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About 847 results for "financial industry regulatory authority"

FINRA to examine "firm culture" in Wall Street brokerages

The Financial Industry Regulatory Authority (FINRA) said it would examine the "firm culture" at Wall Street brokerages and the factors that influence them. FINRA is concerned about how brokerages take actions to promote fair and ethical treatment of customers ... Economic Times, 1 month ago

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Reuters UK, 1 month ago
Philly.com, 1 month ago
Investing.com, 1 month ago
Business Insider, 1 month ago
Yahoo! India, 1 month ago
WealthManagement.com, 2 weeks ago
Channel NewsAsia, 1 month ago
LeapRate, 1 month ago
Times of India, 1 week ago
Tempo.co, 3 days ago

Barclays in $13.75 million US settlement over mutual funds

The Financial Industry Regulatory Authority said the London-based bank's Barclays Capital Inc unit will pay more than USD 10 million in restitution, including interest, to affected customers, and was fined USD 3.75 million.
 Money Control1 month ago

SEC Approves FINRA's Funding Portal Rules

On January 22, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority's funding portal rules and related forms for entities functioning as SEC-registered funding portals pursuant to Regulation Crowdfunding.
 National Law Review1 day ago SEC and FINRA to Hold Regional Compliance Outreach Programs for Broker-Dealers  4 Traders4 days ago
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IGaming

FCA piles pressure on boards to take personal responsibility

The Financial Conduct Authority (FCA) has warned firms not tounderestimate the extent of increasing regulatory hawkishness as it puts pressure on senior managers to take personal responsibility for their company's activities. Speaking on 4 ...
 Wealth Manager2 days ago UK financial regulator gives warning to spread betting firms  IGaming4 days ago UK financial regulator issues warning to spread betting firms  MyInforms4 days ago
Business 2 Community

Marketing Challenges in Regulated Industries, Part 2: Finance and Public Companies

In Marketing Challenges in Regulated Industries Part 1, Pharma & Alcohol/Tobacco , we delved into the world of regulated substances. But what do you do when the challenges of marketing come from the strict government regulation of an intangible ...
 Business 2 Community1 day ago Pharmaceutical industry self-regulation of off-label drug promotion in the UK  Equities.com2 days ago

Making European financial regulation work for consumers and industry

3rd February 2016 Written by Conor Lawlor, Policy Director, Capital Markets The BBA has submitted a detailed 80-page response to the European Commission's call for evidence on financial sector regulation, which closed on Sunday. An ...
 British Bankers' Association4 days ago

The long long game: the EU financial regulatory agenda into 2016 and beyond

To view this article you need a PDF viewer such as Adobe Reader. If you can't read this PDF, you can view its text here. Go back to the PDF . THE LONG LONG GAME: THE EU FINANCIAL REGULATORY AGENDA INTO 2016 AND BEYOND FEBRUARY 2016 A pig in a ...
 Lexology1 day ago
NDTV

Telecom Firms to Contest Regulator's Views on Spectrum Auction Pricing

New Delhi : Telecom operators will approach the Department of Telecom (DoT) to contest sectoral regulatorTRAI'srecommendations on spectrum auctions, especially on pricing of the premium 700 Mhz band. "We will write to DoT by the end of next week ...
 NDTV2 days ago Telcos to contest Trai views on auction pricing before DoT  Smart Investor2 days ago Cuba and the Coming Telecom Revolution  Lexology2 days ago Telcos gear up for auction pricing battle against Trai  Business Today India2 days ago
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Govt is throttling spectrum supply

Making 700 MHz almost twice as expensive as 800 MHz will put huge burden on the debt-laden telecom industry Business Standard Editorial Comment | New Delhi February 4, 2016 Last Updated at 21:41 IST The Telecom Regulatory Authority of India, or ...
 Business Standard India2 days ago High reserve price for spectrum worries telcos  Deccan Herald1 week ago Top telecom companies may skip bid for 700 Mhz spectrum: Fitch  Economic Times1 week ago TRAI to take a call on spectrum price, data pricing by Jan-end  Asian Age2 weeks ago
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Blackwell Global to Target a Global Audience With New FCA License

Foreign exchange and CFDs brokerage Blackwell Global has become the latest addition to the list of Financial Conduct Authority regulated companies. The firm received a matched principal license after deciding to raise its profile across the European ...
 Forex Magnates2 days ago FCA licence a boost to Blackwell Global UK  FX & MM4 days ago
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