Search for: "Financial Industry Regulatory Authority"
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1 May 2024, 8:18 am
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
1 May 2024, 6:47 am
” “FINRA orders Barclays unit to pay $700K over conflicts of interest” — “A Barclays unit agreed to pay $700,000 to settle allegations levied by the Financial Industry Regulatory Authority (FINRA) that its research analysts violated conflict-of-interest rules and the firm failed to sufficiently supervise their trades. [read post]
1 May 2024, 4:24 am
Legislative and Regulatory Challenges There are debates about the legal authority of bodies like the SEC to enforce ESG and climate-related disclosure standards. [read post]
30 Apr 2024, 2:51 pm
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
30 Apr 2024, 9:40 am
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
30 Apr 2024, 5:09 am
The implications of such regulatory stances are profound, not just for Meta but for the entire tech industry, which might see a shift towards more transparent and user-respecting business models. [read post]
29 Apr 2024, 10:00 pm
Consumer Regulatory Law Access this practice note for a comprehensive review of the federal legal framework for financial institutions and entities that provide consumer financial services. [read post]
29 Apr 2024, 9:01 pm
These sectors include the following: Chemical; Commercial Facilities; Communications; Critical Manufacturing; Dams; Defense Industrial Base; Emergency Services; Energy; Financial Services; Food and Agriculture; Government Facilities; Healthcare and Public Health; Information Technology; Nuclear Reactors, Materials, and Waste; Transportation Systems; and Water and Wastewater Systems.[4] If an entity is not part of one of these sectors, it is not a Covered Entity. [read post]
29 Apr 2024, 10:13 am
On 29 April 2024, the Financial Conduct Authority (FCA) published Policy Statement PS24/3 on Consumer Credit: Product Sales Data Reporting, in which it sets out its final rules and guidance for incorporating three new Product Sales Data (PSD) returns into Chapter 16 of its Supervision manual (SUP 16). [read post]
29 Apr 2024, 10:13 am
On 29 April 2024, the Financial Conduct Authority (FCA) published Policy Statement PS24/3 on Consumer Credit: Product Sales Data Reporting, in which it sets out its final rules and guidance for incorporating three new Product Sales Data (PSD) returns into Chapter 16 of its Supervision manual (SUP 16). [read post]
25 Apr 2024, 6:17 am
In fact, a lot of the major insurers when they come from the US or from the UK, she’s the first port of call when they want to ask for regulatory compliance matters, how to deal with our regulator, the Monetary Authority Of Singapore, and so she’s very active in that space. [read post]
25 Apr 2024, 2:55 am
The stakeholders forum will be composed of, but not limited to, representatives of the pharmaceutical industry, health professionals, consumers, patients, and scientific researchers. [read post]
24 Apr 2024, 10:42 am
The new SPAC regulations, however, are not one of them; this author had trouble finding any significant public opposition to the new SPAC rules since 2022. [read post]
23 Apr 2024, 6:30 am
Altdata generally is understood to include information about an organization that is available outside of traditional financial and regulatory reporting channels, press releases, or other authorized materials. [read post]
23 Apr 2024, 6:30 am
Altdata generally is understood to include information about an organization that is available outside of traditional financial and regulatory reporting channels, press releases, or other authorized materials. [read post]
23 Apr 2024, 1:49 am
On 22 April 2024, the Financial Conduct Authority (FCA) published a speech by its chief executive, Nikhil Rathi, entitled ‘Navigating the UK’s Digital Regulation Landscape: Where are we headed? [read post]
22 Apr 2024, 10:00 pm
Consumer Regulatory Law Explore this overview of the federal legal framework for financial institutions and entities that provide consumer financial services. [read post]
22 Apr 2024, 11:39 am
You can use the tool to verify if a broker or brokerage firm is registered with FINRA, review their employment history, licensing status, and any regulatory actions or complaints filed against them. [read post]
22 Apr 2024, 9:13 am
On 22 April 2024, the Financial Conduct Authority (FCA) published a speech by its chief executive, Nikhil Rathi, entitled ‘Navigating the UK’s Digital Regulation Landscape: Where are we headed? [read post]
20 Apr 2024, 9:05 pm
In a recent discussion with The Regulatory Review, Lisa Fairfax, Presidential Professor at the University of Pennsylvania Carey Law School and a public governor on the Board of Governors of the Financial Industry Regulatory Authority (FINRA), offers insight into timely corporate governance topics such as environmental, social, and governance (ESG) and “stakeholderism. [read post]
