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About 850 results for "financial industry regulatory authority"

Finance industry needs to regulate itself
BDlive

Finance industry needs to regulate itself

FINANCIAL markets must self-regulate to avoid burdening our country with the incapacitating costs of unnecessary regulation. Effective financial markets are the backbone of the South African economy, fuelling investment, growth and innovation. BDlive, 1 day ago
Brexit: Financial services regulation will remain Asset Servicing Times, 8 hours ago
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113 images for financial industry regulatory authority

Business Insider, 2 weeks ago
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4 Traders, 2 weeks ago
Reuters UK, 1 month ago
EFinancialCareers Netherlands, 1 month ago
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FINRA Fines Merrill Lynch $5 Million for Failing to Disclose Material Facts in Sales of Volatility-Linked Structured Notes to Retail Customers

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $5 million for negligent disclosure failures in connection with the sale of five-year senior debt notes to retail ...
 Minyanville1 day ago FINRA Fines Merrill Lynch and#36;5 Million for Failing to Disclose Material Facts in Sales of Volatility-Linked Structured Notes to Retail Customers  SPi World News1 day ago
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Alberta regulator toughens financial test for oil, gas asset buys

Date: 22-Jun-16 Country: USA Author: Nia Williams An oil pump jack pumps oil in a field near Calgary, Alberta, July 21, 2014. Photo: Todd Korol The Alberta Energy Regulator has toughened rules determining if companies are financially ...
 Planet Ark2 days ago Oil and gas producers and lenders face challenges as Alberta Energy Regulator toughens rules for license transfers  Lexology13 hours ago Why Nigeria's Economy Bleeds Despite Oil Exploration - Experts  Equities.com14 hours ago
Commercial Risk Europe

FCA Issues Statement Detailing Impact On Financial Regulation After Brexit

Photo: Bloomberg The UK's Financial Conduct Authority (FCA) has issued a statement following the UK's decision to leave the European Union which is expected to have far-reaching implications for the country. The FCA is monitoring developments ...
 Forex Magnates14 hours ago FCA fines drop but focus on individuals grows  Commercial Risk Europe1 day ago U.K. research shows value of financial conduct fines down by 36%, fine value against individuals more than double  Canadian Underwriter4 days ago

The Fiduciary Monitor - Quarterly Regulatory and Litigation Updates

…connecting the Financial Services Industry FIDUCIARY MONITOR The » PLUS, in this edition: CONNECT WITH US Introducing a New Look!  OCC and FINRA Address Fintech and Digital Investment Advice  CFPB Enters Data Security ...
 Lexology3 days ago

New Ontario financial services regulator should have anti-fraud authority: Panel

The Ontario government should establish a new organization that would perform the functions currently performed by the Financial Services Commission of Ontario (FSCO) and the Deposit Insurance Corporation of Ontario (DICO) but also have a specific ...
 Canadian Underwriter4 days ago IBC supports replacing Financial Services Commission of Ontario  Insurance Business4 days ago IBC commends Expert Panel recommendation to replace the Financial Services Commission of Ontario with new independent regulatory agency  Bloomberg4 days ago IBC INSURANCE BUREAU OF CANADA : commends Expert Panel recommendation to replace the Financial Services Commission of Ontario with new independent regulatory agency  4 Traders4 days ago
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Raymond James fined USD 17M for anti-money laundering lapses

Industry regulators have fined Raymond James USD 17 million, accusing the financial services firm of widespread failures in its controls against money laundering. The Financial Industry Regulatory Authority said today it was the biggest fine it has ...
 Business Standard1 month ago
Trak.in

TRAI Upset Over AutoPlay Video Ads On Websites; Releases Report Which Slams Telcos Over Call Drops

Rs 500 crore worth video advertisement industry in India is in deep trouble now. Telecom Regulatory Authority of India or TRAI is clearly upset and angry over automatic video advertisements which run on several websites. TRAI is angry on the fact that such ...
 Trak.in3 weeks ago TRAI not keen to rethink on the call drop penalty  India Infoline2 months ago
ITProPortal.com

Secure voice recording and data storage in financial services

The mandate to record conversations The financial services industry has always been subject to regulation, its stringency dependent on the prevailing political winds and the degree of trust in the industry held by both politicians and the public.
 ITProPortal.com14 hours ago FSR to candidates: How do you plan to modernize financial regulations?  Dodd Frank Update5 hours ago What You Need to Know About Secure Voice Recording and Storage in Financial Services  Infosecurity Today3 days ago

Icasa to probe SA pay-TV market

3 24 What is digital terrestrial television. Picture: City Press Johannesburg - The Independent Communications Authority of South Africa (Icasa) is launching a competition inquiry into the country's television subscription market. The ...
 Fin24.com9 hours ago Icasa probe of pay-TV to be wide-ranging  TechCentral.co.za15 hours ago
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