Search for: "Financial Industry Regulatory Authority"
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23 Feb 2024, 4:34 am
Additionally, the financial accomplishments of FTI Consulting and innovative AI integrations by DISCO and Casepoint signal robust industry growth and the increasing importance of AI technologies. [read post]
23 Feb 2024, 12:01 am
Broker Due Diligence Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
22 Feb 2024, 10:30 am
The first regards “regulatory humility. [read post]
22 Feb 2024, 10:19 am
It found that thousands of customers are being de-banked or having facilities refused every month, often due to financial, regulatory and reputational pressures facing banks. [read post]
22 Feb 2024, 4:54 am
This discussion is not only timely but crucial for professionals in cybersecurity, information governance, and eDiscovery as it underscores the broader implications of technological advancements on commercial practices, regulatory compliance, and financial inclusion. [read post]
21 Feb 2024, 5:10 pm
The Florida Office of Insurance Regulation offers further guidance on the regulatory framework and standards governing the insurance industry in Florida. [read post]
Optimism Amidst Challenges: Key Takeaways from the Winter 2024 eDiscovery Business Confidence Survey
21 Feb 2024, 10:21 am
This financial landscape, coupled with the operational and technological insights gleaned from the survey, paints a comprehensive picture of an industry in flux—driven by innovation, challenged by complexity, and buoyed by a resilient spirit of optimism. [read post]
19 Feb 2024, 10:00 pm
Bank Climate-Related Financial Risk Regulatory Tracker Explore key rules (final and proposed) on climate-related financial risk requirements undertaken by the White House, SEC, U.S. [read post]
19 Feb 2024, 8:53 am
The correspondence included letters to the Financial Conduct Authority (FCA) and to the Bank of England (BoE). [read post]
18 Feb 2024, 6:38 pm
Hopkins was barred by the Financial Industry Regulatory Authority (FINRA) in 2019. [read post]
16 Feb 2024, 6:18 am
In its current proposal, FinCEN notes that the investment adviser industry’s assets under management have nearly doubled since its 2015 proposal. [read post]
16 Feb 2024, 3:24 am
" Industry News – Sustainable Development Beat Digital Leaps and Regulatory Reforms: Europe’s Surge in Sustainable Business Practices ComplexDiscovery Staff As Europe strides ahead in the sustainable investment and compliance landscape, its vigorous push towards Eco-friendly operations is compelling businesses to adapt and evolve. [read post]
15 Feb 2024, 9:08 pm
November 2023 The month of November saw many new developments in the financial services regulatory landscape. [read post]
15 Feb 2024, 9:01 pm
In finance, there are potential benefits of greater financial inclusion and enhanced user experience. [read post]
15 Feb 2024, 8:26 am
If you have suspicions or concerns about deceptive trading practices, consider consulting with a securities attorney or filing a complaint with regulatory authorities like FINRA (Financial Industry Regulatory Authority). [read post]
15 Feb 2024, 8:04 am
It certainly has the financial muscle to take its pick. [read post]
14 Feb 2024, 5:43 am
The NPRM attempts to address gaps in the existing AML/CFT regulatory framework in this sector. [read post]
13 Feb 2024, 10:47 am
FINRA Bars Broker Brett Hartvigson after Allegations of Overconcentration According to the Financial Industry Regulatory Authority (FINRA), the securities regulator has barred Brett Hartvigson (CRD#: 226308) from associating with any FINRA member in any capacity, as of February 4, 2024. [read post]
12 Feb 2024, 10:00 pm
Check out our Practical Guidance Author Center ! [read post]
11 Feb 2024, 8:55 am
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Kieth Baron (Baron) has been accused by The Financial Industry Regulatory Authority (FINRA) of engaging in undisclosed outside business activities (OBAs) and private securities transactions. [read post]
