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15 Jan 2020, 8:03 am
The report is part of the EBA’s fintech roadmap project, whereby the European Supervisory Authority (ESA) aims to identify and keep track of merging trends in the banking industry and analyse their inherent risks. [read post]
6 May 2014, 4:26 pm
The following BakerHostetler Executive Alert was authored by: Andrew W. [read post]
26 Jun 2010, 4:59 pm
Works with Bank Regulators: Coordinates with other regulators when examining banks to prevent undue regulatory burden. [read post]
2 Apr 2020, 6:59 am
The EBA statement reminds the financial services industry of the importance to maintain effective and strong anti-money laundering/counter-terrorist financing (AML/CTF) systems and controls in the current, challenging, environment. [read post]
26 May 2023, 6:02 am
The post Week in Review first appeared on The Regulatory Review. [read post]
9 Jul 2018, 2:03 pm
The review will analyze the potential benefits and risks for both industry and consumers to determine what (if any) supervisory and regulatory actions are required. [read post]
9 Jul 2018, 2:03 pm
The review will analyze the potential benefits and risks for both industry and consumers to determine what (if any) supervisory and regulatory actions are required. [read post]
24 Jan 2007, 6:56 am
Carlton, a Partner in the international law firm Kilpatrick Stockton LLP, has a long career in corporate law with an emphasis on public private partnerships, regulated industries, corporate and public finance, financial and nonprofit institutions, and public policy. [read post]
19 Nov 2020, 9:57 am
By Amanda Maine, J.D.The Financial Industry Regulatory Authority (FINRA) and the Securities Industry and Financial Markets Association (SIFMA) submitted comment letters to the SEC expressing their concern about the Commission’s proposed exemption from broker-dealer registration requirements for so-called "finders. [read post]
12 Jan 2023, 9:05 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
14 Nov 2019, 2:40 pm
I’ve seen some risible financial services industry anti-regulatory claims before, but this one really takes the cake for extreme hand-waving. [read post]
19 May 2024, 9:05 pm
Feb 15, 2023 | Can Financial Regulation Save the Planet? [read post]
9 Apr 2009, 2:25 pm
While the SEC and the Financial Services Regulatory Authority have been criticized for lax enforcement, state securities regulators, who play more of a "beat cop" role in the securities markets, have been aggressively protecting investors' interests. [read post]
22 Apr 2021, 8:58 am
Also on Thursday, the country’s market regulatory authorities held an antitrust work conference in Kunming, Southwest China’s Yunnan Province. [read post]
26 Apr 2017, 4:08 pm
In one such case, a penny stock brokerage firm and two of its employees challenged a Securities and Exchange Commission (“SEC”) administrative order finding that they had violated Financial Industry Regulatory Authority (“FINRA”) rules by failing to undertake measures to guard against unlawful trading of unregistered securities. [read post]
18 Sep 2009, 7:27 am
Currently, the funds are at the center of numerous lawsuits and arbitration claims with the Financial Industry Regulatory Authority (FINRA) by investors who allege Citigroup misrepresented the products as safe, conservative and stable fixed-income investments. [read post]
20 Jul 2019, 11:43 am
According to publicly available records, the Financial Industry Regulatory Authority (FINRA) reportedly barred Royster from working in the securities industry after he allegedly refused to comply with a FINRA request for documents and information related to its investigation into the circumstances surrounding his termination from his member firm. [read post]
25 Sep 2019, 7:07 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the customer complaints against Korsch concern allegations of unsuitable investment recommendations and misrepresentations. [read post]
26 Oct 2017, 5:00 am
Brendan Bradley, Co-Founder of Seismic Foundry, located in London, U.K., pointed to a Britain’s very favorable regulatory and tax climate, and specifically cited the Financial Conduct Authority (FCA), and Bank of England’s regulatory sandboxes which take active steps to foster and support tech entrepreneurs. [read post]
13 Oct 2022, 9:03 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
