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Influencers › Enforcement Actions › Financial Services Industry

A&O Shearman

FCA operation against unauthorised finfluencers

A&O Shearman on

The UK Financial Conduct Authority (FCA) has published a press release on its leading international crackdown on illegal financial influencers (finfluencers) in collaboration with regulators from Australia, Canada, Hong Kong,...more

Carlton Fields

FINRA and SEC Float Concerns Over Social Media Finfluencers

Carlton Fields on

Social media marketing is an important form of advertising in our digital world, particularly with a target audience of younger investors. This has caught the eye of FINRA and the SEC....more

Davis Wright Tremaine LLP

Broker-Dealer Disciplinary Actions: Takeaways From 2024 (So Far)

Davis Wright Tremaine LLP on

The U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and the Exchanges were active across a host of regulatory issues impacting fintech companies and broker-dealers during...more

Carlton Fields

Social Media Influencers Take Center Stage

Carlton Fields on

Securities products and social media don’t always mix. Just ask any of the celebrities who in recent years have faced SEC charges for unlawfully touting crypto asset securities. In March, the SEC settled charges against six...more

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