Search for: "Financial Industry Regulatory Authority"
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31 Jul 2023, 5:00 am
Congress has held a number of hearings on potential legislation to create a federal artificial intelligence (AI) regulatory agency. [read post]
13 Jan 2016, 5:05 pm
The explosive growth of business activity stemming from the Industrial Revolution first ignited the widespread adoption of financial auditing methods and prompted the ingress of financial reporting oversight into the boardroom. [read post]
8 Oct 2020, 8:56 am
The developments might have significant consequences on the cryptocurrency industry globally. [read post]
13 Dec 2016, 8:38 am
Today, we’re taking a closer look at the United Kingdom’s cybersecurity legal and regulatory landscape, courtesy of Conor Ward. [read post]
6 Jun 2013, 11:07 am
A recent cross-industry survey of 1000 whistleblowers by the UK nonprofit Public Concern at Work and law firm Slater & Gordon offers timely validation of this problem: 77% of whistleblowers in the financial services industry were ignored and 42% fired outright – higher percentages than in any other industry.[3] ‘’This survey throws up few surprises,” says Slater & Gordon partner Clive Howard. [read post]
17 Sep 2009, 2:30 am
"Reuters (Reporting by Karey Wutkowski; editing by Tim Dobbyn) in SEC creating new division to police market risk (update 1) writes:"The SEC is seeking increased authority over an array of financial products and sectors, such as the hedge fund industry, after the global financial crisis highlighted the mispricing of risk by investors and other market players. [read post]
14 Dec 2011, 10:14 am
When serving as an IRA custodian for financial accounts, trustees and custodians under IRS §408(b) also owe additional contractual obligations, as well as being required to follow the “Know Your Customer Rule” of the Financial Industry Regulatory Authority (FINRA) and certain other types of retirement accounts subject to ERISA, the Employee Retirement Income Security Act. [read post]
14 Dec 2011, 10:14 am
When serving as an IRA custodian for financial accounts, trustees and custodians under IRS §408(b) also owe additional contractual obligations, as well as being required to follow the “Know Your Customer Rule” of the Financial Industry Regulatory Authority (FINRA) and certain other types of retirement accounts subject to ERISA, the Employee Retirement Income Security Act. [read post]
27 Aug 2024, 5:43 am
Violations of these regulations have led to significant financial penalties for numerous tech companies. [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]
5 Feb 2021, 3:56 am
Centaurus Financial is a Financial Industry Regulatory Authority (FINRA) member firm. [read post]
5 Feb 2021, 3:56 am
Centaurus Financial is a Financial Industry Regulatory Authority (FINRA) member firm. [read post]
14 May 2020, 8:35 am
Again Delays New Payment Authentication StandardsBusiness Travel News – May 12, 2020 (click here for the Financial Conduct Authority’s announcement) The United Kingdom will delay by six months the introduction of tough new payment verification requirements that will affect many business travel users of plastic corporate cards, the country’s Financial Conduct Authority said. [read post]
30 Jan 2017, 6:32 pm
She has published articles on financial integration, debt contracts, and development and has co-authored a textbook on International Finance. [read post]
12 Oct 2010, 9:31 am
However, adding new regulatory challenges to an already hyper-regulated industry seems like an inefficient way to get offshore wind farms built in our lifetimes. [read post]
26 Aug 2018, 3:51 pm
Although public officials are free to express their opinions and may condemn viewpoints or groups they view as inimical to public welfare, they cannot abuse their regulatory authority to retaliate against disfavored advocacy organizations and to impose burdens on those organizations' ability to conduct lawful business. [read post]
16 Jul 2009, 5:50 am
The Private Fund Transparency Act, S 1276, sponsored by the Securities Subcommittee Chair would also authorize the SEC to collect information from the hedge fund industry and other investment pools, including the risks they may pose to the financial system. [read post]
6 Jan 2010, 10:12 pm
Another industry detractor recently stated to this author that if discovered that one of its associates invested in one of these deals they could look for another firm. [read post]
17 Jan 2017, 4:19 pm
Political fallout in the wake of the 2007-2008 financial crisis, and the passage of Dodd-Frank, led many to predict the dawn of a new regulatory enforcement era. [read post]
15 Jan 2014, 2:22 pm
Just this past week, two brokerages units of Stifel Financial were ordered by the Financial Industry Regulatory Authority ("FINRA") to pay more than $1 million related to the sale of leveraged and inverse exchange-traded funds ("ETFs"). [read post]
