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24 Jun 2024, 5:56 am
On 24 June 2024, the European Banking Authority (EBA) published its final draft amending regulatory technical standards (RTS) on the standardised approach for counterparty credit risk (SA-CCR). [read post]
14 Nov 2011, 8:32 am
According to a Financial Industry Regulatory Authority (FINRA) press release, “it has fined Morgan Stanley & Co. [read post]
12 Jun 2019, 6:03 am
SEC Chair Jay Clayton has repeatedly made a point of his intent to take the Regulatory Flexibility Act Agenda “seriously,” streamlining it to show what the SEC actually expected to take up in the subsequent period. [read post]
16 Aug 2018, 7:52 am
Our whistleblower attorneys believe that a quick and efficient claims review process should be a priority given associated risks for the whistleblowers. [read post]
3 Nov 2011, 1:23 pm
The Investment Industry Regulatory Organization of Canada (IIROC) yesterday released its Annual Consolidated Compliance Report for 2011. [read post]
28 Jul 2015, 11:59 am
The complicated and extensive regulatory landscape may present many unknown landmines for organizations. [read post]
28 Aug 2015, 12:06 pm
Per his BrokerCheck Report, maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
2 Jun 2020, 10:33 am
The Financial Industry Regulatory Authority (FINRA), the organization which regulates broker-dealers and their employees, has a series of rules requiring broker-dealers to establish and maintain a supervisory system to supervise its brokers and other employees, as well as to monitor all trading activity to ensure compliance with applicable securities laws and regulations. [read post]
16 Jul 2022, 8:14 pm
Survey of ESG Disclosure—2020 to 2022 For its fourth annual survey of ESG disclosure in SEC filings, [2] the White & Case Public Company Advisory Group reviewed the annual meeting proxy statements and annual reports of 50 companies in the Fortune 100. [3] In these 100 SEC filings, we focused on 12 categories [4] of ESG disclosure in annual reports and proxy statements filed with the SEC in 2020, 2021 and 2022. [read post]
10 Apr 2014, 6:52 am
FINRA further alleged that Centaurus did not review or retain the representatives’ emails in violation of SEC and FINRA rules. [read post]
11 Dec 2008, 4:04 pm
However, it is not uncommon for the court or regulatory agency (or even the attorney negotiating the divorce settlement) to daft orders that are not "qualified. [read post]
24 Jun 2016, 1:12 pm
As many as 44 complaints have been filed by investors against Merrill Lynch with the Financial Industry Regulatory Authority (“FINRA”). [read post]
2 Oct 2017, 7:03 am
After a review of the responses received to the consultation, the draft RTS have been amended and are set out in Annex II of the final report. [read post]
9 Jul 2009, 3:05 am
District Court in Norfolk, Virginia just issued an important ruling on the effects of non-compete/non-solicitation agreements on financial advisors who are regulated by the Financial Industry Regulatory Authority or "FINRA. [read post]
9 Apr 2010, 8:45 am
Dan Rosen, Joe Wallin and I have collaborated on an amendment to Senator Dodd's financial regulatory reform bill, the Restoring American Financial Stability Act of 2010. [read post]
2 Mar 2017, 4:26 am
The European Banking Authority (EBA) has published a consultation paper regarding draft Regulatory Technical Standards (RTS) on the specification of the nature, severity and duration of an economic downturn in accordance with Articles 181(3)(a) and 182(4)(a) of the Capital Requirements Regulation (CRR). [read post]
14 Sep 2010, 8:42 pm
So review the Public Notice, and plan accordingly, to avoid any unnecessary processing delays during this period. [read post]
14 Sep 2007, 11:03 am
Senior investors have been the focus of regulatory news, and for good reason! [read post]
8 Jan 2020, 10:21 pm
If you are interested in joining, please review the information below and contact us for more information. [read post]
19 Oct 2016, 12:18 pm
During a QA survey, a QA team will review the results of a survey previously conducted by a DADS survey team. [read post]
