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About 843 results for "financial industry regulatory authority"

Cybersecurity Still Top FINRA Operational Risk
Carlton Fields

Cybersecurity Still Top FINRA Operational Risk

On January 4, the Financial Industry Regulatory Authority (FINRA) published its annual Regulatory and Examination Priorities Letter providing firms with information about areas FINRA plans to review in 2017 as well as observations resulting from ... Carlton Fields, 4 days ago

263 images for financial industry regulatory authority

Reuters UK, 1 month ago
Yahoo! Finance, 1 month ago
Yahoo! News, 1 month ago
Yahoo! Finance, 1 month ago, 1 month ago
Carlton Fields, 4 days ago
Reuters India, 1 month ago, 1 month ago
Venture Capital Post, 1 month ago
Federal Register, 4 days ago
Federal Register

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)

. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (Act)‚ÄČ [] and Rule 19b-4 thereunder, [] notice is hereby given that on January 5, 2017, Financial Industry Regulatory Authority, Inc. (FINRA) filed with the Securities and ...
 Federal Register4 days ago Self-Regulatory Organizations; NYSEArca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to a Change to the Underlying Index for the PowerShares Build America Bond Portfolio  Federal Register2 days ago Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Fee Schedule of the Exchange's Options Platform To Adopt Fees for its Recently Adopted Bats Auction Mechanism  Federal Register2 days ago
Specialist Finance Introducer

What will the loan industry look like in 2017?

2016 was a busy year for the UK lending industry. The Financial Conduct Authority (FCA) continued to tighten regulation, while consumer credit grew at its fastest rate since before the financial crash. As we approach the end of the year, Sarah ...
 CCR Magazine1 week ago BLOG: What will the loan industry look like in 2017?  Specialist Finance Introducer1 week ago
Funds Europe

Financial regulation: Senior Managers Regime

Six months after introducing the Senior Managers Regime, the Financial Conduct Authority has released a package of further measures. Here I look at aspects of the FCA's consultation paper on the duty of responsibility; its discussion paper on the ...
 Law Society Gazette1 week ago The Future of Finance and the Real Economy  Universiteit Utrecht3 days ago MetricStream Appoints Steve Springsteel as Chief Financial Officer  Sys-Con Canada4 days ago Financial Stability Board continues action on fund systemic risk  Funds Europe3 days ago

This $77 trillion industry faces stricter rules, global financial markets may take a hit

By Silla Brush Global regulators sought to rein in risk at money managers such as BlackRock Inc . and Vanguard Group Inc., calling for new protections against potential fund losses that could roil the broader financial system. The Financial ...
 Economic Times3 days ago Asset managers face stricter rules for $77tr industry  Gulf News3 days ago Asset managers face stricter rules  Gulf News3 days ago
New Indian Express

TRAI to Submit its Suggestions on Wi-fi to Push Broadband Adoption in Cities

Telecom industry regulator Telecom Regulatory Authority of India (TRAI) is set to submit its suggestions on using Wi-fi technology to push broadband adoption in Indian cities. According to TRAI Chairman R S Sharma, the suggestions will provide a ...
 Communications Today6 days ago TRAI to submitits suggestions onWi-fi to push broadband adoption in cities  New Indian Express1 week ago Airtel, Vodafone, Idea Deliberately Blocked Jio Calls; TRAI Imposes Rs. 3050 Cr Fine on them!  Trak.in2 months ago

BusinessLine twenty years ago today: Rs. 50-cr. solvency margin floor

The Multilateral Insurance Working Group (MIWG), an industry forum advising the Government and the Insurance Regulatory Authority (IRA) on opening up the sector, has proposed a minimum solvency margin of Rs. 50 crores for new prospective insurance ...
 Hindu Business Line5 days ago Database on insurance industry likely  Financial Express Bangladesh1 day ago

Britain clamps down on spread betting industry

By Noor Zainab Hussain and Huw Jones (Reuters) - Britain's financial watchdog has joined other European regulators in a crackdown on financial spread betting, a fast-growing 3.5 billion pound ($4.5 billion) industry where most retail investors lose money. The ...
 Sify1 month ago
China Briefing

Navigating Cross Border e-Commerce Regulations in China's Pet Food Industry

By Weining Hu On April 8, 2016, Chinese authorities released an updated positive list for goods imported through cross border e-commerce (CBEC).Pet food, specifically dog food and cat food, are included on the list for the first time. This new ...
 China Briefing6 days ago Cross-selling in the crosshairs of regulators and consumers  BAI Banking Strategies5 days ago

The Devil is in the details: dealing with apparently minor regulation

The IT department can help its organisation, whether in the insurance industry or elsewhere, avoid this; by ensuring that the business is equipped to deal with minor, as well as major, regulations While the demands data protection regulation ...
 Information Age3 days ago
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