a $300 million Ponzi scheme that involved Houston, Texas-based CryptoFX LLC and targeted more than 40,000 predominantly Latino investors in the U.S. and two other countries. Today’s complaint follows the SEC’s successful emergency action in September 2022 that halted the CryptoFX scheme and charged its two main principals, Mauricio Chavez and Giorgio Benvenuto.
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SIFMA Fixed Income Market Close Recommendations In The U.S., The U.K., And Japan For Good Friday & Easter Monday Holidays
Date 14/03/2024
SIFMA has confirmed its previous holiday recommendations for the U.S., the U.K., and Japan in observance of the Good Friday and Easter Monday holidays.
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US Office Of The Comptroller Of The Currency Assesses $250 Million Civil Money Penalty Against JPMorgan Chase Bank, N.A. Related To Bank’s Trade Surveillance Program
Date 14/03/2024
The Office of the Comptroller of the Currency (OCC) today announced a $250 million civil money penalty against JPMorgan Chase Bank, N.A. (JPMC) related to deficiencies in its trade surveillance program.
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CFTC: Federal Court Orders Binary Options Firm And Owners To Pay Over $204 Million In Monetary Sanctions For Fraudulent Binary Options Scheme
Date 14/03/2024
The Commodity Futures Trading Commission today announced the U.S. District Court for the Western District of Texas entered an order of final judgment against Jonathan Cartu, Leeav Peretz, Nati Peretz, all believed to be residents of Israel, and Blue Moon Investments Inc., a Seychelles corporation. The order finds them liable for offering illegal, off-exchange binary options and committing fraud in connection with the illegal offering. This resolves the CFTC’s September 2, 2020 case against the defendants. [See CFTC Press Release No. 8231-20]
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SOLVENTO GROUP 2022 SOCIMI To Start Trading In BME Scaleup On 18 March
Date 14/03/2024
- The company, which is the second to join this new BME market, starts with a valuation of 64.5 million euros.
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Uplinq Bolsters Leadership Team With Addition Of Derek Ellington As Strategic Advisor - Former Head Of Small Business Banking For Wells Fargo Brings Decades Of Industry
Date 14/03/2024
Uplinq Financial Technologies, the first global credit decisioning support platform for small business lenders, today announced the addition of prominent financial services leader Derek Ellington as strategic advisor. In this role, Ellington will work closely with current and prospective Uplinq clients, as well as Uplinq’s internal team, to help advance the company’s mission of expanding access to fair and ethical credit for small businesses globally.
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Federal Reserve Board Issues Enforcement Action Against JPMorgan Chase & Co. And Fines The Firm Approximately $98.2 Million For An Inadequate Program To Monitor Firm And Client Trading Activities For Market Misconduct
Date 14/03/2024
The Federal Reserve Board on Thursday issued an enforcement action against JPMorgan Chase & Co. and fined the firm approximately $98.2 million for an inadequate program to monitor firm and client trading activities for market misconduct. The Board's action requires JPMorgan Chase to review and take corrective action to address the firm's inadequate monitoring practices, which occurred between 2014 and 2023.
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FESE Response To The EIOPA Consultation On The Methodology For Value For Money (VfM) Benchmarks
Date 14/03/2024
FESE welcomes the opportunity to contribute its views to the EIOPA consultation on the methodology for Value for Money (VfM) benchmarks. In its response, FESE stresses the need for a clear focus on “cost-efficiency” when constructing the benchmarks. FESE reiterates that the cost should not be the main indicator when developing the VfM benchmarks and that the ESAs should consider other qualitative factors, such as the distribution channel of retail products.”
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Rimes Launches AI-Powered Data Lakehouse Copilot For Natural Language Insights
Date 14/03/2024
- Leverages best-in-class AI models for data query generation
- AI Lab sandbox fully supports ‘bring your own data’ scenarios
- Developed in collaboration with major clients
