U.K. regulator fined Coinbase company £3.5 million for compliance violations
Revisions seek to better align with global standards
Organization launches pilot program to allow remote supervision
Fraud claims pass suitability issues among investment cases
Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more
FSB, Basel Committee have long warned of tech risk in financial sector
Weaknesses in position reporting uncovered in compliance review
Tech advantages always prove short lived in the stock markets, report suggests
Tip helped, but SEC rules that compliance staff sparked investigation
Constitutionality of regulator's investigative tools upheld on appeal