Search for: "Financial Industry Regulatory Authority"
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4 Dec 2023, 9:08 am
It also looks holistically at third-party risk management, which is wider than the historical narrower focus on outsourcing, considering changing industry practices and recent regulatory and supervisory approaches to operational resilience. [read post]
4 Dec 2023, 7:49 am
Khan’s first FTC statement of regulatory priorities, issued in December 2021, called for possible consumer-protection rules that would, among other things: authorize penalties for “data abuses”; and authorize penalties for “abuses . . . from surveillance-based business models. [read post]
3 Dec 2023, 6:18 am
He is a frequent speaker and author of numerous articles on eDiscovery and data protection issues, particularly on cross-border issues. [read post]
2 Dec 2023, 8:41 am
Report Identity Theft: If you suspect identity theft, report it to the relevant authorities. [read post]
1 Dec 2023, 11:50 am
Stamer’s work throughout her career has focused heavily on working with health care and managed care, life sciences, health and other employee benefit plan, insurance and financial services and other public and private organizations and their technology, data, and other service providers and advisors domestically and internationally with legal and operational compliance and risk management, performance and workforce management, regulatory and public policy and other legal and… [read post]
1 Dec 2023, 10:24 am
On November 17, 2023, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s request to loosen supervision standards for remote offices, thereby making it far easier for stockbrokers to sell inappropriate, if not outright fraudulent, investments to their clients. [read post]
1 Dec 2023, 10:14 am
Boycotting (or “negative screening,” in modern parlance) was one way to shift financial flows away from industries that did not respect human rights while raising awareness of serious supply chain problems that harmed workers or communities. [read post]
1 Dec 2023, 1:16 am
ArciTerra Strategic Retail, LLC ArciTerra Whitefish Opportunity Fund, LLC Suitability – Arciterra REITs FINRA (Financial Industry Regulatory Authority) has rules in place to ensure that broker-dealers and their associated representatives act in the best interests of their customers when recommending investments. [read post]
30 Nov 2023, 12:48 pm
FINANCE REGULATION The Financial Industry Regulatory Authority fined Bank of America Securities $24 million for more than 700 instances of spoofing through two former traders. [read post]
30 Nov 2023, 11:58 am
The Role of Regulatory Boards Regulatory boards exist to maintain high professional standards within different industries. [read post]
30 Nov 2023, 9:03 am
The Grid sets out the regulatory pipeline, so that the financial services industry and other stakeholders can understand, and plan for, the timing of the initiatives that may have a significant operational impact on them. [read post]
28 Nov 2023, 10:19 am
” Outside Business Activities – FINRA Rule 3270 The Financial Industry Regulatory Authority (FINRA) requires registered representatives to disclose any outside business activities (OBAs) to their member firm, which is the firm that employs them. [read post]
28 Nov 2023, 10:00 am
Check out our Practical Guidance Author Center ! [read post]
28 Nov 2023, 10:00 am
Check out our Practical Guidance Author Center ! [read post]
28 Nov 2023, 7:44 am
The Financial Industry Regulatory Authority (FINRA) reportedly also sanctioned two Laidlaw & Company brokers in January 2023, with the payment of more than $150,000 in restitution and fines after they were found to have violated the Reg BI rule. [read post]
28 Nov 2023, 7:05 am
This change will reduce regulatory burdens on industry, while still ensuring that the FCA has sufficient data to carry out its functions. [read post]
27 Nov 2023, 3:16 pm
For information about republication, please contact the author directly. [read post]
27 Nov 2023, 11:35 am
“Today’s historic penalties and monitorship to ensure compliance with U.S. law and regulations mark a milestone for the virtual currency industry. [read post]
27 Nov 2023, 9:00 am
In 1935, the Supreme Court dismissed the very idea that "Congress could delegate its legislative authority to trade or industrial associations or groups so as to empower them to enact the laws they deem to be wise and beneficent for the rehabilitation and expansion of their trade or industries. [read post]
27 Nov 2023, 7:59 am
On 27 November 2023, HM Treasury (HMT) published a joint statement on the UK-Japan Financial Dialogue and Financial Regulatory Forum, which took place in Tokyo between Japan (the Ministry of Finance and the Financial Services Agency) and the UK (HMT, the Bank of England and the Financial Conduct Authority). [read post]
