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Collapse of fintech intermediary raises serious questions about the fintech ecosystem.
2023: Slightly more representatives and much fewer enforcement actions.
Disciplinary decisions issued July 13 – 19, 2024.
New roles at the agency show an emphasis on enforcement resources and skill sets.
Action arises from an anonymous complaint about the OBA’s advertising.
Disciplinary decisions issued July 6 – 12, 2024.
FINRA says UBS failed to establish and maintain a sufficiently strong supervisory system.
Disciplinary decisions issued June 29 – July 5, 2024.