Saturday, August 22

Browsing: brokerdealer

Regulation

US Broker-Dealer Receives Heaviest-Ever Penalty as Regulators Fine UBS $125 Million for Anti-Money Laundering Shortfalls

2026-08-20

US financial regulators have delivered the largest civil penalty ever assessed against a broker-dealer for anti-money laundering rule breaches. The…

Regulation

Prometheum becomes first crypto company to be approved by SEC, FINRA as special-purpose broker-dealer

2023-05-23

New York-based Prometheum Ember Capital (PMC) secured regulatory approval to become the first crypto-focused company to register with the U.S.…