Posted by UnitedAtlantic | securities and exchange commission
In March 2024, the Securities and Exchange Commission (SEC) took action against Delphia (USA) Inc., a former registered investment adviser,… Continue reading SEC Sanctions Delphia for False and Misleading AI Claims
Read MorePosted by UnitedAtlantic | securities and exchange commission
In March 2024, the Securities and Exchange Commission (SEC) imposed sanctions on Global Predictions, Inc., an investment adviser, for making… Continue reading SEC Action Against Global Predictions for Misleading AI Claims and Compliance Failures
Read MorePosted by UnitedAtlantic | financial conduct authority
In March 2024, the FCA fined Inspirational Financial Management Ltd (IFM) £897,840 for providing unsuitable pension transfer advice, particularly to… Continue reading FCA Fines Inspirational Financial Management Ltd £897,840 for Unsuitable Pension Transfer Advice
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