Search for: "Financial Industry Regulatory Authority"
Results 6641 - 6660
of 11,238
Sorted by Relevance
|
Sort by Date
27 Mar 2018, 9:22 am
Both were ordered by the Financial Industry Regulatory Authority (FINRA) to pay James Mirgliotta and the estate of his late wife, Bette, $595,000 in compensatory damages and $250,000 in punitive damages. [read post]
8 Jul 2009, 3:14 am
Macias expressed support for the project but noted that significant time and resources would be necessary to implement such a project in Latin America and certain adaptations would likely be necessary.MexicoMexican financial services watchdog Condusef, recently released figures indicating that the largest insurance industry players continue to grow rapidly, while small to medium-sized companies are experiencing stagnation and even decline in total premiums. [read post]
13 Mar 2012, 6:32 am
On April 11, 2011, an arbitration panel of the Financial Industry Regulatory Authority (FINRA) ordered Citigroup to pay a record $54 million to investors who suffered losses in ASTA/MAT and several other purported fixed income-related products. [read post]
5 Jan 2008, 1:29 am
The GLBA requires responsible federal agencies or state regulatory authorities to establish appropriate standards for financial institutions regarding administrative, technical and physical safeguards for nonpublic customer data. [read post]
10 Feb 2013, 10:03 am
P.211)Transnational actors can act as “self-regulating” entities, which are able to create and set new inter-systemic harmonized regulatory frameworks throughout their operations as well as within their industry. [read post]
22 Sep 2022, 8:41 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
30 Nov 2022, 1:49 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
22 Sep 2021, 7:24 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
24 Jan 2022, 2:01 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
10 Jul 2011, 11:10 pm
Other organisations holding other people’s money are regulated Banks and financial institutions are regulated by the Financial Services Authority (FSA), the Treasury and the Bank of England. [read post]
21 Jun 2022, 9:01 pm
The SFC maintains a public register of ESG funds authorized by the SFC. [read post]
25 Mar 2020, 11:55 am
Regulatory authorities are working to provide relief on reporting deadlines and scope. [read post]
15 Mar 2010, 1:36 pm
A broad industry coalition expressed some of concerns and more in an open letter to Congress in December. [read post]
30 Aug 2012, 9:00 pm
In FINRA Regulatory Notice 12-05 (Jan. 2012), the Financial Industry Regulatory Authority (FINRA) cited an increase in the number of reported cases of money stolen from customer accounts as a result of bogus e-mail instructions from e-mail accounts of customers, which had been hacked by scam artists. [read post]
27 Jan 2023, 4:00 am
Social media, financial services, and even property itself are slated to be analyzed as “NPU” in future editions. [read post]
13 Nov 2023, 6:43 am
Our regulatory systems, including the Cancer Moonshot, greatly favor this paradigm. [read post]
14 Jul 2023, 10:21 am
Legal and Regulatory Developments SPOTLIGHT: CFPB Takes Action Against Bank of America for Illegally Charging Junk Fees, Withholding Credit Card Rewards, and Opening Fake AccountsCFPB – July 11, 2023 Today, the Consumer Financial Protection Bureau (CFPB) ordered Bank of America to pay more than $100 million to customers for systematically double-dipping on fees imposed on customers with insufficient funds in their account, withholding reward bonuses explicitly promised to… [read post]
30 Jul 2019, 9:05 pm
Massad also argues that financial instruments in the crypto-sector can be difficult to define for regulatory purposes. [read post]
29 Nov 2020, 9:03 pm
Banking regulation, however, has not kept up with these technological innovations in the industry. [read post]
22 Feb 2018, 9:00 am
THERE CAN BE A LOT OF CONFUSION IN THE INDUSTRY—AND MEDICAL SPA TREATMENT BY RNS UNDER PHYSICIAN SUPERVISION IS AN ENFORCEMENT HOT BOTTOM. [read post]
