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The company sent out millions of emails and text messages without consent or the option to unsubscribe.
Panelists spoke about the problem with how some businesses are communicating on crypto.
Risk acceptance and supervisory visits also discussed at Global Relay’s quarterly roundtable in London.
Our second report from the City & Financial Summit summarizes what practitioners say about developments in market manipulation enforcement.
UK communications regulator Ofcom expects phone providers to block more calls with spoofed numbers.
Roughly 70% of distributed materials between July and September 2022 reviewed by FINRA showed “potential substantive violations” of its Rule 2210.
This in-depth session at the foremost compliance surveillance conference featured Ian Blair from UB, Rob Hammond from BNP Paribas, and John Lydon from TP ICAP.