Search for: "Financial Industry Regulatory Authority"
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7 Apr 2020, 6:47 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Rosen’s customer complaints alleges that Rosen recommended unsuitable investments in various investments among other allegations of misconduct relating to the handling of their accounts. [read post]
7 Apr 2020, 6:47 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the customer complaints against Walker concern allegations over various annuities, insurance, and variable annuity sales practices. [read post]
6 Apr 2020, 1:40 pm
Here is the authors’ article. ******************* As the coronavirus disease 2019 (“COVID-19”) continues to disrupt the global economy, corporations across sectors and industries are confronting a host of questions about how to adapt to the extraordinary challenges posed by the pandemic. [read post]
6 Apr 2020, 7:44 am
Dewes was barred by The Financial Industry Regulatory Authority (FINRA) concerning his private securities sales conduct. [read post]
6 Apr 2020, 7:44 am
According to BrokerCheck records, Schmidt is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Lincoln Financial Advisors Corporation (Lincoln Financial) out of the firm’s Melville, New York office location. [read post]
6 Apr 2020, 6:16 am
To ensure the continued smooth operation of the interbank market given current economic conditions, the Hong Kong Monetary Authority (HKMA) has rolled out measures to assist the banking industry in managing liquidity. [read post]
3 Apr 2020, 12:41 pm
The legal and regulatory landscape is in constant flux and a lot of questions are arising from our clients. [read post]
2 Apr 2020, 7:48 pm
ASIC releases new regulatory regime for foreign financial services providers On 10 March 2020, ASIC published its media release which announced the new regulatory framework for foreign financial services providers (FFSPs) providing certain financial services to wholesale clients in Australia. [read post]
2 Apr 2020, 4:14 pm
These mandates infused and informed the relief provided across the financial industry landscape by the SEC, the CFTC and other regulatory bodies. [read post]
2 Apr 2020, 9:28 am
While the policy statement is certainly welcomed by CRAs and furnishers, members of the consumer financial services industry face similar operational challenges as a result of the COVID-19 pandemic in complying with numerous other statutory and regulatory requirements for which the CFPB examines them for compliance and as to which the CFPB has enforcement authority. [read post]
2 Apr 2020, 7:08 am
These announcements set some important pointers to the financial services industry and we expect further communications from the FCA on these specific areas. [read post]
2 Apr 2020, 6:59 am
The EBA statement reminds the financial services industry of the importance to maintain effective and strong anti-money laundering/counter-terrorist financing (AML/CTF) systems and controls in the current, challenging, environment. [read post]
2 Apr 2020, 5:16 am
None contained “sensitive personal, financial, or medical information. [read post]
2 Apr 2020, 5:00 am
The Chinese ride-sharing company Didi initially refused to turn over data to law enforcement authorities investigating the murder of passengers. [read post]
1 Apr 2020, 2:31 am
Introduction COVID-19, and the unprecedented shutdown of a large number of sectors and industries, is having a significant impact on businesses, international supply chains and the UK and global economy. [read post]
31 Mar 2020, 6:00 am
One exception is the Financial Industry Regulatory Authority (FINRA), which arbitrates virtually all disputes between investors and stockbroker-dealers, and makes all of its nearly 60,000 written arbitration decisions publicly available in an online database. [read post]
30 Mar 2020, 2:44 pm
How will regulatory agencies like the CFPB, FTC, and State Attorneys General react to the consumer financial impacts of COVD-19? [read post]
30 Mar 2020, 2:14 pm
Section 4012 – Temporary Relief For Community Banks Section 4012 of the CARES Act provides temporary relief to financial institutions that elected to be subject to the Community Bank Leverage Ratio pursuant to the Economic Growth, Regulatory Relief, and Consumer Protection Act (EGRRCPA). [read post]
30 Mar 2020, 3:03 am
Financial sector liability guarantees – among other things, this includes a guarantee program for the U.S. money market mutual fund industry and bank debt guarantee authority 5. [read post]
28 Mar 2020, 7:05 am
This post is based on Chairman Clayton’s recent public statement at an Open Meeting of the Financial Stability Oversight Council. [read post]
