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9 May 2024, 3:35 am
On 8 May 2024, the Financial Services Regulation Committee (FSRC) announced that it is launching an inquiry into the secondary international competitiveness and growth objective given to the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) under the Financial Services and Markets Act 2023. [read post]
8 May 2024, 7:20 pm
Inc. reportedly settled with the Financial Industry Regulatory Authority (FINRA), agreeing to pay a $500,000 fine. [read post]
8 May 2024, 5:13 pm
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
8 May 2024, 9:58 am
Data Governance for Reporting Companies A key regulatory enforcement priority for FinCEN is data governance. [read post]
7 May 2024, 9:05 pm
Alade observes that the current structure is ill-suited for fintech regulation, which blurs traditional agency boundaries separating the financial industry from other industries. [read post]
7 May 2024, 3:12 pm
NCAA, 584 U.S. 453, reserved the right to delegate regulatory authority on sports betting to the states. [read post]
7 May 2024, 1:06 pm
Working with the team at Hepworth Holzer helped me focus on getting well and not on the financial worries of my situation. [read post]
7 May 2024, 12:30 pm
Court of Appeals for the Second Circuit affirmed the decision on the ground that the two distributors were in the baking industry, not the transportation industry, and therefore did not qualify for the arbitration exemption. [read post]
7 May 2024, 7:35 am
The review includes regulatory sanctions from the Financial Industry Regulatory Authority (FINRA), the US Securities Exchange Commission (SEC) and state regulators. [read post]
7 May 2024, 5:49 am
Some experts argue that the FTC has overstepped its regulatory authority and that such sweeping changes to employment contract norms should be legislated by Congress rather than imposed through regulatory action. [read post]
6 May 2024, 7:03 pm
FINRA BrokerCheck – Eddy Blizzard The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with The Financial Industry Regulatory Authority (FINRA). [read post]
6 May 2024, 11:52 am
FINRA Bars Northwestern Mutual Broker Michael Gravelyn after Allegations According to public records, FINRA, the self-regulator, has reportedly barred financial advisor Michael Gravelyn (CRD # 6569005) from working in the securities industry. [read post]
4 May 2024, 8:31 pm
About the Author Cynthia Marcotte Stamer is a practicing attorney board certified in labor and employment law by the Texas Board of Legal Specialization and management consultant, author, public policy advocate and lecturer widely known for 35 plus years of cybersecurity, workforce, technology and other compliance, risk management and mitigation, incident and other investigations,regulatory and government affairs, and other strategic, operational,… [read post]
4 May 2024, 4:33 am
Tax authorities would need to rely on accurate and timely information about economic activities taking place within their borders, which would necessitate the implementation of secure data exchange protocols and the protection of sensitive financial information from cyber threats. [read post]
3 May 2024, 6:00 am
The global average near-surface temperature was 1.45 ± 0.12 °C above the pre-industrial baseline; the warmest 10-year period on record. [read post]
3 May 2024, 6:00 am
The settlement with merchants, announced in March, would cap rates for card fees for five years and give sellers more authority to offer discounts based on the use of certain cards. [read post]
2 May 2024, 12:35 pm
April 2024 FINRA barred financial advisor Scott Matalon from the securities industry after he reportedly refused to cooperate with their investigation into allegations made by a client. [read post]
1 May 2024, 8:18 am
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
1 May 2024, 6:47 am
” “FINRA orders Barclays unit to pay $700K over conflicts of interest” — “A Barclays unit agreed to pay $700,000 to settle allegations levied by the Financial Industry Regulatory Authority (FINRA) that its research analysts violated conflict-of-interest rules and the firm failed to sufficiently supervise their trades. [read post]
1 May 2024, 4:24 am
Legislative and Regulatory Challenges There are debates about the legal authority of bodies like the SEC to enforce ESG and climate-related disclosure standards. [read post]
