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About 842 results for "financial industry regulatory authority"

Regulatory Authority Fines Morgan Stanley $1.5 Million For Broken Link
Venture Capital Post

Regulatory Authority Fines Morgan Stanley $1.5 Million For Bro...

The Financial Industry Regulatory Authority Inc. fined Morgan Stanley Smith Barney $1.5 million for a broken online link that prevented customers from having an access to fund prospectuses. In a period of nine months, the technical failure of ... Venture Capital Post, 1 day ago
Regulating the digital payment industry Livemint.com, 22 hours ago
Investment banking prices slip in 2015 Investment Executive, 3 days ago
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349 images for financial industry regulatory authority

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Investing.com, 2 weeks ago
Reuters India, 2 weeks ago
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WealthManagement.com

Credit Suisse Fined by Finra Over Money-Laundering Controls

Credit Suisse Group AG will pay$16.5 million to settle Financial Industry Regulatory Authority claims that a U.S. unit violated rules meant to guard against money laundering. Finra said Monday that Credit Suisse Securities USA erred by relying on ...
 Bloomberg3 days ago
Zacks.com

Credit Suisse Fined for Poor Anti-Money Laundering Control

The regulator of securities firms in the U.S., the Financial Industry Regulatory Authority (FINRA), has imposed a fine of $16.5 million on Credit Suisse Securities (USA) LLC, the securities business unit of the Swiss bank Credit Suisse Group AG CS ...
 Zacks.com2 days ago
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Dealbreaker

FINRA Fines Credit Suisse Securities (USA) LLC $16.5 Million for Significant Deficiencies in its Anti-Money Laundering Program

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Credit Suisse Securities (USA) LLC $16.5 million for anti-money laundering (AML), supervision and
 Minyanville3 days ago FINRA fines Credit Suisse over anti-money laundering policies  News EasyBranches.com2 days ago CREDIT SUISSE : Finra slaps Credit Suisse unit with $16.5 million fine for anti-money-laundering failures  4 Traders1 day ago Credit Suisse : FINRA Fines Credit Suisse For Letting Its Money Laundering Oversight Get A Little Too Swiss  4 Traders2 days ago
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Irish Times

London Briefing: Spread betting faces a tougher future

Financial Conduct Authority's report shows 82% of customers lose money trading in CDFs If you want to know whether a regulatory crackdown is tough enough, just look at how shares in the sector respond when the new rules are revealed. The tougher ...
 Irish Times1 day ago Britain clamps down on spread betting industry  Yahoo! Finance2 days ago UPDATE 1-Britain clamps down on spread betting industry  CNBC2 days ago Spread betting firms count the cost of UK FCA clampdown  SBC News1 day ago
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Citywire

A possible loophole in FCA CFD crackdown

IG Group has noted a possible flaw in the Financial Conduct Authority's (FCA Spreadbetting The FCA The regulator has unveiled plans to impose caps on leverage for retail clients, force disclosure of profit-loss ratios on client accounts and ...
 Citywire2 days ago 2nd UPDATE: Plus500 Says FCA Plans Would Be "Material" Hit To Revenue  London South East2 days ago IG : Admits Shortcomings As UK FCA Cracks Down On Spread Betting  4 Traders2 days ago UPDATE: IG Admits Shortcomings As UK FCA Cracks Down On Spread Betting  London Stock Exchange2 days ago

In Win for Financial Services Industry, Second Circuit Limits Use of FCA to Enforce Banking Regulations

In United States ex rel. Bishop v. Wells Fargo & Co., 823 F.3d 35 (2d Cir. 2016), the Second Circuit rejected an attempt to use the False Claims Act (FCA) as an enforcement mechanism for banking regulations in the lead-up to the 2008 financial ...
 JD Supra8 hours ago

FS-ISAC and MAS join forces against cyber threats

Financial regulatory authority, the Monetary Authority of Singapore (MAS) is working in conjunction with the Financial Services Information Sharing and Analysis Centre (FS-ISAC) and launching the Asia-Pacific Regional Intelligence and Analysis ...
 FST Media1 day ago Co-operation Agreement between Hong Kong Monetary Authority and Financial Conduct Authority on fintech co-operation  Hong Kong Monetary Authority1 day ago Co-operation Agreement between the Hong Kong Monetary Authority and the Financial Conduct Authority on fintech co-operation  Hong Kong Monetary Authority1 day ago
Before It's News

Financial Services Industry Seeing Increase in Requests from Federal Regulatory Agencies for Diversity and Inclusion Policy

Section 342 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank) mandated certain federal regulatory agencies establish an Office of Minority and Women Inclusion (OMWI) and establish standards for "…the racial, ...
 National Law Review1 week ago The Most Potent Federal Regulatory Agency Will Answer Solely to Donald Trump  Before It's News2 days ago Banks Ask Congress To Alter Consumer Financial Protection Bureau, Roll Back Pro-Consumer Regulations  Consumerist1 day ago

Johns Hopkins Study: Well-Meaning Regulation of One Industry Can Cause...

The road to perdition, the adage goes, is paved with good intentions. Similarly, many observers say the road to poor economic performance may be paved with well-meaning regulations. Count economist Ricard Gil of Johns Hopkins University among ...
 PRWeb20 hours ago
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