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11 May 2023, 9:01 pm
Further, the Commission re-proposed amendments to Rule 15b9-1 to require broker-dealers in the markets to register with the Financial Industry Regulatory Authority (FINRA).[19] By extending FINRA oversight to potentially dozens of broker-dealers, the proposed amendments would strengthen oversight of firms trading securities across several markets. [read post]
10 Mar 2011, 1:22 pm
In order to operate a risk-based examination program that effectively identifies and carefully reviews the major risks, he added, the Division will need more examiners, industry expertise and further technological resources.The financial crisis revealed the need for better oversight of risk at the board and senior management levels, and the need for stronger independence, standing and authority among a firm's internal risk management, control and compliance functions.… [read post]
21 Feb 2022, 11:53 pm
The recommendation follows the launch of open banking in Australia in 2020, and a number of reports concerning the expansion of the CDR including the First Interim Report of Australia’s Select Committee on Financial Technology and Regulatory Technology handed down in September 2020. [read post]
5 Nov 2023, 10:11 am
This new complaint’s filing follows shortly after the U.K Financial Conduct Authority in October announced its decision to fine Staley and ban him from officer positions in the financial services industry based on its finding that Staley “recklessly approved a letter to the FCA” that the agency said “misled” the FCA and the Barclays board about Staley’s relationship with Epstein. [read post]
28 Aug 2020, 1:13 pm
TikTok is not likely to succeed in persuading a judge that the president abused his authority under IEEPA (claim 2). [read post]
3 Jul 2024, 10:44 am
The decision does not prohibit parties from agreeing to settle an enforcement matter that involves a financial penalty administratively. [read post]
10 Mar 2011, 6:52 am
It would politicize our financial system. [read post]
12 Oct 2023, 7:48 am
” He finds that “their speeches and actions suggest they see antitrust as simply another in the myriad of regulatory tools that can and should be used to promote a particular set of industrial and social policies. [read post]
10 Jul 2024, 8:33 am
Without Chevron deference, regulatory compliance and litigation strategies may undergo significant changes. [read post]
19 Dec 2013, 6:48 pm
”[9] Regulatory authorities are also part of this refinement. [read post]
6 Oct 2016, 6:21 pm
Among other things, businesses must determine what information was exfiltrated; where are the affected individuals located; what notice must be given to regulatory and law enforcement authorities; what will cyber-insurance carriers require; how can the breach be remediated; and so on. [read post]
15 Dec 2020, 8:00 am
More regulation is not necessarily negative—it can create clearer guidelines and landscape for exchanges and virtual currency holders and enable them to better understand the regulatory and tax authorities’ expectations. [read post]
6 Oct 2016, 6:21 pm
Among other things, businesses must determine what information was exfiltrated; where are the affected individuals located; what notice must be given to regulatory and law enforcement authorities; what will cyber-insurance carriers require; how can the breach be remediated; and so on. [read post]
3 Feb 2016, 7:27 am
BROKER MISCONDUCT Each month and again on a quarterly basis, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report of disciplinary actions recently taken against brokerage firms and brokers. [read post]
15 Nov 2016, 6:57 am
Further, the more than $1 billion in public support does not include the hundreds of millions that goes toward supporting the public broadcaster, the music industry, publishing industry, and video game industry. [read post]
30 Sep 2020, 7:46 am
For example, Jared Bernstein, former chief economist to Vice President Joe Biden, has recommended a tax on financial markets to fund all national statistical programs using the model of the Securities and Exchange Commission. [read post]
14 Jul 2011, 9:09 pm
Everyone is a Risk Manager There is no sector of the investment management industry that is immune from risk management. [read post]
16 Jun 2021, 12:32 pm
While employed by REJ, Badgerow signed an agreement to arbitrate any disputes she had with Ameriprise or its affiliates, which included the three principals for whom she worked, before an arbitration panel of the Financial Industry Regulatory Authority (FINRA). [read post]
1 Dec 2013, 9:31 pm
Earlier this fall he authored a groundbreaking report on youth employment issues in Ontario (download it here) for the Canadian Centre for Policy Alternatives' Ontario office. [read post]
6 Jan 2020, 6:30 am
This year, we can expect to hear more from both UK and EU authorities about the impact that Open Banking is having in the financial services sector and how this initiative could be expanded into other sectors, particularly those in the digital market. [read post]
