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4 Mar 2024, 10:00 pm
Read now » Related Content Federal Deposit Insurance Corporation Explore the role of the FDIC and its functions in the U.S. financial regulatory system. [read post]
12 Feb 2013, 11:44 am
The 18-page report authored by Nicole T. [read post]
15 Jul 2012, 10:58 am
However, the staff noted areas in IFRS that are still underdeveloped, such as accounting for extractive industries, insurance, and rate-regulated industries. [read post]
6 Apr 2019, 4:00 am
Links to material posted on the Internet highlighted in COLORDepartment of Financial Services (DFS): Oversight of the Title Insurance Industry (2017-S-10) While DFS has worked to strengthen its oversight of the industry through the regulatory process, enforcement of the existing regulations has lagged.Office of Children and Family Services (OCFS): Access Controls Over Selected Critical Systems (2017-S-56) Controls over six OCFS systems… [read post]
6 Apr 2019, 4:00 am
Links to material posted on the Internet highlighted in COLORDepartment of Financial Services (DFS): Oversight of the Title Insurance Industry (2017-S-10) While DFS has worked to strengthen its oversight of the industry through the regulatory process, enforcement of the existing regulations has lagged.Office of Children and Family Services (OCFS): Access Controls Over Selected Critical Systems (2017-S-56) Controls over six OCFS systems… [read post]
3 Apr 2011, 9:27 pm
The pushback from various segments of the financial services industry has been considerable, leading to an extension of the time allowed for official comments through April 12, 2011. [read post]
6 Jun 2022, 6:18 am
Are there any aspects of climate-related financial risk related to digital assets that the Commission should address within its statutory authority? [read post]
1 Oct 2009, 3:31 am
Elaine Halchin, The Coalition Provisional Authority (CPA): Origin, Characteristics, and Institutional Authorities, Cong. [read post]
20 Oct 2008, 9:41 pm
According to the Financial Industry Regulatory Authority, Ray Londo was fired from LPL this year because of his failure to abide by company policy related to borrowing from or lending money to clients. [read post]
25 Mar 2020, 11:55 am
Regulatory authorities are working to provide relief on reporting deadlines and scope. [read post]
29 Apr 2024, 10:13 am
On 29 April 2024, the Financial Conduct Authority (FCA) published Policy Statement PS24/3 on Consumer Credit: Product Sales Data Reporting, in which it sets out its final rules and guidance for incorporating three new Product Sales Data (PSD) returns into Chapter 16 of its Supervision manual (SUP 16). [read post]
29 Apr 2024, 10:13 am
On 29 April 2024, the Financial Conduct Authority (FCA) published Policy Statement PS24/3 on Consumer Credit: Product Sales Data Reporting, in which it sets out its final rules and guidance for incorporating three new Product Sales Data (PSD) returns into Chapter 16 of its Supervision manual (SUP 16). [read post]
22 Jun 2018, 6:52 pm
The Financial Industry Regulatory Authority (FINRA) mandates brokers to recommend suitable investments for the customer. [read post]
16 Mar 2021, 9:07 pm
Congress responded by stripping the FTC of major authorities over the financial sector, such as rulemaking on mortgages and debt collection. [read post]
27 Apr 2021, 9:05 pm
Regulatory sandboxes, such as the one the United Kingdom’s Financial Conduct Authority established for fintech, create a safe space for regulators and innovative services to work through issues. [read post]
8 Oct 2020, 9:05 pm
FLASHBACK FRIDAY In a 2016 essay in The Regulatory Review, Joshua A. [read post]
2 Jun 2016, 9:30 pm
In addition to legislative efforts to overturn it, the Department of Labor’s (DOL) new fiduciary rule is now facing a challenge in court, as a coalition of financial industry groups that includes the U.S. [read post]
13 Aug 2010, 7:10 am
For more insights on the full range of business and legal issues associated with current market and regulatory changes, including the Dodd-Frank Act’s executive compensation, corporate governance and enforcement provisions, please visit Hunton & Williams LLP's Financial Industry Resource Center. [read post]
19 Feb 2020, 7:05 am
Ma Rosa Linan Abrego, based out of McAllen, Texas, was terminated by Merrill Lynch and recently barred indefinitely by the Financial Industry Regulatory Authority (FINRA) from working as a financial advisor/stockbroker. [read post]
10 Sep 2019, 2:34 am
According to the Financial Industry Regulatory Authority, Hawkins has been the broker of record for at least four (4) customer disputes for similar allegations and Chiellini currently has eighteen (18) customer disputes on her broker record, many with similar issues. [read post]
