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About 835 results for "financial industry regulatory authority"

Recording shows how UBS drove reluctant brokers to sell high-r...

The recording could help to bolster arbitration claims filed with Financial Industry Regulatory Authority by investors seeking more than $900 million from UBS. In April 2011, two years before their prices sank, a slew of bond funds that were being sold by ... Economic Times, 3 weeks ago

23 images for financial industry regulatory authority

Inside Counsel, 2 days ago
JD Supra, 1 month ago
The Fiscal Times, 3 days ago
See News, 5 days ago
Sify, 5 days ago
Computerworld, 2 days ago
LeapRate, 4 days ago
Express Computer India, 2 weeks ago
Financial Conduct Authority, 4 days ago, 4 days ago
Times of India

Wall Street watchdog discrimination suit may head to trial

A former securities arbitration official's wrongful termination suit against the Financial Industry Regulatory Authority (FINRA) is set to head to trial, despite the Wall Street watchdog's effort to end the dispute, a US judge has ruled.
 Times of India2 months ago

FINRA Issues Guidance on Materiality Consultations - Financial Industry Regulatory Authority

The Overview addresses, among other things, categories of information and other factors that firms should consider when assessing materiality of prospective business initiatives. Broker-dealers often ask us whether they must seek approval from ...
 National Law Review4 days ago

Bank Stock Roundup: Spurt in Regulatory Probes on Banks; BofA, JPMorgan in Focus - Analyst Blog

The banking industry has faced various regulatory probes in the last five trading days from numerous authorities including the U.S. Department of Justice (DOJ). Though banks are resorting to resolution of legacy legal issues, there seems no end to ...
 Zacks.com23 hours ago

Box woos financial services firms with a tailored cloud offering

Compliance with financial industry regulatory standards is on the way It was just about two weeks ago that Box set out to remove a major barrier to the cloud for security-minded organizations with its Encryption Key Management capability. Now, ...
 Computerworld2 days ago Box for Industries starts courting financial services  ZDNet2 days ago Box forays into financial services industry  Infotech Lead1 day ago
WA Today

APRA chief Wayne Byres flags financial planning penalties

APRA's Wayne Byres is examining . Photo: Patrick Scala The Australian Prudential Regulation Authority has told banks to review risks that may be lurking in their financial planning divisions and warned penalties could be imposed if cultures are ...
 WA Today2 days ago APRA flags financial planning penalties  Sydney Morning Herald2 days ago

PRA establishes accountability procedures to improve professional standards and culture in the UK banking industry

The Bank of England on Monday reported that the Prudential Regulation Authority (PRA) has established how it will hold senior managers in banks, building societies and designated investment firms to account if they fail to take reasonable steps to ...
 BusinessWeek4 days ago

ARAB FINANCIAL INVESTMENT : ICMI gets regulator's nod on LE6.4 m rights issue

Arab Finance : International Co for Medical Industries (ICMI) has received regulatory approval to launch a LE6.4 million rights issue, according to a bourse filing. The pharmacuticals company said it plans to issue 6.4 million new shares and that ...
 4 Traders1 day ago

Strong uptake in private placement as Jersey funds industry reaches seven year high

Published: Tuesday 24 th February 2015 Author: Jersey Finance $company The latest figures for Jersey's finance industry, collated by the Jersey Financial Services Commission (JFSC) for the period ending December ...
 Jersey Finance4 days ago

UK's financial authorities reveal latest regulatory rules

Written by staff reporter 2015-02-24 A new code for financial institutions will place greater accountability on non-executive directors when regulations are breached. Non-executive directors with specific responsibilities, such as chairman, ...
 CIR Magazine4 days ago
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