Search for: "Financial Industry Regulatory Authority"
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19 Apr 2024, 2:04 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
19 Apr 2024, 1:43 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
19 Apr 2024, 9:36 am
Over the last several years, the Securities and Exchange Commission (“SEC”) has been laser-focused on the use of so-called “off-channel communications” in the financial services industry. [read post]
19 Apr 2024, 9:27 am
It is a must-attend gathering for industry professionals, providing unparalleled insights and networking opportunities. [read post]
18 Apr 2024, 12:52 pm
The CFTC holds enforcement authority and regulatory oversight over VCMs and any trading activities within these markets. [read post]
18 Apr 2024, 7:20 am
Also authorizing the assignment of an interest in a RUE for the first time ever under the regulations, but such transfers may similarly be rejected unless and until all base level and supplemental financial assurance requirements are satisfied. [read post]
18 Apr 2024, 6:26 am
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
16 Apr 2024, 9:05 pm
But this attitude started changing amid explosive industry growth and reports of hidden fees and conflicts of interest in the years following the global financial crisis of 2008. [read post]
15 Apr 2024, 10:00 pm
Practitioners can explore blockchain and regulatory considerations to aid in advising banks, financial intermediaries, and financial technology startups on distributed ledger technology. [read post]
15 Apr 2024, 10:00 pm
Learn about the 2000+ leading attorney authors contributing to our 26 practice areas in the Practical Guidance Author Center . [read post]
15 Apr 2024, 6:43 am
This includes working closely with the Bank of England, the Financial Conduct Authority and the Prudential Regulation Authority. [read post]
11 Apr 2024, 9:48 pm
’s ability to address climate change by passing the regulatory authority of the issue from agencies to Congress. [read post]
11 Apr 2024, 5:47 am
However, some experts in the art market continue to express concern, suggesting that the city may have gone too far in dismantling regulations.[21] Regardless of the intention behind it, this move marks a significant shift in the regulatory landscape governing the auction industry. [read post]
11 Apr 2024, 4:57 am
The upshot of this and other examples is that self-reporting and voluntarily remediating issues will matter for the ultimate penalty imposed (if any at all) and may limit the SEC’s imposition of non-financial remedies. [read post]
10 Apr 2024, 9:05 pm
first appeared on The Regulatory Review. [read post]
9 Apr 2024, 1:21 pm
Many of these criteria overlap with pre-existing regulatory reporting requirements. [read post]
9 Apr 2024, 9:33 am
On 9 April 2024, the Financial Conduct Authority (FCA) published Consultation Paper CP24/6 on the rules that enable the FCA to raise regulatory fees and levies in 2024/2025 to fund the FCA and the Financial Ombudsman Service (FOS). [read post]
8 Apr 2024, 10:00 pm
Bank Climate-Related Financial Risk Regulatory Tracker Explore key rules (final and proposed) on climate-related financial risk requirements undertaken by the White House, SEC, Department of Treasury, and other federal banking agencies. [read post]
8 Apr 2024, 9:01 pm
Significantly, unless appropriate regulatory exceptions are recognized, the restrictions may have important operational impacts on certain international, financial, and life science companies, although it appears that the current intention is that transactions “ordinarily incident to and part of the provision of financial services” will not be covered by the forthcoming regulations. [read post]
5 Apr 2024, 6:00 am
As with the prior attempts to modify what it means to be an investment advice fiduciary under ERISA, the DOL is facing pushback against the proposal from various sources in the financial services industry. [read post]
