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About 931 results for "financial industry regulatory authority"

Former SEC Chief Walter Named FINRA Public Governor
AdvisorOne

Firms Elect Two Industry Governors to FINRA Board of Governors...

WASHINGTON--(BUSINESS WIRE)--Aug. 14, 2014-- The Financial Industry Regulatory Authority (FINRA) announced the results of voting that took place at its 2014 Annual Meeting today in Washington, DC. In accordance with FINRA By-Laws, firms elected two ... BusinessWeek, 2 weeks ago
Wolbugh Jenah appointed to FINRA board Investment Executive, 2 weeks ago
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42 images for financial industry regulatory authority

CNBC, 1 week ago
Asset Servicing Times, 2 days ago
Forex Magnates, 3 days ago
This is Money, 1 month ago
HedgeCo, 1 week ago
RIABiz, 1 month ago
National Real Estate Investor, 1 month ago
CNBC, 1 month ago
Bisnis Indonesia, 1 day ago
Malay Mail, 2 weeks ago

Financial services update August 11 2014 exchanges and self-regulatory organizations

Financial Industry Regulatory Authority FINRA Amends Definition of Hearing Officer On August 6th, the Financial Industry Regulatory Authority (FINRA) announced the amendment of the definition of Hearing Officer to include a former FINRA employee ...
 Lexology2 weeks ago Financial Industry Regulatory Authority Names New Governors  Family Wealth Report2 weeks ago Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change...  Financial Content2 weeks ago

Technology outsourcing and UK financial services regulation

The UK financial services regulator, the Financial Conduct Authority, has published a new list of considerations for regulated financial services firms planning to use third-party technology to support their operations. The list will need to be ...
 Lexology2 weeks ago Poland's financial services sector weighs cloud's risks and rewards  Computer Weekly2 weeks ago NY's Lawsky warns fellow regulators of gaping problem with life insurer reserves  Insurance & Financial Advisor2 weeks ago Lawsky: Regulators Stance on Life Insurers' Captives Leaves Gaping Problem  Insurance Journal2 weeks ago

Finance Industry Representatives Meet Chinese Ambassador to the UK

Published: Tuesday 12 th August 2014 Author: Jersey Finance $company His Excellency Liu Xiaoming, who was in Jersey from 11 to 14 August, visited Jersey Finance's offices to hold a roundtable discussion with ...
 Jersey Finance2 weeks ago

Cambodia's Insurance Industry Ready to Take Off With New Regulatory Framework, Industry Watchers Say

Cambodia's insurance sector has not really taken off from its nascent stage with lack of insurance regulatory framework and a low level of insurance awareness often cited as the biggest hurdles. But with the recent passing of the Insurance Law, ...
 Individual.com2 weeks ago IRDA allows insurers to hedge interest rate risks  The Financial Chronicle2 months ago

Cayman Islands to Power its International Banking, Insurance and Securities Regulation with SQL Power's XBRL Power Suite

Cayman, ranked number one against the world's top, specialized financial jurisdictions has selected SQL Power's XBRL based financial filing and regulatory reporting system - XBRL Power Suite. TORONTO, Canada and GRAND CAYMAN, Cayman Islands ...
 MySanAntonio2 weeks ago

New York State Department of Financial Services proposes a BitLicense regulatory framework for virtual currency businesses

The New York State Department of Financial Services (the NYSDFS) has released a proposed regulatory framework (the Proposed Rules) for New York virtual currency businesses. 1 The Proposed Rules build upon the NYSDFS prior activities in the virtual ...
 Lexology2 weeks ago New York proposes regulations for virtual currency  Sify1 month ago

Regulatory update on recent FinCEN anti-money laundering developments

This Alert provides a brief update on recent developments involving the Financial Crimes Enforcement Network (FinCEN), a bureau within the U.S. Treasury responsible for developing anti-money laundering (AML) requirements for financial institutions.
 Lexology2 weeks ago

One-Size-Fits-All in India as New Regulatory Measures Take Shape Sharing KYC Data

India's banking and financial markets sector shook hands to a new revolutionary concept that will enhance the country's growing financial sector. Two of the country's major regulatory bodies have started implementing a single account type for ...
 Forex Magnates2 weeks ago

Mutual fund industry welcomes government's move on KYC norms

The mutual fund industry welcomed the government's move to have a common know your customer (KYC) norm for all kinds of financial product investors today, though they believe that there are certain issues which need to be sorted out. "A common KYC ...
 Business Standard India2 weeks ago Mutual fund industry welcomes govt's move  The Week2 weeks ago
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