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2 Aug 2022, 5:37 pm
CHART 2 Source: Derived by author from ONEI (2022). [read post]
2 Aug 2022, 9:12 am
Diversity and inclusion: While there are a number of positive industry initiatives underway, progress to increase diversity of representation remains relatively slow across the financial sector. [read post]
2 Aug 2022, 9:00 am
Organizations should also be aware of sector-specific statutory obligations which may apply to them, for example in health or financial services industries. [read post]
2 Aug 2022, 7:26 am
Indeed, the B.C. government is expanding the scope of its Public Interest Disclosure Act to cover more tribunals and agencies, as well as health authorities, educators and education administrators, and Crown corporations.[9] Ontario has also expanded whistleblower protections to specifically address the pension sector through amendments to the Financial Services Regulatory Authority of Ontario Act, 2016. [read post]
2 Aug 2022, 7:00 am
Claimants File FINRA Arbitration Claim Against Centaurus Financial A Florida couple who suffered losses in GWG Holdings L bonds has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Centaurus Financial. [read post]
2 Aug 2022, 4:40 am
Related posts: SEC Affirms Role of NASD Ombuds; Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds;FINRA Directors Defend Ombuds Program; Ombuds for Financial Industry Regulatory Authority Publishes First Annual Report; FINRA Ombuds Publishes 2017 Report; FINRA Posts Interview with Ombuds; Financial Industry Regulatory Authority Appoints Ombuds [read post]
31 Jul 2022, 9:09 pm
Department of Treasury’s Office of Financial Research, for instance, could serve as a hub of interdisciplinary expertise for financial regulatory agencies. [read post]
31 Jul 2022, 9:01 pm
Today [July 29], the Commission unanimously voted to re-propose amendments to Rule 15b9-1 regarding when broker-dealers are required to register with the Financial Industry Regulatory Authority (FINRA). [read post]
30 Jul 2022, 6:30 am
Today, the Commission unanimously voted to re-propose amendments to Rule 15b9-1 regarding when broker-dealers are required to register with the Financial Industry Regulatory Authority (FINRA). [read post]
30 Jul 2022, 6:30 am
Today, the Commission unanimously voted to re-propose amendments to Rule 15b9-1 regarding when broker-dealers are required to register with the Financial Industry Regulatory Authority (FINRA). [read post]
29 Jul 2022, 12:28 pm
FINRA Bars Joseph Ambrosole after Allegations of Unsuitable and Excessive Trades According to the Financial Industry Regulatory Authority (FINRA) on July 28, 2022, the regulator reportedly barred Joseph A. [read post]
29 Jul 2022, 9:18 am
Nevertheless, the Panel continued to be encouraged by the close coordination between the FCA and FRC to mitigate and manage the risks arising from regulatory overlap in responsibilities between the FCA and the proposed new statutory body (the Audit, Reporting and Governance Authority or ARGA). [read post]
28 Jul 2022, 9:05 pm
Critics such as the Independent Community Bankers of America have argued that the bill would not do enough to protect the financial industry from risk. [read post]
28 Jul 2022, 12:48 pm
We have made no final decisions on any specific regulatory approach. [read post]
28 Jul 2022, 7:00 am
Broker-Dealer Losses Yet Another Investor Claim Involving Its Yield Enhancement Strategy A Financial Industry Regulatory Authority arbitration panel has awarded investors $1.34M, including punitive damages, for losses sustained in the UBS Yield Enhancement Strategy. [read post]
27 Jul 2022, 2:38 pm
According to a recent filing by the Financial Industry Regulatory Authority (FINRA), Richard A. [read post]
26 Jul 2022, 9:01 pm
I would like to address three topics: first, I will touch on three areas of particular interest to our Division; second, I’ll mention two specific developments confronting the investment management industry in the coming months; and, third, I’ll focus on one of our largest projects and a topic of recurring interest, money market funds. * * * Let’s begin with a broad array of topics on our regulatory map. [read post]
25 Jul 2022, 2:50 pm
I welcome guest post submissions from responsible authors on topics of interest to this blog’s readers. [read post]
25 Jul 2022, 12:46 pm
According to the Financial Industry Regulatory Authority (FINRA), a FINRA arbitration panel has ruled in favor of two Texas investors in a claim alleging two firms, LPL Financial and Financial Resources Group Investment Services, concealed the actions of a registered representative who engaged in unauthorized trading in clients’ accounts. [read post]
25 Jul 2022, 5:01 am
The bill would create new export control authorities to control the transfer of certain sensitive categories of Americans’ data to certain foreign entities (for example, those deemed to threaten national security). [read post]
