With a recent demonstration proving that AI is capable of performing illegal trades – and lying about them – where do regulators stand on the ‘AI question’?
In Regulatory Wrap for the week to November 3, 2023, Rob Mason examines the insights gleaned from the FCA Market Watch 75 report.
FINRA has issued an individual with a $40,000 fine after he was found to have used a prohibited personal phone for business purposes.
The SEC has charged a CCO, CSO, and a Police Chief with insider trading. Are senior leaders muddying the waters when it comes to compliance?
The former product manager of cryptocurrency exchange platform Coinbase has been sentenced after being found guilty of insider trading.