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About 839 results for "financial industry regulatory authority"

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend Rule 12403 (Cases With Three Arbitrators) of the Code of Arbitration Procedure for Customer Disputes Relating to the Panel Selectio
Federal Register

FINRA Fines UBS Financial Services for Failing to Provide Fund...

, the Financial Industry Regulatory Authority (FINRA) accepted a Letter of Acceptance, Waiver and Consent (the Letter) from UBS Financial Services, Inc. (UBS) to settle alleged rule violations in connection with the firm's failure to apply mutual ... National Law Review, 2 days ago

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UK Regulator Bans former Barclays Wealth Management Chief Operating Officer

The Financial Conduct Authority published a Final Notice banning Mr. Andrew James Tinney from the UK financial services industry. Mr. Tinney was the Global Chief Operating Officer of Barclays Wealth and Investment Management, a division of Barclays ...
 JD Supra1 day ago Financial Conduct Authority data centre goes down for three days  TheStack.com1 day ago Combating cybercrime in the 21st century: Financial services firms are learning how to fight back  935 IBM Banking Solutions2 days ago FCA notes rise in cyber incidents in UK financial services  Out-Law.com2 days ago

One Small-Firm Industry Governor Elected to FINRA Board, Two New Governors Appointed

The Financial Industry Regulatory Authority (FINRA) announced the results of voting that took place at its 2016 Annual Meeting today in Washington, D.C. In accordance with FINRA By-Laws, small firms elected one Governor. FINRA also named two new ...
 Financial Buzz1 week ago
Forex Magnates

Analysis: Do Local EU Regulators Want to Clean Up or Kill Retail FX and CFDs?

Photo: Finance Magnates With the end of the consultation period that was outlined by French regulatory authority Autorité des Marchés Financiers (AMF), companies operating in the country are lookingatthe prospect of a new regulatory framework ...
 Forex Magnates1 day ago The new zeitgeist: Regulation, regulation and more regulation, exec says  On Wall Street11 hours ago Sibos Day 2: Regulators like fintech now  Bobsguide17 hours ago ASEAN Regulatory Brief: Money Laundering Regulations in Thailand, Philippine Monetary Allowances, and Private Jets in Indonesia  Vietnam Briefing21 hours ago

New concept could help fintech thrive

Canada's fledgling financial technology (fintech) industry needs opportunities to experiment without too much regulatory intervention, according to a report released jointly by the Vancouver-based Digital Finance Institute (DFI) and nationwide law ...
 Investment Executive9 hours ago Brexit threat to UK's global FinTech boom, says ACCA Scotland  Scottish Financial News14 hours ago In race to be Asia's fintech hub, Singapore leads Hong Kong  Sify2 months ago Brexit challenge to London's global FinTech boom  Finbuzz15 hours ago
Times Live South Africa

Funeral industry ombudsman could expose grim conduct if appointed

A code of conduct has been proposed by the Funeral Industry Regulatory Authority. It has been published in the Government Gazette and the public may comment on it until October2. The authority proposes that an ombudsman be appointed to regulate ...
 AfricanSeer1 day ago Funeral industry ombudsman may uncover grim conduct if appointed  Times Live South Africa1 day ago

Enforcement Notice Decision - IIROC receives authority to file Watts enforcement decision with PEI Supreme Court

TORONTO, Sept. 27, 2016 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) today announced that the Prince Edward Island Office of the Superintendent of Securities has authorized IIROC to enforce the payment of fines against ...
 TickerTech.com1 day ago

No Regulatory Crackdown On Use Of Big Data In Insurance

LONDON (Alliance News) - The Financial Conduct Authority said Wednesday that the use of big data is having a broadly positive impact for consumers in the general insurance business and it is therefore not launching an in-depth market study on the ...
 London South East1 week ago
Tanzania Citizen

Rural people targeted in new insurance campaign

Mwanza. The Financial Sector Deepening Trust (FSDT) and the Tanzania Insurance Regulatory Authority (Tira) have launched a programme that seeks to increase the insurance penetration in a country. Data shows that Tanzania's insurance industry ...
 Tanzania Citizen19 hours ago Financial Trust,IRA launch universal insurance targeting rural folks  IPP Media17 hours ago Tanzania: Rural People Targeted in New Insurance Campaign  Eabizinfo.com9 hours ago

Tanzania: Business Sessions Begin to Bridge Insurance Gap

Financial Sector Deepening Trust (FSDT) in partnership with the Tanzania Insurance Regulatory Authority (TIRA), has launched Regional Business Case sessions in Mwanza Region to help bridge the gap between insurance industry and rural informal ...
 AllAfrica.com21 hours ago Business Sessions Begin to Bridge Insurance Gap  Eabizinfo.com18 hours ago
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