Search for: "Financial Industry Regulatory Authority"
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31 May 2024, 8:20 am
Several months ago, a Financial Industry Regulatory Authority (FINRA) arbitration panel awarded $1M in compensatory damages to one customer for portfolio losses from allegedly unsuitable private placement recommendations by Roman. [read post]
17 Oct 2019, 10:28 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Holland’s customer complaints alleges that Holland recommended unsuitable investments, negligence, and breach of fiduciary duty among other allegations of misconduct relating to the handling of their accounts. [read post]
13 Jul 2017, 9:30 pm
Industry challenged the rule as “unlawful and arbitrary and capricious. [read post]
21 Jan 2016, 5:05 pm
But others ought to be more troubling--the collateral effects of privatization of governance; the movement from law to techniques, and the dramatic transformation of representation as a basis for democratic authority and accountability. [read post]
10 May 2016, 5:17 am
Financial Conduct Authority, the report notes.Data protection. [read post]
7 Jun 2021, 8:55 pm
International regulatory bodies Closing date 30 June 2021: IOSCO issues industry surveys on conduct risks in leveraged loans and collateralized loan obligations EU legislation and guidelines entering into force 26 June 2021: EU Investment Firm Prudential Regime comes into force. [read post]
30 Jan 2019, 2:11 pm
The Financial Industry Regulatory Authority (FINRA) has issued its “Report on Selected Cybersecurity Practices – 2018” to provide further guidance to broker-dealer firms in developing and improving their cybersecurity programs. [read post]
3 Sep 2024, 3:00 am
Financial Services Regulation Trackers provides up to date information on legislation and key administrative proceedings from federal, state and local banking authorities. [read post]
18 Apr 2022, 8:11 am
The opioid manufacturer Purdue Pharma, beleaguered and in financial trouble, wanted to revamp its business, and an executive there sought out Dr. [read post]
19 Jul 2023, 9:42 am
“What’s needed is less segmentation and more clarity over jurisdictional authority in the U.S. [read post]
25 Oct 2023, 5:23 pm
The ex-New York broker was permanently barred by the Financial Industry Regulatory Authority (FINRA) last year and then suspended by the self-regulatory organization earlier this year. [read post]
16 Jul 2011, 8:00 pm
For a more extensive discussion of the CFPB’s regulatory powers, click here. [read post]
26 Dec 2021, 9:05 pm
The Regulatory Review is pleased to highlight our top regulatory essays of 2021 authored by a select number of our many expert contributors. [read post]
26 Jun 2016, 4:33 pm
The underwriters operate under a “passport” system, pursuant to which they are able to conduct business throughout the E.U. while regulated and supervised by the Prudential Regulatory Authority (PRA), the U.K. financial regulator. [read post]
13 Oct 2016, 9:30 pm
Circuit ruled that the Consumer Financial Protection Bureau’s (CFPB) structure is unconstitutional. [read post]
24 Jan 2020, 9:46 am
According to public records, the Financial Industry Regulatory Authority (FINRA) has reportedly barred Bracy from working in the securities industry after she allegedly refused to appear for on-the-record testimony as requested by FINRA in connection with its investigation of Bracy’s sale of a Future Income Payments, LLC’s structured cash flow investment, comprised of pension streams. [read post]
8 Apr 2020, 6:58 am
The Innovation Hub is open to all financial sector innovators, whether from a start-up, an established fintech firm, an incumbent financial service provider or an adjacent industry entering the financial services market (such as retail or telecommunications). [read post]
4 Jul 2013, 9:11 am
Boards must protect the independence of the Chief Risk Officer, and personal responsibility for this should lie with the chair of the risk committee.The Chief Risk Officer should not be able to be dismissed or sanctioned without the agreement of the non-executive directors, and his or her remuneration should reflect this requirement for independence.The Commission proposes a new tool, special measures, which are designed to provide for the deployment of a broader range of regulatory powers… [read post]
21 May 2024, 9:05 pm
Markham also explains that whether cryptocurrencies qualify as securities has tremendous importance over not just how the cryptocurrency industry is regulated, but over which financial regulatory agency does this regulating. [read post]
13 May 2020, 11:45 pm
The Steering Group The Steering Group’s members comprise of the Securities and Futures Commission (SFC), the Hong Kong Monetary Authority (HKMA), the Hong Kong Exchanges and Clearing Limited, the Insurance Authority, the Mandatory Provident Fund Schemes Authority, the Environment Bureau and the Financial Services and the Treasury Bureau. [read post]
