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Keyword: Marketing

189 results found
Quantum computer

Regulators ask tech platforms to outlaw unauthorized promotions

man using mobile phone

Initiative addresses rise of finfluencers, digital engagement, social trading

penalty card

Firm breached rules by implying regulators endorsed ratings

Rules and regulations

Review flags conflict, independence shortcomings in private asset valuations

Bitcoin

Much of the industry's involvement may be outside the SRO's perimeter

Regulation

Risky firms, crypto platforms add to compliance division's workload

digital investing

Tech advantages always prove short lived in the stock markets, report suggests

Group of business people holding puzzle pieces at a boardroom table

Offering generic or limited practice-building tools can lead to displeased advisors

Magnifying glass on documents

European regulators call for enforcement action on compliance failures

environment

Regulator seeks to extend regime to portfolio managers