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About 429 results for "fia financial regulations"

Global Regulations Creating Unintended Challenges

NEW YORK , Feb. 27, 2015 /PRNewswire/ --In the aftermath of the financial crisis, policymakers around the world introduced regulations aimed at strengthening and safeguarding financial markets. As these measures are rolled out and implemented across ... RCL Advisors, 1 month ago
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John Lothian Newsletter

JLN Financials: What Your N.C.A.A. Brackets Teach About Investing and Bias; Expect Trench Warfare Among Investment Banks; Morgan Stanley shuffles wealth and securities executives

First Impressions Creative Juice: Sir Ken Robinson and FIA Boca 2015 Doug Ashburn JLN At each year's FIA Boca conference, a certain topic, issue or person becomes the thing everyone talks about. It may be an impending rule, a disruptive new ...
 John Lothian Newsletter1 week ago JLN Options: Central bank anxiety creates major macro volatility; Informed traders prefer options academic research; VIX is coming of age  John Lothian Newsletter1 week ago JLN Financials: U.S. Fed slashes dividend plans of large Wall Street banks; Bond Trading Just Keeps Getting Worse as Treasury Prices Swing; Wall Street Bonuses Rose Just 2% Last Year  John Lothian Newsletter2 weeks ago JLN Financials: KCG to sell forex trading platform Hotspot to BATS Global; Wall Street Spy Ring Sought to Disrupt Financial Markets; SocGen Enters CMBS Market in U.S. by Hiring Team From RBS  John Lothian Newsletter2 months ago

John Lothian: U.S. executives lay out regulatory vision for venture exchanges; Citigroup's Roaring Revival on Wall Street; China turns up the heat on ICE

First Read Boca Bits & Pieces Sarah Rudolph JLN This is the 40th anniversary of the FIA Boca conference, and befitting such a nice round number, it was also the most highly attended ever, with somewhere around 1130 attendees. This year, pins ...
 John Lothian Newsletter2 weeks ago

The FIA warns against knee-jerk reactions to work in progress legislation

The Retail Distribution Review (RDR) discussion paper published by the Financial Services Board (FSB) on 7 November 2014 proposes far-reaching reforms to the regulatory framework for distributing retail financial products to local consumers. The ...
 INVESTSA Magazine1 month ago South Africa's Retail Distribution Review process gains momentum  Commercial Risk Europe1 month ago Association warns against knee-jerk reactions to work in progress legislation  Insurance Gateway2 months ago

SEC Examination Priorities; In Life as in Literature; Unregistered CTA Sanctioned: Bridging the Week January 12 to 16 and 19, 2015 [VIDEO]

Last week, the Securities and Exchange Commission followed the Financial Industry Regulatory Authority's lead earlier this month by publishing examination priorities for 2015. Also, an SEC-registered investment adviser and its owner—featured in a ...
 National Law Review2 months ago Bridging the Week: February 2 to 6 and February 9, 2015 [VIDEO]- Cybersecurity; Peregrine Financial Fallout; Market Abuse; Collusion  National Law Review1 month ago Bridging the Week - February 2015 #2  JD Supra1 month ago

U.S. Bank Accord, FIA Swaps Memo, Powell on Banks: Compliance

(Bloomberg) -- U.S. Bank NA agreed to pay $18 million to end a federal regulator's lawsuit over its handling of funds belonging to clients of Peregrine Financial Group Inc., an Iowa futures trading firm that collapsed in a $200 million fraud that ...
 GARP1 month ago U.S. Bank Accord, FIA-Swaps, Powell on Banks: Compliance  GARP1 month ago

JLN Financials: As Regulators Focus on Culture, Wall Street Struggles to Define It; Big Banks Try to Monitor Employee Attitudes to Avoid Future Problems; CME Group and GFI Group Terminate Merger Agreement; Deflation alarms ring louder as EU, Chinese fac

First Impressions Bits & Pieces, Snow Day Edition Doug Ashburn, John Lothian News Last week's east coast Snowmageddon dominated the national news for three days despite the fact that, in most places, the totals came nowhere near the hype.
 John Lothian Newsletter1 month ago

Mobile money: The regulators headache

This week, the Commercial Court will issue a landmark ruling on whether telecoms should be allowed to provide mobile money services. In a suit filed in 2012, Abdul Katuntu and Kimberly Kasana, a businesswoman sued telecoms, Uganda Communications ...
 Uganda Daily Monitor2 weeks ago

CMA moves to control money laundering

Kampala As Uganda's capital markets grow, with a new stock exchange set to start operations in May, the regulator has started complying with the Anti-Money Laundering Act 2013. Capital Markets Authority (CMA) has signed a Memorandum of ...
 Uganda Daily Monitor2 weeks ago
Sky Sports

Manor on 2015 entry list

Manor have been included on an updated F1 entry list published by the FIA as the team's 11th-hour bid to return to the grid for the Australian GP gathers pace. A week after a deal was struck with creditors for the team now known as Manor Marussia ...
 Sky Sports1 month ago FIA quietly helping Manor's quest for 2015 F1 grid  Auto Week1 month ago Marussia on F1 entry list, Caterham on the auction block  Malay Mail1 month ago 6 talking points for the new Formula One season  Motorsport.co.uk2 weeks ago
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