The UK’s Financial Conduct Authority (FCA), the European Securities and Markets Authority (Esma), the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (Finra) in the US have all released warnings in recent months, saying that their names are being appropriated to either trick investors into giving their details to scammers, or in the more advanced cases, trick company executives into revealing insider information.
In September 2017, Esma issued a warning
First, some pointed comments about the Consolidated Audit Trail and then Martin Boyd discusses the fintech market.Subscribe to Weekly Wrap emails
- Going Slower to Go Faster: Mizuho CDO Gary Goldberg
- Wavelength Podcast Episode 154: Bryan Cross, UBS Asset Management
- JP Morgan's FX Algo Tool Launches on Bloomberg Terminal
- CAT’s Tale: How Thesys, the SROs and the SEC Mishandled the Consolidated Audit Trail
- Crowded Alt Data Market Makes Standing Out Difficult for Providers