Search for: "Financial Industry Regulatory Authority"
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14 May 2021, 1:43 am
Industry reaction Needless to say there is much concern about the ending of the eviction ban. [read post]
14 May 2021, 1:43 am
Industry reaction Needless to say there is much concern about the ending of the eviction ban. [read post]
13 May 2021, 2:16 pm
In addition to commodities and other physical trading, futures trading has expanded into the financial industries. [read post]
13 May 2021, 1:10 pm
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against former broker Adam Belardino. [read post]
13 May 2021, 12:54 pm
State regulatory bodies require registration as well as the Financial Industry Regulatory Authority (FINRA), a regulatory arm of the Securities and Exchange Commission (SEC) in charge of licensing broker-dealers. [read post]
13 May 2021, 7:11 am
He is currently named in two pending customer disputes, including one Financial Industry Regulatory Authority (FINRA) arbitration case over private placements in which the claimants are seeking $1.5M in damages. [read post]
13 May 2021, 6:31 am
Industry role players who have found themselves subject to regulatory action taken by the Prudential Authority (PA) or the Financial Sector Conduct Authority (FSCA) may apply to the Financial Service Tribunal (FST) for reconsideration of that action. [read post]
12 May 2021, 9:03 pm
The OFR reduced its own autonomy and budget by moving away from fees assessed on the financial industry and toward congressionally appropriated funds—a change that placed the OFR at the mercy of legislators’ whims. [read post]
12 May 2021, 12:59 pm
Advisor Candido Viyella of Miami Barred after Allegations of Selling Away According to the Financial Industry Regulatory Authority (FINRA) on May 10, 2021, the regulator has barred former Morgan Stanley advisor Candido Viyella from associating with any FINRA member at any time after he failed to provide testimony in its investigation. [read post]
11 May 2021, 7:10 am
Ohio National Financial Services Broker-Dealer Accused of Failing to Properly Supervise The Financial Industry Regulatory Authority (FINRA) announced that brokerage firm O.N. [read post]
10 May 2021, 8:55 pm
On 7 May 2021, the Financial Services Regulatory Initiatives Forum (Forum) published the third edition of the regulatory initiatives grid. [read post]
7 May 2021, 8:28 am
As we now know, things went very wrong with the UBS YES strategy starting in 2018. 3 Factors that Led to UBS YES Strategy Investors’ Losses Through investigations and arbitration before the Financial Industry Regulatory Authority (FINRA), we now know precisely why many high-net-worth investors suffered substantial losses with the UBS YES strategy. [read post]
6 May 2021, 8:50 pm
The work of authorities such as the Cross Market Operational Resilience Group, the Finance Sector Cyber Collaboration Centre and the Financial Services Information Sharing and Analysis Center have shown what can be done when the industry works together. [read post]
6 May 2021, 2:52 pm
Beyond the improved fidelity of CDs, the music industry had no incentive to add new functionality to CDs or their players. [read post]
6 May 2021, 2:20 pm
Directors in other areas are also increasingly subject to regulatory exposure, with changes in law in the Pensions Schemes Act and with the proposals for the new Audit, Reporting and Governance Authority which is expressly intended to expand directors’ responsibilities, and exposures, for companies’ financial statements. [read post]
5 May 2021, 9:05 pm
The Financial Industry Regulatory Authority (FINRA) is building a taxonomy of its rules that enable electronic tagging, allowing computers to read requirements and track updates. [read post]
5 May 2021, 2:12 pm
” Of particular concern, “criminal or regulatory actions increasingly relate to allegations of financial irregularities or accounting misstatements. [read post]
5 May 2021, 7:06 am
On April 29, Chinese regulators from the China Banking Regulatory Commission, China Securities Regulatory Commission, and State Administration of Foreign Exchange announced that they have ordered 13 of China’s biggest tech companies, including Tencent and ByteDance, to “standardize” their online financial businesses. [read post]
4 May 2021, 9:05 pm
With Congress’s support, FinCEN is uniquely positioned to transform financial crimes compliance and the financial services industry overall.The post FinCEN as the Chief Innovation Agency first appeared on The Regulatory Review. [read post]
4 May 2021, 1:08 pm
A SPAC will typically target an identified industry sector or geographic region. [read post]
