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About 836 results for "financial industry regulatory authority"

FINRA Slaps $43.5 Mln Fine On Ten Financial Firms Over Toys 'R...

The Financial Industry Regulatory Authority or FINRA, announced Thursday a total fine of $43.5 million to be paid by ten financial firms related to the favorable research coverage provided by them for the proposed Toys 'R' Us, Inc. initial public ..., 1 week ago

48 images for financial industry regulatory authority

Toyworld Magazine, 1 week ago
SPi World News, 1 week ago
Associations Now, 2 weeks ago
Securities Lending Times, 2 weeks ago
Financial Technologies Forum, 4 weeks ago
One News Page United Kingdom, 3 weeks ago
Forex Magnates, 1 month ago
Futures, 1 month ago
JD Supra, 2 months ago
AME Info, 4 days ago

Citigroup (C) Fined $3 Million by FINRA for Negligence

Citigroup Inc. ( C ) was recently fined $3 million by the Financial Industry Regulatory Authority (:FINRA) on failure to send prospectuses for exchange-traded funds (ETFs) to more than 250,000 brokerage clients. The bank failed to convey ...
 Yahoo! Finance4 days ago
International Adviser

FCA restructures to deal with new regulatory challenges

FCA The Financial Conduct Authority today set out details of how it intends to meet the regulatory challenges ahead following a detailed review of its strategy, priorities and ways of working. The FCA's remit is far ranging and challenging with the ...
 Finextra Research1 week ago Putting an end to regulatory logjam  Business Standard India5 days ago Regulators criticised for failing consumers  International Adviser4 days ago UK Financial Conduct Authority: To Regulate Effectively We Must Evolve Too  Crowdfund Insider1 week ago

The financial services industry and the regulators friends or foes?

Written by Alex Ellerton, Partner, BDO The financial services industry has experienced an unprecedented level of scrutiny and demand from the regulators. Our research gauges feelings across the sector, uncovering concerns that regulation is ...
 British Bankers' Association1 week ago Customers Not Happy With Financial Services  AllAfrica.com1 week ago FCA bans former Blackrock MD for…. evading train fares  LeapRate5 days ago Plenty of Regulatory Action Ahead for Retirement Industry  Plan Adviser2 weeks ago

Citigroup Fined by Finra for Failing to Deliver ETF Prospectuses

Citigroup Inc. The bank didn't send prospectuses on 160 ETFs bought by clients in late 2010, the Financial Industry Regulatory Authority said today in a document on its website. New York-based Citigroup also may have failed to deliver prospectuses ...
 BusinessWeek1 week ago

Supervision chief to leave in shake-up of UK financial regulator

The logo of the new Financial Conduct Authority (FCA) is seen at the agency's headquarters in the Canary Wharf business district of London April 1, 2013. Credit: Reuters/Chris Helgren (Reuters) - The official responsible for supervising ...
 Reuters1 week ago UPDATE 1-Supervision chief to leave in shake-up of UK financial regulator  Reuters UK1 week ago

3rd OIC Annual Halal Congress Wraps Up in Sharjah, UAE

Released on: December 15, 2014, 10:23 am (EST) Author: Camille Paldi Industry: Financial Dubai, UAE, December 15, 2014 -- / EPR NETWORK / -- Camille Paldi, CEO of FAAIF, exhibited at the 3rd OIC Annual Halal Congress in ...
 Express Press Release4 days ago
Global Times

P2P industry to see major regulatory changes: Anson GM

Wei Jianchen, general manager of Anson Capital, at the Global Finance Forum on Saturday Photo: Cui Meng China will see 30 percent of current online peer-to-peer (P2P) lending platforms being shifted out, as government authorities are expected to ...
 Global Times1 week ago

Unblocking collateral bottlenecks: a case for an industry utility

Mark Jennis, Managing Director, Strategy and Business Development, DTCC Jo Van de Velde, Managing Director, Head of Product Management, Euroclear Earlier this year, the London School of Economics published an academic study on current and ...
 ISS-Mag.com4 days ago Ex-BlackRock Managing Director Banned for Evading Rail Fares  La Repubblica4 days ago

Financial: Bank deal hurt by missing stock

STANDARD Bank amended an agreement to sell a stake in its global markets business to Industrial & Commercial Bank of China (ICBC) because of losses related to missing aluminium. Standard Bank had agreed to sell a 60 percent stake in the business to ...
 IOL1 week ago ON THE MONEY: Restoring African Bank not on cards  BDlive5 days ago
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