Search for: "Financial Industry Regulatory Authority"
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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]
22 Nov 2023, 2:46 pm
Brexit has seen increased domestic political steer of national regulatory authorities. [read post]
21 Nov 2023, 7:49 pm
Wesselt, a former Pennsylvania financial advisor who was barred by the Financial Industry Regulatory Authority (FINRA), now has 32 disclosures listed. [read post]
21 Nov 2023, 3:15 pm
The Media FAQ also states, “It is not sufficient for a health care provider to request or require media personnel to mask the identities of patients (using techniques such as blurring, pixelation, or voice alteration software) for whom authorization was not obtained, because the HIPAA Privacy Rule does not allow media access to the patient’s PHI, absent an authorization, in the first place. [read post]
20 Nov 2023, 7:57 pm
The Australian Prudential Regulation Authority (APRA) has finalised Prudential Standard CPS 230 (Operational Risk Management) (CPS 230) following a year-long industry consultation. [read post]
20 Nov 2023, 5:55 am
Though it is over four decades old, the committee has undergone several rounds of legislative reforms increasing its scope and authority. [read post]
19 Nov 2023, 9:01 pm
The approximately 500-page regulatory release accompanying the Proposal is complex and is still being analyzed across the financial services industry. [read post]
17 Nov 2023, 8:15 am
On this point Verena Ross states that the example of the MFSA’s risk-based licensing framework for virtual financial asset service providers may serve as one model to look at as Member State competent authorities design their own authorisation procedures for crypto asset service providers. [read post]
17 Nov 2023, 6:00 am
Legal and Regulatory Developments SPOTLIGHT: Why the CFPB Proposal for Big Techs May Affect the Entire IndustryThe Financial Brand – November 9, 2023 The Consumer Financial Protection Bureau is asserting the ability to perform examinations of major digital wallet and mobile payments providers in a regulatory proposal. [read post]
17 Nov 2023, 5:26 am
Please reach out to the authors or other health care attorneys at Reed Smith if you have any questions about how this rule might impact your organization. [read post]
16 Nov 2023, 2:57 pm
Furthermore, the EO specifically encourages independent regulatory agencies to consider using their full range of authorities, including rulemakings and revising existing regulations and guidance that apply to AI, to protect American consumers from fraud, discrimination, financial instability, threats to privacy, and other risks that may arise from the use of AI. [read post]
16 Nov 2023, 7:32 am
Investors rely on regulatory bodies like FINRA (Financial Industry Regulatory Authority) to hold financial professionals accountable for any misconduct and to ensure a fair and transparent marketplace. [read post]
16 Nov 2023, 6:28 am
Recently, Traderfield Securities Inc. and its principal, Mario Divita, found themselves at the center of regulatory scrutiny by the Financial Industry Regulatory Authority (FINRA). [read post]
15 Nov 2023, 9:03 pm
When Unsuitable Trading Leads To Investor Losses Our Unsuitable Trading Attorneys Are Speaking To Former Customers of Ex-Merrill Lynch Broker Robert Gerstein The Financial Industry Regulatory Authority (FINRA) has suspended a former longtime Merrill Lynch financial advisor for allegedly recommending that some customers short-term trade their mutual fund shares and certain complex financial products that were better suited for a longer-term… [read post]
15 Nov 2023, 8:50 pm
There is Still Time To Try To Recover Your GWG L Bond Losses California Brokers From Expelled Firm Ordered To Pay More Than $1M To Investor A Financial Industry Regulatory Authority (FINRA) arbitration panel recently awarded over $1 million in damage to a GWG L Bond investor. [read post]
15 Nov 2023, 8:39 pm
Investors File FINRA Lawsuit Seeking Up To $1M In Damages from Ameriprise Financial For years the Financial Industry Regulatory Authority (FINRA) has been cautioning brokers against selling variable life insurance to retirees. [read post]
