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Governance

April 16, 2014 - The Securities and Exchange Commission is to conduct checks on more than 50 registered broker-dealers and investment advisors to assess their ability to counteract cyber-security threats.

April 14, 2014 - US securities trade body Sifma has called for broader uptake of Legal Entity Identifiers by the country's regulators, amid fears that the US is being left behind as other nations push ahead with mandatory implementation of the uniform trade reporting standard.

April 3, 2014 - U.S. Sens. Mark R. Warner (D-VA) and Mark Kirk (R-IL) today introduced the Consumer Debit Card Protection Act of 2014 (CDCPA), designed to increase consumer protections and reduce liability caps when debit cardholders are hit by fraud.

March 27, 2014 - Chartis recently ranked Wolters Kluwer Financial Services as a Category Leader and a top-rated enterprise governance, risk and compliance (eGRC) provider for the financial services industry in its 2014 RiskTech Quadrant® on Enterprise GRC Solutions.

April 11, 2014 - US regulators have warned the nation's banks to undertake a complete overhaul of their security infrastructure to counteract the threat from the Heartbleed bug.

April 1, 2014 - Misys, a leading provider of software solutions to financial services institutions, has launched a new Regulatory Reporting Service, enabling corporates, fund managers and smaller banks to meet their EMIR-specific reporting requirements.

March 20, 2014 - RIMES forums reveal that firms must regain the ability to act quickly and cost effectively as data management becomes an important determiner of commercial success.

April 9, 2014 - Survey Finds Industry Lagging Behind Market Regulation Deadlines as SEF Trading Begins to Take Off.

March 31, 2014 - IT looks set to be the top capital spending priority for the UK financial services industry over the next 12 months, according to a CBI/PwC survey.

March 18, 2014 - US authorities have charged three men accused of using information hacked from more than a dozen financial service firms in a bid to steal at least $15 million.

April 7, 2014 - Many Asia-Pacific institutional investors are unprepared for the introduction of regulatory reforms governing the US$600 trillion global OTC derivatives market, according to a new piece of research by GreySpark Partners - an international capital markets consulting firm.

March 27, 2014 - As Solvency II reporting deadlines get ever closer, a poll of insurance industry leaders and experts by PwC has highlighted that 68% of insurers are still less than half way through their Pillar 3 reporting journey.

March 13, 2014 - The Financial Industry Regulatory Authority (FINRA) announced today that it has sanctioned and fined two firms - Triad Advisors and Securities America - $650,000 and $625,000, respectively, for failing to supervise the use of consolidated reporting systems resulting in statements with inaccurate valuations being sent to customers, and for failing to retain the consolidated reports in accordance with securities laws. In addition, Triad was ordered to pay $375,000 in restitution.

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