Financial industry regulatory authority (finra)
Management of conflicts of interest needs attention, says regulator
Regulation the main topic at Structured Products Americas
This webinar on September 17th looks at the challenges of GRC, key trends, motives for improvement, future investments, and obstacles that banks and other financial institutions face in trying to improve and integrate their risk management strategy
More Financial industry regulatory authority (finra) articles
‘Blast emails’ to retail investors a major offender under Rule 2210
Finra says year-long approval process revealed "notable outliers"
Regulator urged to focus on sophisticated and institutional investors
Caught in the net
A group of PhDs churned through 18,000 structured products issued by 13 leading banks, including Barclays, Goldman Sachs and UBS, to find out what investors in the products earned. In November, they...
The US regulator has published a report saying issuers and sellers should be doing more to manage conflicts of interest that arise when deciding which products to sell and to whom
Huntington National Bank was founded in Ohio, where it remains headquartered to this day. Yakob Peterseil talks to Dave Fitzsimmons, Pittsburgh-based managing director of the equity derivatives grou...
Banks that do not promptly disclose the estimated value of their structured notes risk additional scrutiny, says regulator
In its latest letter, the SEC orders banks to highlight the difference between fair market value and issue price to help investors see what their investment is worth
CFTC's Bart Chilton criticises the commission's fine, saying it should be at least five times higher
SEC chair Mary Schapiro steps down a week after former inspector-general files $20 million lawsuit against the agency
In response to industry fears of a collateral crunch, regulators have revised the proposed rules on margining for uncleared over-the-counter (OTC) derivatives.You can find out more by downloading this white paper here.