US financial regulators have delivered the largest civil penalty ever assessed against a broker-dealer for anti-money laundering rule breaches. The U.S. ?Department …
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Tag:
BrokerDealer
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Markets
SEC Broker-Dealer Roundtable Puts Digital Disclosure Rules Back On The Agenda
by shayaanby shayaanThe SEC’s new broker-dealer roundtable will not grab attention the way an enforcement action or ETF filing does, but it still matters. …
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Regulation
Binance Granted Broker-Dealer License by Brazil’s Central Bank After Acquiring Brazilian Financial Services Firm
by shayaanby shayaanThe world’s largest centralized crypto exchange by volume has received a broker-dealer license in Brazil via an acquisition. Binance says the Central …
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Regulation
Binance becomes first crypto exchange with broker-dealer license in Brazil
by shayaanby shayaanBinance, the largest crypto exchange by trading volume, has secured regulatory approval from the Central Bank of Brazil to acquire Sim;paul, a …
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Analysis
Asset Tokenization Altcoin Skyrockets by 110% in a Day Amid New Partnership With SEC-Registered Broker-Dealer
by shayaanby shayaanAn asset tokenization altcoin is surging after announcing a new partnership with a broker-dealer registered with the U.S. Securities and Exchange Commission …