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About 853 results for "financial industry regulatory authority"

RBC Wealth Management fined $1 million for lax oversight of sa...

April 24--Minneapolis-based RBC Wealth Management must pay a $1 million fine to the Financial Industry Regulatory Authority (FINRA) and more than $435,000 in restitution to customers to settle charges. RBC "failed to have in place supervisory ... Bloomberg, 22 hours ago

100 images for financial industry regulatory authority

Business Matters Magazine, 2 weeks ago
New New Internet, 1 month ago
Inside Counsel, 1 month ago
Des Moines Register, 4 months ago
Prime Business News Agency, 1 day ago
Eye of Dubai, 1 week ago
Financial Express, 2 weeks ago
Dubai International Financial Centre, 1 week ago
Dubai International Financial Centre, 1 week ago, 1 week ago

Recording shows how UBS drove reluctant brokers to sell high-risk Puerto Rico funds

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 Times2 months ago

Hearing entitled Oversight of the Financial Industry Regulatory Authority

Friday, May 1, 2015 9:15 AM in HVC-210 Capitol Visitor Center Capital Markets and Government Sponsored Enterprises
 The Committee on Financial Services7 hours ago Arab tech industry in need of easier access to capital, friendlier regulations and government support  Business Intelligence Middle East4 days ago What does the Arab tech industry need  BqDoha.com4 days ago

The wait is over: the UAE Insurance Authority's new Financial Regulations

An insurer's Solvency Capital Requirement takes into account underwriting risk, market and liquidity (investment) risk, credit risk and operational risk. These requirements are broadly in line with the proposals under Europe's Solvency II, which, ...
 Lexology2 days ago

Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator

The Financial Conduct Authority (FCA) has handed Deutsche Bank AG (Deutsche Bank) a £227 million ($340 million) fine, its largest ever for LIBOR and EURIBOR-related (collectively known as IBOR) misconduct. The fine is so large because Deutsche Bank ...
 Wired-GOV23 hours ago

MAS Strengthens Regulations against Money Laundering and Terrorism Financing

The Monetary Authority of Singapore (MAS) today issued revised Notices to financial institutions (FIs) on anti-money laundering (AML) and countering the financing of terrorism (CFT). 2 The revisions are benchmarked against international best ...
 Noodls1 day ago

Trinity Industries (TRN) Timothy R. Wallace on Q1 2015 Results - Earnings Call Transcript

Operator Good day, everyone, and welcome to today's conference. Before we get started, let me remind you that today's conference call contains forward-looking statements as defined by the Private Securities Litigation Reform Act of 1995 and ...
 Seeking Alpha13 hours ago First Industrial Realty Trust Reports First Quarter 2015 Results  ADVFN UK1 day ago Trinity Industries, Inc. Announces First Quarter 2015 Results  World Energy Source1 day ago Technip (TKPPY: OTCQX International Premier) | Technip dividend for financial year 2014  Pink Sheets1 day ago

Regulator to devote half a month to pending cases to clear backlog

Battling a backlog of pending orders, the Central Electricity Regulatory Authority (CERC) has decided to devote half a month to hearing fresh cases while the rest of the month would be used for giving the orders in cases where the hearing has ...
 Financial Express16 hours ago

Chinese banks must cut coal lending, shift to cleaner businesses: study

China needs to cut lending to coal-related industries and shift more financing to cleaner businesses in order to address a huge funding gap that is hindering the country's war on pollution, a study drawn up in part by central bank researchers said. ...
 Hellenic Shipping News Worldwide14 hours ago 『 Chinese banks must cut coal lending, shift to cleaner businesses: study 』  ECF21 hours ago

The Pros and Cons of Cooperating with Regulators

While securities regulators say self-reporting offenses and cooperating with authorities may help advisors and firms get off easier, industry lawyers say there are negative consequences, including reputational damage and costly internal ...
 WealthManagement.com14 hours ago
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