Displaying 161 - 170 of 34814 Results
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Industrial and Commercial Bank of China Financial Services LLC (ICBCFS) $5.3 million for systemic anti-money laundering (AML) compliance failures, including its failure to have a reasonable AML program in place to monitor and detect suspicious transactions, as well as other violations, including
Board Approves Rule Proposals and Previews Annual Financial Report
WASHINGTON – FINRA’s Board of Governors held its second meeting of 2018 on May 9-10 in New York, where it approved two new rule proposals and previewed a draft of the organization’s Annual Financial Report, which FINRA issues each year to provide transparency into its finances. The 2017 report will be published in June.
The
Monthly Disciplinary Actions May 2018
Instructions for Requesting Entitlement to the Information Requests Application in the FINRA Gateway
Instructions for Requesting Entitlement to the Information Requests Application in the Firm Gateway
This report is provided as a compliance tool to help TRACE Security Administrators monitor TRACE system entitlement.
Beginning with the June 2009 reporting period, FINRA is issuing a preliminary version of the OATS Compliance Report Card in an effort to provide firms with more timely information regarding their overall OATS compliance performance.
Across generations, women trail men in financial knowledge—but the gap may be closing. This Mother's Day, here are some tips to keep that momentum going.
Regulators and industry participants are weighing the balance between opportunities presented by financial technologies like data aggregation with potential risks these new innovations may pose to investors and markets. On April 12, 2018, FINRA hosted a FinTech Roundtable with member firms in New York City focused on this topic, along with current trends in RegTech and Personal Financial
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today it has fined Fifth Third Securities, Inc., $4 million and required the firm to pay approximately $2 million in restitution to customers for failing to appropriately consider and accurately describe the costs and benefits of variable annuity (VA) exchanges, and for recommending exchanges without a reasonable basis to