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About 844 results for "financial industry regulatory authority"

FINRA Charges Lawson Financial with Securities Fraud

The Financial Industry Regulatory Authority (FINRA) has filed a disciplinary complaint against Phoenix-based Lawson Financial Corp. Inc. (LFC) and Robert Lawson, LFC's president and CEO, charging them with securities fraud in connection with the ... Financial Technologies Forum, 4 days ago

76 images for financial industry regulatory authority

Reuters UK, 1 week ago
EFinancialCareers Netherlands, 1 week ago
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Reuters UK, 1 month ago
Investing.com, 1 month ago
LifeHealthPro, 3 weeks ago
The Palm Beach Post, 1 month ago
AdvisorOne, 3 days ago
AdvisorOne, 5 days ago
Forex Magnates, 1 week ago
East African

Umeme, ERA strike deal to end dispute over profit sharing

Umeme — the main electricity distributor in Uganda — and industry regulator Electricity Regulatory Authority have agreed to a consent judgment ending a protracted legal battle that has lasted nearly four years. Umeme announced the conclusion ...
 East African1 day ago SEC Approves Rule Requiring Delivery of an Educational Communication to Customers of a Transferring Representative  National Law Review2 days ago FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY IN : E-Bill  4 Traders1 week ago Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Amending Rule 12904 (Awards) of the Code of Arbitration Procedure for Customer Disputes and Rule 13904 (Awards) of the Code of Arbitra  Federal Register6 days ago

Marketplace Lending Update: Recent Developments Place Pressure on Industry

Client Alert | Financial Institutions / Regulatory & Compliance May 2016 Authors: Kevin Petrasic, Ben Saul, Jolina Cuaresma, Helen Lee, Josh Garcia Following a spate of heightened regulatory, enforcement and legislative scrutiny, investor concerns ...
 JD Supra4 days ago

Indian insurers can target 100% financial inclusion by using Aadhar card for KYC: IRDA Chief

Hyderabad: TS Vijayan, Insurance Regulatory and Development Authority of India (IRDAI) has suggested that the country can achieve 100 % financial inclusion by using Aadhar card for fulfilling the know your customer (KYC) process. Currently the ...
 Asia Insurance Post1 day 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 Standard1 week ago
The Trade News

UK Regulator Hires Former Asset Manager Industry Chief

Daniel Godfrey The UK's financial regulator has hired the former chief executive of the country's trade body for asset managers, who was forced out of his former role last year. Daniel Godfrey has joined the Financial Conduct Authority (FCA) on a ...
 AiCIO2 days ago

Hewins Financial | Wipfli Hewins Sets the Stage for Future Growth with a Newly Expanded Ownership Team

/PRNewswire/ -- It's an exciting time to be a financial advisor: long-awaited regulatory shifts are reshaping the industry and underscoring the importance of advice focused on clients' best interests. Game-changing technologies are continuing to ...
 Equities.com3 days ago

FMA: Changing regulatory landscape hard for some

New Zealand's new world of financial regulation has come as a shock to many, but the Financial Markets Authority boss says it is building an improved investment environment. Thursday, May 26th 2016, 6:00AM by Miriam Bell FMA chief executive ...
 Good Returns4 days ago United Arab Emirates market report: regulatory transformation  Commercial Risk Europe6 days ago
The Global Legal Post

Law firm warns of regulatory burden for Asia-Pac financial services

A new guide by Herbert Smith Freehills indicates that the financial services industry in Asia Pacific is facing an increased regulatory burden across the region, as regulators enhance legislation and step up enforcement. Financial Services ...
 The Global Legal Post1 week ago
JOLLYBOSS

Underwriting firms yet to overcome challenges of IFRS compliance

NAICOM Building Five years after the introduction of the International Financial Reporting Standards (IFRS) in the industry, there are indications that underwriting firms are yet to overcome challenges of the accounting format as fewer companies ...
 The Guardian Nigeria4 hours ago
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