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About 266 results for "fia financial regulations"

Market grows for regtech, or AI for regulation; This Startup I...

First Read Bits & Pieces By Jim Kharouf Next week is one of the biggest weeks of the year for the industry, with FIA Expo in Chicago from October 18th (opening night) to October 20th. John Lothian News will be publishing two interesting pieces ... John Lothian Newsletter, 1 week ago

Findex Group and Financial Index hit with penalties

Findex Group Limited and Financial Index Australia (FIA) have each paid a $10,800 penalty for "potentially misleading claims" on the Findex website after the Australian Securities and Investments Commission (ASIC) had issued the infringement ...
 Money Management1 week ago

FIA to Feature Panalytics in Innovators Pavilion September 21, 2016FIA announced that Panalytics is one of 18 companies chosen to exhibit in the 2016 Innovators Pavilion at the Futures and...

Panalytics helps firms move to a more proactive model of compliance, in-line with guidance from regulators. IRVINE, CA (PRWEB) September 21, 2016 FIA announced that Panalytics is one of 18 companies chosen to exhibit in the 2016 Innovators ...
 PRWeb1 month ago

Repealing of the Iran Direction in the British Virgin Islands

The position in 2009 The Financial Investigation Agency (the FIA ) in the British Virgin Islands gave a direction (the BVI 2009 Direction ) on 18 December 2009 under section 3 of the Proliferation Financing (Prohibition) Act 2009 (the PFPA ). The ...
 Lexology1 month ago

CFTC and FIA Object to CFPB Proposal to Ban Certain Arbitration Agreements to the Extent They Pertain to Commission-Regulated Activities

The Commodity Futures Trading Commission and the Futures Industry Association filed comment letters with the US Bureau of Consumer Financial Protection (CFPB) objecting, in part, to a proposed rule by the CFPB that would prohibit arbitration ...
 Lexology1 month ago FIA raises jurisdictional concerns about CFPB proposal on arbitration agreements  FIA2 months ago Clearing Requirement Determination Under Section 2(h) of the Commodity Exchange Act for Interest Rate Swaps  Federal Register1 week ago

FIA has new CEO

Following on from a rigorous selection process the Financial Intermediaries Association of Southern Africa (FIA) is delighted to announce the appointment of Ms Lizelle van der Merwe as its Chief Executive Officer with effect from 1 November 2016. ...
 Cover Publications3 weeks ago Lizelle van der Merwe appointed as FIA CEO  RISKAFRICA Magazine3 weeks ago Ms Lizelle van der Merwe appointed as FIA CEO from 1 November 2016  Insurance Gateway2 weeks ago

Greater scrutiny of self-serving financial advice articles required

Gavin Came, chairperson of the FIA's Financial Planning Executive Committee On 17 September 2016 part of the Naspers group published an article by AndrĂ³ Griessel, a financial adviser, under the title Are you financing your ...
 FAnews1 month ago In reply to self-serving financial advice articles  RISKAFRICA Magazine1 month ago

FIA welcomes guidance on counterparty risk

REGULATORY First Published 10/2016 FIA joined four industry trade associations in a response to proposed guidance from the Committee on Payments and Market Infrastructures (CPMI), the International Organization of Securities Commissions ...
 Hedge Fund Journal4 days ago Trade bodies urge more transparency on central counterparty risk  Finextra Research3 days ago FIA Welcomes Proposed Guidance on Central Counterparty Risk and Pushes for More Transparency  Markets Media Online22 minutes ago

FIA co-signs a letter calling for a delay on the PRIIPs Regulation

FIA co-signed a letter with the Joint Associations Committee (JAC), theInternational Swaps and Derivatives Association (ISDA), theGlobal Foreign Exchange Division of the Global Financial Markets Association (GFMA), and the International Capital ...
 FIA4 days ago FIA submits letter to CFTC on improving Chief Compliance Officer annual report requirements  FIA1 month ago

PARTNER MOVES - James Greig Joins White & Case as a Partner in London

Global law firm White & Case LLP has expanded its financial services regulatory capabilities with the addition of James Greig as a partner in London. ""The volume and pace of regulatory change since the financial crash remains substantial, and we ...
 Legal Monitor5 days ago
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