Search for: "Financial Industry Regulatory Authority"
Results 121 - 140
of 11,159
Sort by Relevance
|
Sort by Date
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]
4 Apr 2024, 9:05 pm
Some may infer that the increase in corporate financial penalties has become the new industry tactic to avoid prosecution and prison time. [read post]
3 Apr 2024, 9:03 pm
Douglas award,[9] made this point in congressional testimony that recommended, among other things, greater involvement of the Commission in interpreting regulatory policy.[10] Katz contended that having the Commission “micromanage” or displace the staff in performing their “daily responsibilities” would be “a disastrous outcome,” but “the Commission is the final authority on questions of regulatory policy, both in the… [read post]
3 Apr 2024, 9:01 pm
There are some that question our authority, hoping for a different regulatory regime altogether for their industry. [read post]
2 Apr 2024, 9:05 pm
By incorporating climate risk into their stress test exercises, regulators and banks will be better equipped to understand emerging threats to financial stability, Acharya and his coauthors conclude.The post Assessing Financial Risk Amid Climate Risk first appeared on The Regulatory Review. [read post]
2 Apr 2024, 1:27 pm
Colombia does not have laws regulating cryptocurrencies; however, its financial authorities have issued warnings about the risks associated with crypto trading, and the country seeks to create a supportive regulatory framework for cryptocurrencies. [read post]
2 Apr 2024, 10:12 am
Allegedly Misappropriated Customer’s Funds According to a letter of acceptance on April1, 2024, the Financial Industry Regulatory Authority (FINRA) has barred former Ameriprise Financial advisor John Engler Sr. [read post]
1 Apr 2024, 7:14 pm
These records must be readily available for inspection by regulatory authorities. [read post]
30 Mar 2024, 8:08 pm
The data will be used by the FCC to prepare its annual report to Congress on cable industry prices. [read post]
28 Mar 2024, 9:05 pm
Examples offered by DOJ included a company paying bribes in exchange for regulatory approvals and “doctoring the books” to conceal those, as well as a chief financial officer forging loan documents. [read post]
