Tag: Regulation
UK start-up Perenna secures unrestricted banking licence from FCA and PRA
Mortgage bank Perenna obtains an unrestricted banking license from the FCA and PRA, allowing it to introduce long-term fixed-rate mortgages in the UK, aiming...
Israel’s ThetaRay secures $57m to accelerate global expansion
ThetaRay, an Israeli AI-based transaction monitoring and screening solution provider, secures $57 million in funding led by Portage, with participation from existing investors.
Facts
ThetaRay,...
Complii Fintech Solutions acquires MIntegrity to reinforce regulatory offering
Complii Fintech Solutions has acquired MIntegrity, a compliance consulting business based in Sydney, Australia, to expand its regulatory offerings and strengthen its compliance ecosystem.
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FullCircl reinforces compliance suite with W2 Global Data Solutions acquisition
UK-based customer lifecycle intelligence platform FullCircl acquires W2 Global Data Solutions to strengthen its compliance offerings, adding 120 new customers and expanding its global...
SEC hands fintech investment advisor Titan $850,000 penalty for misleading clients
The US SEC fines Titan Global Capital Management $850,000 for misleading investors with hypothetical performance metrics and compliance failures.
Facts
Titan Global Capital Management USA...
SEC brings the hatchet down on Wall Street’s bad recordkeeping with $289m in fines
The US Securities and Exchange Commission (SEC) has fined 11 Wall Street firms a total of $289 million for widespread "off-channel" communications using personal...