Financial Industry Regulatory Authority (Finra)
Principles also target misdeeds in settlement and distribution of securities
Financial policing takes on a touch of Silicon Valley glamour
More Financial Industry Regulatory Authority (Finra) articles
Regulatory body to focus on rate-sensitive products and protection for retail clients
Projections represent the only way forward
Regulatory panel suggests backtesting internally is best practice
Four new members for Finra board as existing members stand down
Regulation the main topic at Structured Products Americas
‘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
This whitepaper reviews the fundamental changes of Liquidity Risk Management under Basel III. It discusses how institutions can meet the regulatory requirements on liquidity risk management by enhancing their liquidity risk analytics, funds transfer pricing methodologies, liquidity stress testing frameworks, and enterprise risk management platforms.