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About 280 results for "fia financial regulations"

FIA to Feature Panalytics in Innovators Pavilion September 21,...

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 ... PRWeb, 4 days 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 ...
 Lexology4 days 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 ...
 Lexology3 weeks ago FIA raises jurisdictional concerns about CFPB proposal on arbitration agreements  FIA1 month 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 ...
 FAnews4 days ago In reply to self-serving financial advice articles  RISKAFRICA Magazine3 days ago

FIA seeks clarification on FERC reporting rule

On Sept. 19, FIA filed a comment letter with the Federal Energy Regulatory Commission, the agency that oversees U.S. wholesale markets for physical power and natural gas, seeking clarification about the scope of a proposed rule aimed at ...
 FIA3 days ago FIA submits letter to CFTC on improving Chief Compliance Officer annual report requirements  FIA5 days ago FIA welcomes regulatory focus on central counterparty risk  LeapRate1 month ago

FIA remarks on India's discussion paper on algorithmic trading

FIA sent a comment letter to theSecurities and Exchange Board of India (SEBI) in response to the regulator's discussion paper on Strengthening of the Regulatory Framework for Algorithmic Trading & Co-location . SEBI, thecountry's primary ...
 FIA1 week ago FIA comments on India's discussion paper on algorithmic trading  FIA2 weeks ago

Foundations laid for South Africa's Twin Peaks model of financial sector regulation

Becoming more consumer-centric will be critical if insurers and brokers are to remain compliant with the impending changes in regulation for South Africa. The laws necessary to implement a Twin Peaks model of financial sector regulation in South ...
 Commercial Risk Europe1 week ago

Walt Lukken, FIA The New Normal and the Five Tips

Were in a very exciting industry. Fundamentally, the demand for risk management in our financial markets to service the real economy is not going to disappear. It may change on the margins and people are going to leave the business, but it is going ...
 John Lothian Newsletter1 month ago

The Financial Report, Volume 5, Number 13

THIS ISSUE Discussion and Analysis News from the Americas News from Asia and the Pacific News from Europe Global Regulators US Securities and Exchange Commission Developments US Commodity Futures Trading Commission Developments US Banking and ...
 JD Supra2 months ago

Key themes from the R3 summit on smart contract templates

Hosted by Barclays and blockchain technology company R3CEV LLC, which leads a consortium of more than 40 global financial services companies, the event, held simultaneously in London and New York, was attended by 35 experienced attendees including, ...
 Lexology3 weeks ago
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