Search for: "PRUDENTIAL FINANCIAL, INCORPORATED"
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15 Jul 2020, 12:59 am
This is likely to propose incorporating this additional guidance on safeguarding and prudential risk management. [read post]
5 May 2020, 9:24 pm
Has the trustee utilised APRA’s Prudential Practice Guide CPG 233 Pandemic Planning? [read post]
26 Mar 2020, 7:55 pm
These actions, taken in concert with actions taken by the Bank, the Monetary Policy Committee (MPC) and the Prudential Regulation Committee (PRC), have sought to reduce pressure on banks to restrict the provision of financial services, including the supply of credit and support for market functioning, and ensure that the financial system can be a source of strength for the real economy during this challenging period. [read post]
20 Mar 2020, 8:48 am
In order to alleviate burdens on core treasury staff at banks, the BoE has paused this exercise until further notice; the BoE published a discussion paper on the 2021 BES on the financial risks from climate change on 18 December 2019. [read post]
30 Jan 2020, 6:42 am
(CRD#: 11217), Prudential Securities Incorporated (CRD#: 7471), Dean Witter Reynolds Inc. [read post]
28 Jan 2020, 7:21 am
Before joining Morgan Stanley, he worked for Wells Fargo Advisors (CRD#: 19616), Prudential Securities Incorporated (CRD#: 7471), Salomon Smith Barney (CRD#: 7059), Lehman Brothers (CRD#: 7506), E.F. [read post]
9 Jan 2020, 7:53 am
The term “recognised lender” covers a range of entities, such as international banks and “prudentially regulated financial institutions” (“PRFI”). [read post]
10 Dec 2019, 5:03 pm
APRA sets out stronger, more transparent approach to regulating and supervising GCRA risks On 19 November 2019, APRA released an information paper setting out a more stringent regulatory approach to governance, culture, remuneration and accountability (GCRA) practices across the prudentially regulated financial sector. [read post]
7 Nov 2019, 6:51 pm
The Parliamentary Joint Committee on Corporations and Financial Services 2009 Ripoll Report identified conflicted remuneration as the principal cause of poor financial advice provided to clients. [read post]
6 Nov 2019, 3:05 am
Financial services firms authorised by either the Prudential Regulation Authority or Financial Conduct Authority must comply with rules specifying the systems and controls that they must have in place to handle whistleblowing issues. [read post]
17 Oct 2019, 8:58 am
Separately, the Prudential Regulation Authority (PRA) had published Supervisory Statement 3/19 in April 2019, setting out its expectations on managing the financial risks from climate change for insurers, banks, building societies and PRA-designated investment firms. [read post]
14 Oct 2019, 6:54 am
In this context, the Commission notes what – if any – further measures could be taken to incorporate ESG risks into prudential regulation, without pre-empting the ongoing work stemming from earlier mandates. [read post]
3 Sep 2019, 11:35 pm
This move was recommended in the final report of the Financial Services Royal Commission. [read post]
2 Jul 2019, 6:32 pm
In June 2019 ASIC released its estimates for the Industry Funding levy for the 2018-19 financial year. [read post]
23 May 2019, 2:00 pm
(CRD#: 8174), and Prudential Securities Incorporated (CRD#: 7471). [read post]
20 May 2019, 9:11 am
PLS Financial Services, Inc., however, a federal district court and the Fifth Circuit reached the opposite conclusion in a proposed class action presenting the very same litigation waiver question under almost identical factual circumstances, 689 Fed.Appx. 800 (5th Cir. 2017) (per curiam).How should these cases be counted? [read post]
17 May 2019, 11:20 am
His previous employers include Prudential Securities Incorporated (CRD#:7471) of New York, NY, UBS Painewebber Inc. [read post]
10 Apr 2019, 7:08 am
According to the commentary accompanying the Proposed Guidance, the March 13 proposals revise and update the 2012 Interpretive Guidance and incorporate certain provisions of the 2015 Supplemental Procedures. [read post]
26 Mar 2019, 3:07 am
The BCBS is the primary global standard setter for the prudential regulation of banks. [read post]
28 Feb 2019, 6:41 pm
While economic reform policies that could negatively affect human rights are more commonly found in the context of economic and financial crisis responses, these reforms have also been observed in less challenging economic times. [read post]
