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Director Woodcock spoke at Fordham Law School this week, emphasizing that individual accountability can be a key means to deter misconduct.
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"Even the most sophisticated technology depends on the quality of the information that it uses," said SEC Chair Paul Atkins.
DriveWealth’s authorization brings a global player to the EU market, and a seventh MiCA authorization for Lithuania.
The updates are aimed at those in scope of FCA operational resilience rules in SYSC 15A, and trading venues.
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Proposed G7 cybergames designed to prepare big finance for AI attacks
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Compliance
Analysis of seven Swedish fund managers' internal audit functions provides insights on resourcing, authority, and competence.
Regulation
A Maryland judge blocked CMS’s ACA broker registration freeze, allowing new agents to train and participate in open enrollment this season.
Technology
Organizations should ask three simple questions: Do we know what we have, where it is, and why we are keeping it, Tourikis said.
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