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About 830 results for "financial industry regulatory authority"

Closed End Funds

The Financial Industry Regulatory Authority (FINRA) has, in recent months, increased its regulatory focus on investor awareness regarding closed-end funds (CEFs). In October of last year, FINRA issued an Investor Alert entitled Closed-End Fund ... JD Supra, 4 days ago
Coles raises fears over unreasonably onerous regulation InsuranceNews.com.au, 5 days ago
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116 images for financial industry regulatory authority

92.9 WLMI, 1 week ago
Reuters, 1 week ago
Investment News, 5 days ago
LifeHealthPro, 2 days ago
Investment News, 1 month ago
LifeHealthPro, 1 week ago
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IT Business Net, 1 week ago
Investment News, 2 months ago
One News Page, 3 weeks ago
JD Journal

US bond trading, allocation under review

The Financial Industry Regulatory Authority is examining whether Wall Street firms overcharge investors on some bond trades and whether they unfairly allocate new corporate debt issues to reward certain clients. The Chairman and Chief Executive ...
 Nigeria Punch5 days ago Wall Street's Bond Trading, Allocation Under Finra Review  Bloomberg1 week ago JLN Financials: Toxic Debt Condemned in Crisis Heralded as Europe's Savior; Wall Street's Bond Trading, Allocation Under Finra Review; Gross Prods El-Erian to Explain Reason for Pimco Exit  John Lothian Newsletter1 week ago Finra Looking at Wall Street Trading Data  JD Journal1 week ago
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PandoDaily

Financial services update April 8 2014 industry news

Stress Tests in China On April 4th, Reuters reported that the China Banking Regulatory Commission (CBRC) will conduct regional and national stress tests on banks. The announcement is likely due to increasing financial strains on China's economy and ...
 Lexology4 days ago Why Facebook is launching its money transfer service in Europe, not the US  PandoDaily4 days ago UK Caution still the watchword in financial services hiring  Staffing Industry Analysts4 days ago Watch out UAE Exchange, Facebook to launch remittance service  Emirates2474 days ago
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FINspeak: The US mortgage industry outlook

Regulatory impact The mortgage industry in the US has undergone a significant transformation post the global financial crisis. As part of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Consumer Financial Protection Bureau ...
 Infosys BPO2 weeks ago Global Industrial Boilers Industry  Sys-Con Australia5 days ago

Over 100 Financial Services Compliance Professionals, Regulators and Industry Consultants to Attend Third Annual RegEd Compliance Alliance Conference in Raleigh, North Carolina

(GLOBE NEWSWIRE) -- RegEd, the leading provider of compliance technology solutions to the financial services industry, is pleased to announce that its third annual RegEd Compliance Alliance (RCA) Client Conference will be held in Raleigh, NC on ...
 BusinessWeek2 weeks ago CEMEX Announces Completion of Financing of One of the Largest Wind Farm Projects in Latin America  World Of Concrete5 days ago
Which4U.co.uk

Overdraft providers face regulatory probe

The Financial Conduct Authority is to investigate the £8 billion market for overdrafts after labelling them 'complex' and overpriced. The City regulator found that customers were paying too much for debt facilities that were opaque and poor ...
 Which4U.co.uk5 days ago Midpoint & Transfer Ltd. Receives Regulatory Authorization from the Financial Conduct Authority  Benzinga.com2 weeks ago
Rediff.com

Now, life insurers can file only 5 products a year

The Insurance Regulatory Development Authority (Irda) has come out with a new product planner rule by which an insurance company can file only five products for approval a year. But, this has not gone down well with the companies. According to them, this norm would impact the availability of innovative products to consumers. “We have already filed products under the new traditional product regime. Since the basic products have been in place, this was the time to file newer riders and ...
 Rediff.com2 days ago Raising the sales pitch  Financial Express5 days ago Only five products per year to be filed by life insurers this fiscal onwards  Business Standard India5 days ago

Global retail banking sector hit by a series of controls and regulations to restrict irresponsible lending practices by banks over recent years

Governments and regulatory bodies across the world have enforced numerous measures to curb irresponsible lending practices by banks and other credit institutions. These bodies have also taken initiatives to create consumer awareness about prudent ...
 TransWorldNews1 week ago Research and Markets Adds Report: Insight Report: Responsible Lending - Changing Regulatory Environment and Industry Practices  Individual.com1 week ago Research and Markets: Insight Report: Responsible Lending - Changing Regulatory Environment and Industry Practices  SPi World News2 weeks ago Insight Report: Responsible Lending - Changing Regulatory Environment and Industry Practices  Individual.com2 weeks ago
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Maharashtra Electricity Regulatory Commission refuses open access to industries

NAGPUR: Industrialists in the state are completely dismayed by the decision of Maharashtra Electricity Regulatory Commission (MERC) to turn down applications of several industries seeking permission to buy power from Indian Electricity Exchange ...
 Times of India5 days ago
Caribbean Business Online

Industrial, commercial clients saying good-bye to Prepa

The Puerto Rico Electric Power Authority (Prepa) has lost nearly 60% of its industrial clients and 3.16% of its commercial clients during the island's long recession, and the trend is likely to continue as businesses big and small have more options ...
 Caribbean Business Online1 week ago A celebrated author takes aim at HFT and the industry is quick to respond  Automated Trader2 weeks ago
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