Financial Industry Regulatory Authority

Empowering Regulated Businesses with VITREUS

Retrieved on: 
Friday, October 20, 2023
Knowledge, Blockchain, Heart, FINRA, Disk encryption, FHE, CRMS, Secure, Financial Industry Regulatory Authority, LLM Lettering, Polish Securities and Exchange Commission, Data management, Secure multi-party computation, ZKP RTVS, Chief, EAI, CRM, ERPs, Audit, Medical device, Cryptocurrency

That's where COMPLiQ , VITREUS' AI-driven compliance system, comes into play.

Key Points: 
  • That's where COMPLiQ , VITREUS' AI-driven compliance system, comes into play.
  • Through the utilization of the VITREUS platform, businesses can reduce compliance labor, minimize human errors, and effectively eliminate arduous compliance deliverable preparation.
  • In an age where data is king, VITREUS One ensures that data is not just managed but used to its fullest extent.
  • Routine actions, such as sending emails, trigger transactions that archive copies within VITREUS' data storage and automated correspondence revisions.

Pantheon Expands US Private Wealth Offering With Innovative Private Credit Secondaries Fund

Retrieved on: 
Tuesday, October 10, 2023
Banking, Asset Management, Professional Services, Finance, Guernsey Financial Services Commission, Securities and Futures Commission, NYSE, LLP, KLFB, Prospectus, Financial Industry Regulatory Authority, Financial Conduct Authority, Insurance, London Stock Exchange, United Kingdom, Type, Private credit, Pantheon Ventures, Security (finance), Sale, Partnership, AMG, Investment advisory, Financial services, Financial adviser

Pantheon, a leading global private markets investor, is pleased to announce it has filed for registration an innovative evergreen private credit fund anchored in private credit secondaries.

Key Points: 
  • Pantheon, a leading global private markets investor, is pleased to announce it has filed for registration an innovative evergreen private credit fund anchored in private credit secondaries.
  • The AMG Pantheon Credit Solutions Fund (PSECC) will become the latest addition to the firm’s growing, global evergreen platform – and will be the first of its type to deliver a private credit secondaries-focused investment strategy to the US private wealth market.
  • Rakesh (Rick) Jain, Pantheon Partner and Global Head of Private Credit, commented: “We are excited about extending our position in private credit secondary solutions to this important and growing client channel.
  • Michael Hutten, Pantheon Partner and Head of US Private Wealth, said: “We have heard from the private wealth community that demand for private credit funds is increasingly focused on addressing concerns around inflation, rising rates, credit defaults and the continued need for enhanced income.

DACFP's Crypto Designation Now Offers New Ex-US Track

Retrieved on: 
Wednesday, October 11, 2023
Crypto, Financial Industry Regulatory Authority, Student, Digital, Education, Continuing education, EX, Marketing, Certification, CBDA, Cryptocurrency, Amazon, Blockchain

GREAT FALLS, Va., Oct. 11, 2023 /PRNewswire/ --The Digital Assets Council of Financial Professionals, the leading provider of crypto education, has introduced an Ex-US track so financial professionals worldwide can become Certified in Blockchain and Digital AssetsSM. The Ex-US track is offered in nine languages: Arabic, Chinese, French, Hindi, Japanese, Korean, Portuguese, Spanish and English.

Key Points: 
  • The Ex-US track is offered in nine languages: Arabic, Chinese, French, Hindi, Japanese, Korean, Portuguese, Spanish and English.
  • This is the fifth track offered by DACFP, joining tracks for client-facing financial advisors; financial professionals in operations, compliance, marketing and management not directly serving clients; those working in the crypto industry; and a track for investors, consumers and students.
  • "Our new Ex-US Track reflects our commitment to delivering comprehensive crypto education worldwide," said DACFP Founder Ric Edelman, author of the #1 Amazon best-seller, The Truth About Crypto .
  • The online, self-study program lets participants pursue the CBDA designation at their own pace, and offers up to 18 Continuing Education credits.

DACFP's Crypto Designation Now Offers New Ex-US Track

Retrieved on: 
Wednesday, October 11, 2023
Crypto, Financial Industry Regulatory Authority, Student, Digital, Education, Continuing education, EX, Marketing, Certification, CBDA, Cryptocurrency, Amazon, Blockchain

GREAT FALLS, Va., Oct. 11, 2023 /PRNewswire/ --The Digital Assets Council of Financial Professionals, the leading provider of crypto education, has introduced an Ex-US track so financial professionals worldwide can become Certified in Blockchain and Digital AssetsSM. The Ex-US track is offered in nine languages: Arabic, Chinese, French, Hindi, Japanese, Korean, Portuguese, Spanish and English.

Key Points: 
  • The Ex-US track is offered in nine languages: Arabic, Chinese, French, Hindi, Japanese, Korean, Portuguese, Spanish and English.
  • This is the fifth track offered by DACFP, joining tracks for client-facing financial advisors; financial professionals in operations, compliance, marketing and management not directly serving clients; those working in the crypto industry; and a track for investors, consumers and students.
  • "Our new Ex-US Track reflects our commitment to delivering comprehensive crypto education worldwide," said DACFP Founder Ric Edelman, author of the #1 Amazon best-seller, The Truth About Crypto .
  • The online, self-study program lets participants pursue the CBDA designation at their own pace, and offers up to 18 Continuing Education credits.

CFP Board Imposes Interim Suspension on Joseph F. Bartosiewicz of Scottsdale, Arizona

Retrieved on: 
Friday, October 6, 2023
Respondent, Certification, Financial Industry Regulatory Authority, Code, Banking Codes and Standards Board of India, Motion, DEC, Certified Financial Planner Board of Standards, Finance, Civil Procedure Rules, Failure, Canadian Forces Administrative Orders, CFP, Ethics commission, FINRA, Paul v British Columbia (Forest Appeals Commission), Financial adviser, Property management, Standard, Ethics, Conduct

WASHINGTON, Oct. 6, 2023 /PRNewswire/ -- CFP Board of Standards (CFP Board) announced that it has imposed an interim suspension of the CFP® certification against Joseph F. Bartosiewicz, which is effective as of July 24, 2023.

Key Points: 
  • WASHINGTON, Oct. 6, 2023 /PRNewswire/ -- CFP Board of Standards (CFP Board) announced that it has imposed an interim suspension of the CFP® certification against Joseph F. Bartosiewicz, which is effective as of July 24, 2023.
  • An interim suspension is a suspension of a CFP® professional's certification and trademark license during the pendency of CFP Board enforcement proceedings.
  • A Respondent subject to an Interim Suspension Order must not use the CFP® certification marks or state or suggest that Respondent is a CFP® professional while the Interim Suspension Order is in effect.
  • At that website, CFP Board provides the public with:
    The ability to check on any individual's CFP Board disciplinary history and CFP® certification status.

Joseph Gunnar Announces Appointment of Joseph Terranova as Managing Director, Capital Markets

Retrieved on: 
Monday, October 2, 2023
Banking, Professional Services, Finance, IPO, Capital market, Maxim, MSRB, Rulemaking, Research, Financial Industry Regulatory Authority, Municipal Securities Rulemaking Board, SIPC, Investment, FINRA, EF Hutton, Gunnar, Security (finance), Buttonwood

Joseph Gunnar & Co., LLC ("JGUN"), a leading full-service broker-dealer, investment adviser, and investment bank focused on the emerging growth markets, continues to expand the capabilities of its growing corporate finance practice with the addition of industry veteran Joseph Terranova as Managing Director, Capital Markets.

Key Points: 
  • Joseph Gunnar & Co., LLC ("JGUN"), a leading full-service broker-dealer, investment adviser, and investment bank focused on the emerging growth markets, continues to expand the capabilities of its growing corporate finance practice with the addition of industry veteran Joseph Terranova as Managing Director, Capital Markets.
  • Mr. Terranova brings over two decades of equity capital markets and fixed-income experience to the team.
  • About Joseph Gunnar & Co.
    Joseph Gunnar & Co., LLC is a full-service boutique investment banking, securities, and wealth management firm with main offices in New York.
  • Joseph Gunnar & Co., LLC’s affiliate Buttonwood fund also offers suitable individual and entity investors membership interests in pre-IPO venture investments.

SEC Spotlights Due Diligence During World Investor Week 2023

Retrieved on: 
Monday, October 2, 2023
Heart, Securities Investor Protection Corporation, Education, Historically black colleges and universities, OIEA, Research, National Futures Association, Bulletin, Commodity Futures Trading Commission, Organization, Student, International Organization of Securities Commissions, North American Securities Administrators Association, Financial Industry Regulatory Authority, FINRA, Radio, Weather, Security (finance), Fraud, Thrift Savings Plan, International Organization (journal), Contract management, Jordan Securities Commission, IOSCO, Cryptocurrency, Financial adviser, Bank, University

Washington, D.C.--(Newsfile Corp. - October 2, 2023) - The Securities and Exchange Commission today announced it will highlight the importance of investor education and protection during World Investor Week (WIW) 2023 , which takes place October 2-8.

Key Points: 
  • Washington, D.C.--(Newsfile Corp. - October 2, 2023) - The Securities and Exchange Commission today announced it will highlight the importance of investor education and protection during World Investor Week (WIW) 2023 , which takes place October 2-8.
  • Together with these organizations, the SEC’s Office of Investor Education and Advocacy (OIEA) issued a joint Investor Bulletin today to promote WIW's key initiatives.
  • “Investor protection is at the heart of everything we do at the Securities and Exchange Commission, and World Investor Week provides an important opportunity to advance our mission,” said SEC Chair Gary Gensler.
  • To learn more about the SEC’s outreach activities and to get involved with WIW, visit the SEC's World Investor Week page.

SEC, MSRB, & FINRA to Hold Virtual Compliance Outreach Program

Retrieved on: 
Friday, September 29, 2023
MSRB, Municipal Securities Rulemaking Board, Municipality, Financial Industry Regulatory Authority, Information, FINRA, Security (finance), Policy, Pi bond, Financial adviser

Washington, D.C.--(Newsfile Corp. - September 29, 2023) - The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual Compliance Outreach Program for municipal market professionals.

Key Points: 
  • Washington, D.C.--(Newsfile Corp. - September 29, 2023) - The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual Compliance Outreach Program for municipal market professionals.
  • The program will provide municipal market participants an opportunity to hear from staff of the SEC, MSRB, and FINRA on timely regulatory and compliance matters for municipal advisors and dealers.
  • It will be a great program, and I am really looking forward to the new expanded scope."
  • For those who cannot attend the live virtual program, the recording will be archived on the SEC's Office of Municipal Securities' webpage at https://www.sec.gov/municipal/municipal-sec-conferences , for later viewing.

SEC, MSRB, FINRA to Hold Virtual Compliance Outreach Program

Retrieved on: 
Friday, September 29, 2023
Legal, Finance, Thought Leadership, Public Policy, Government, Professional Services, White House, Federal Government, State, Local, Asset Management, Other Professional Services, MSRB, Municipal Securities Rulemaking Board, Municipality, Financial Industry Regulatory Authority, Information, FINRA, Security (finance), Policy, Pi bond, Financial adviser

The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual Compliance Outreach Program for municipal market professionals.

Key Points: 
  • The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual Compliance Outreach Program for municipal market professionals.
  • The program will provide municipal market participants an opportunity to hear from SEC, MSRB and FINRA staff on timely regulatory and compliance matters for municipal advisors and dealers.
  • It will be a great program, and I am really looking forward to the new expanded scope."
  • For those who cannot attend the live virtual program, the recording will be archived on the SEC's Office of Municipal Securities' webpage at https://www.sec.gov/municipal/municipal-sec-conferences , for later viewing.

SEC Charges Former Financial Industry Analyst and Three Others with Insider Trading

Retrieved on: 
Thursday, September 28, 2023
Financial Industry Regulatory Authority, Friends, State bureau of investigation, Bleckley, Complaint, Market abuse, District court, Data analysis, Acquisition, Division, Security (finance), Federal Bureau of Investigation, Private investigator, Salamone, Luigi Forlano, Viggiano

Salamone allegedly agreed to share his trading proceeds with Viggiano because Viggiano’s own employer prohibited him from engaging in such trades.

Key Points: 
  • Salamone allegedly agreed to share his trading proceeds with Viggiano because Viggiano’s own employer prohibited him from engaging in such trades.
  • The case originated from the SEC Market Abuse Unit’s Analysis and Detection Center, which uses data analysis tools to detect suspicious trading patterns.
  • In a parallel action, the U.S. Attorney's Office for the Southern District of New York today announced criminal charges against Viggiano, Forlano, and Salamone.
  • The SEC appreciates the assistance of the U.S. Attorney’s Office for the Southern District of New York, the Federal Bureau of Investigation, and the Financial Industry Regulatory Authority.