Home Mobile applications and devices

Keyword: Mobile applications and devices

174 results found
Using phone for finances

Investors face risks from trading apps: FCA

Review by U.K. regulator finds firms need to focus on investor screens, value

SEC hacker pleads guilty

Breach was used to falsely post about bitcoin ETF approval, sending crypto prices up

Phone text

Private equity giants hit with SEC texting charges

Regulator settles with 12 firms for a combined US$63.1 million

Gavel and texts

SEC sanctions Robinhood violations

Firms pay US$45 million to settle trade reporting, recordkeeping violations

Man reads legal document carefully using magnifying glass

CFTC boasts of record year for enforcement

A pair of major crypto cases drove monetary relief to record heights

Businessman Blowing Whistle Isolated on White Background

Sweeps buoyed SEC enforcement: report

Brokers' texting, whistleblower protections among regulator's priorities

Phone finances

FINRA reviews day-trading rules

SRO considers modernizing rules amid market, investor evolution

Inspecting papers

SEC targets brokers’ best interests compliance

Exam division details compliance priorities for year ahead

Central bankers deciding economy

Bank turmoil has lessons for regulators

Liquidity oversight may need to evolve in the wake of March 2023 stress

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Rating agencies settle SEC texting charges

Firms failed to capture employees' private texts, WhatsApp chats