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About 857 results for "financial industry regulatory authority"

Pension regulatory reform on the agenda as Ontario considers experts recommendations
Benefits Canada

John J. Brennan Elected Chairman of FINRA Board of Governors

The Financial Industry Regulatory Authority (FINRA) Board of Governors today unanimously elected John J. Jack Brennan, Vanguard Group Chairman Emeritus and Senior Advisor, as FINRA Chairman effective Aug 15, 2016. The Financial Industry Regulatory ... Minyanville, 1 week ago
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259 images for financial industry regulatory authority

Business Insider, 1 month ago
Reuters UK, 1 month ago
Investing.com, 1 month ago
4 Traders, 1 month ago
AdvisorOne, 5 days ago
Reuters UK, 2 months ago
EFinancialCareers Netherlands, 2 months ago
Federal Register, 1 day ago
Federal Register, 1 day ago
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Forex Magnates

FINRA Releases National Financial Capability Study of 27000 US Adults

Photo: Source: Bloomberg The Financial Industry National Regulatory Authority (FINRA) has just released the latest report by the National Financial Capability Study (NFCS), which measured four key components of financial capability using data ...
 Forex Magnates1 week ago Remarks: National Financial Capability Study Release  4 Traders1 week ago

Suitability Of Broker-Dealer Recommendations And Litotes

The Financial Industry Regulatory Authority , better known as FINRA, imposes a suitability requirement on its members. Rule 2111(a) requires, in part, that a broker-dealer or registered representative have a reasonable basis to believe that a ...
 Allen Matkins2 weeks ago
RFPConnect

CipherCloud and Box Collaborate to Provide Security and Privacy to Financial Services Firms

Cloud Security Broker secures corporate and client content in Box for organizations in highly regulated industries. CipherCloud, a leader in cloud security and visibility, today announced it has extended its integration with Box to deliver ...
 RFPConnect1 week ago Delta Risk LLC Acquires Allied InfoSecurity to Expand Managed Security Services, Consulting Practice  Sys-Con Canada1 week ago CipherCloud Extends Integration with Box to Provide Security and Privacy to Financial Services Firms  WorldNetDaily1 week ago No company is immune from data security threat  Irish Times1 week ago
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Top Democrat Eyes Broader Authority for Financial Regulatory Council

Click to view a price quote on GE . Click to research the
 TheStreet.com1 week ago
AOL UK

Crowdfunding sector to be reviewed by Financial Conduct Authority

The fast-growing crowdfunding sector is being probed by the City regulator to make sure consumers understand the risks. Within the crowdfunding sector, the Financial Conduct Authority (FCA) regulates peer-to-peer (P2P) lending websites, which ...
 Yahoo! Finance UK and Ireland2 weeks ago

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 Standard2 months ago

FCA FINANCIAL CONDUCT AUTHORITY : Bank of England, PRA, FCA and PSR review Memorandum of Understanding in relation to payment systems in the UK

The Bank of England, the Prudential Regulation Authority (PRA), the Financial Conduct Authority (FCA) and the Payment Systems Regulator (PSR) have reviewed the Memorandum of Understanding (MoU) that sets out the high-level framework the Authorities ...
 4 Traders2 weeks ago FCA fines Towergate and former director more than £2m  LeapRate1 week ago FCA fines broker firm Towergate £2.6m and bans former director  Mortgage Solutions1 week ago FCA FINANCIAL CONDUCT AUTHORITY : fines Towergate and former director Timothy Philip for client and insurer money failings  4 Traders1 week ago
BestAdvice.co.uk

UK Crowdfunding Industry Comments on FCA's Call for Input on Rules

As announced earlier today , the Financial Conduct Authority (FCA) has requested feedback from interested parties regarding the regulatory environment for debt and investment-based crowdfunding. The process is part of an anticipated periodic review ...
 Crowdfund Insider2 weeks ago FCA Prioritises Fintech Innovation & Consumer Protection in Crowdfunding Review  Crowdfund Insider1 week ago FCA wants industry views on crowdfunding rules  BestAdvice.co.uk2 weeks ago

Regulator, shareholder lobby welcome customer obligation for financial advice

![CDATA[ By Paul McBeth July 13 (BusinessDesk) - The Financial Markets Authority and New Zealand Shareholders' Association are welcoming proposed changes that will mean all financial advice will have to put the clients' interests first. ...
 Yahoo! Xtra Business1 week ago New Zealand proposals would restrict use of financial advisor title  Investment Executive1 week ago Lobby welcomes customer obligation for financial advice  NZ News UK1 week ago
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