Not exact matches
The Initiative is informed by regular meetings of experts in the sector, policymakers and supporters engaged in the
financial services sector, including
financial intermediaries, securities market participants and their
regulators, among
others.
These included updates on compensation - related regulations and guidance issued by the Board of Governors of the U.S. Federal Reserve System (Federal Reserve Board) and
other U.S. federal banking
regulators, the
Financial Stability Board, the United Kingdom
Financial Services Authority and
other regulators around the world.
The National Bank of Egypt has joined over 200
other financial services firms, stakeholders, and
regulators in technology firm R3's global blockchain initiative.
Important factors that may affect the Company's business and operations and that may cause actual results to differ materially from those in the forward - looking statements include, but are not limited to, operating in a highly competitive industry; changes in the retail landscape or the loss of key retail customers; the Company's ability to maintain, extend and expand its reputation and brand image; the impacts of the Company's international operations; the Company's ability to leverage its brand value; the Company's ability to predict, identify and interpret changes in consumer preferences and demand; the Company's ability to drive revenue growth in its key product categories, increase its market share, or add products; an impairment of the carrying value of goodwill or
other indefinite - lived intangible assets; volatility in commodity, energy and
other input costs; changes in the Company's management team or
other key personnel; the Company's ability to realize the anticipated benefits from its cost savings initiatives; changes in relationships with significant customers and suppliers; the execution of the Company's international expansion strategy; tax law changes or interpretations; legal claims or
other regulatory enforcement actions; product recalls or product liability claims; unanticipated business disruptions; the Company's ability to complete or realize the benefits from potential and completed acquisitions, alliances, divestitures or joint ventures; economic and political conditions in the United States and in various
other nations in which we operate; the volatility of capital markets; increased pension, labor and people - related expenses; volatility in the market value of all or a portion of the derivatives we use; exchange rate fluctuations; risks associated with information technology and systems, including
service interruptions, misappropriation of data or breaches of security; the Company's ability to protect intellectual property rights; impacts of natural events in the locations in which we or the Company's customers, suppliers or
regulators operate; the Company's indebtedness and ability to pay such indebtedness; the Company's ownership structure; the impact of future sales of its common stock in the public markets; the Company's ability to continue to pay a regular dividend; changes in laws and regulations; restatements of the Company's consolidated
financial statements; and
other factors.
Let me just say that if I were starting a software company in the United States today, given the noises being made by the SEC and by
other financial services regulators I would not put an exchange - tradable token at the center of the offering unless that token were a representation of a legally - recognized interest and structured on the basis that the token will be regulated by the securities laws.
For example, if Bitcoin is not a currency, then Bitcoin forwards and Bitcoin swaps that involve the exchange of Bitcoin for another currency will not fall under the statutory definitions of the more lightly regulated foreign exchange forwards or foreign exchange swaps.10 Likewise, retail trading of Bitcoin derivatives will be limited to designated contract markets, rather than subject to the retail foreign exchange dealer regulations.11 Treating Bitcoin as a commodity that is not a currency dovetails with the stances taken by
other U.S.
regulators such as the
Financial Crimes Enforcement Network (FinCEN)(virtual currency does not have all of the attributes of real currency) 12, the Securities and Exchange Commission (Bitcoin investments are investment contracts because Bitcoin is a form of money) 13 and the Internal Revenue
Service (treating Bitcoin as property for tax purposes).14
Apart from the
Financial Crimes Enforcement Network of the US Department of the Treasury («FinCEN»), major US
regulators such as the US Commodity Futures Trading Commission («CFTC»), Internal Revenue
Service («IRS») and SEC, have yet to make official pronouncements or adopt rules providing guidance with respect to the classification and treatment of Bitcoins and
other Digital Math - Based Assets for purposes of commodities, tax and securities laws.
«
Others have commented on the tone of the report — certainly not the kind of verbiage you expect from a
regulator, particularly from a department that's supposed to be professionally staffed in terms of
financial services,» he said.
It is a matter of concern, not just for the Building Society sector, but new entrants and
other existing players that actions taken by policy makers and
regulators are driving UK
financial services inexorably down the path of sameness.
AvaTrade is regulated by the Central Bank of Ireland (Reference No: C53877) and also by
other well - known
regulators such as the Australian Securities & Investments Commission (ASIC) and the
Financial Services Commission (British Virgin Islands).
AirFinance Pro Ltd, the owner of several binary options brands and
other financial services providers, had its licence temporarily suspended back in June after CySEC raised concerns over practices by the company that the
regulator deemed potentially not compliant with its reporting and filling obligations.
In fact, the FCA requirement for
financial institutions to operate complaints schemes, as well as a number of extensive
regulator - led remedial schemes, and the
financial and
other ombudsman
services, means a lot of work is done to avoid litigation — but this means advisory experts are needed and the experience I can bring to expert witness work is founded on a wide range of exposure obtained through consultancy.
Robert Finney's practice focuses primarily on
financial services regulation issues, advising
financial institutions and
regulators, with significant experience in securities, derivatives and commodities, as well as in advising exchanges and
other institutions on their activities in relation to these areas.
Other instances of self - reporting or notification exist in certain regulated industries (eg, financial services) with respect to the reporting of criminal offences and other misconduct to the regul
Other instances of self - reporting or notification exist in certain regulated industries (eg,
financial services) with respect to the reporting of criminal offences and
other misconduct to the regul
other misconduct to the
regulator.
James has acted for life and general insurers investment managers,
financial advisers, brokers and
other financial services companies and
regulators on regulatory, distribution, risk transfer, product development, funds and outsourcing matters as well as mergers and acquisitions.
Risk Management & Crisis Response Canada's federal banking
regulator releases advisory on the use of the Bank Words: Implications for FinTechs, credit unions and
other financial services providers
Phillip Stano relies on more than 30 years of experience — as a
regulator, then as counsel for a life insurers» trade association and now as a defense attorney — to achieve positive outcomes in class action suits,
other complex
financial services litigation, and regulatory and compliance counseling.
CFPAGuide.com, edited by Eversheds Sutherland lawyer Knox Dobbins, provides analysis of the Consumer
Financial Protection Act, actions and rulemaking by the CFPB and legacy bank regulators, as well as legislative, judicial and other developments in consumer financial
Financial Protection Act, actions and rulemaking by the CFPB and legacy bank
regulators, as well as legislative, judicial and
other developments in consumer
financial financial services.
(iii) Moreover, «privileged communication» is defined in the set of regulations of the Dubai
Financial Supervisory Authority (DFSA), the regulator of financial services in DIFC, as «a privilege arising from the provision of professional legal advice and any other like privilege properly applicable at law to the communication in question, but does not include a general duty of confidentialit
Financial Supervisory Authority (DFSA), the
regulator of
financial services in DIFC, as «a privilege arising from the provision of professional legal advice and any other like privilege properly applicable at law to the communication in question, but does not include a general duty of confidentialit
financial services in DIFC, as «a privilege arising from the provision of professional legal advice and any
other like privilege properly applicable at law to the communication in question, but does not include a general duty of confidentiality».
This course is for senior professionals from business,
financial services, law,
regulators and any
other sector who want to «Get a big picture grip on the details».
Bob succeeded in getting everyone off to a great start participating in a discussion that ranged from myths & legends to the stories that
regulators and politicians use to «sell» their version of events, or the stories that
financial services and
other industries use to «sell» how good they are.
The bank doesn't plan to issue the new digital coin itself but hopes to work with
other banks,
regulators and
financial service providers for an industrywide product.
After explaining how his government has taken steps to «stop providing new virtual account
services for virtual currency exchanges and strengthen measures to verify [account holders] real names,» Kim told
other financial regulators:
In fact, according to South Korea news agency Yonhap, the country's
financial regulator, the Financial Service Commission, was required to brief other 36 member states on its work bringing in anti-money laundering compliance rules for domestic cryptocurrency e
financial regulator, the
Financial Service Commission, was required to brief other 36 member states on its work bringing in anti-money laundering compliance rules for domestic cryptocurrency e
Financial Service Commission, was required to brief
other 36 member states on its work bringing in anti-money laundering compliance rules for domestic cryptocurrency exchanges.
At the same time, Japanese
regulator the
Financial Services Authority (FSA) acted on the results of its own investigations of Coincheck and
other cryptocurrency exchanges, ordering several to cease trading altogether.
It must be mentioned that Coincheck is not registered with Japan's
Financial Services Authority - a
regulator responsible for overseeing exchanges in the country - unlike several
other prominent cryptocurrency exchanges, such as bitFlyer and Quoine.
Project Manager / Compliance Officer — Duties & Responsibilities Oversee daily operational aspects of a fast paced, high intensity
financial institution Recruit, train, and direct staffs ensuring they understand the brand and adhere to company policies and procedures Manage compliance with regulatory authorities including the SEC, NYSE, and NASD Analyze
financial information and present reports to external
regulators and internal management Determine compliance issue severity and escalate to senior compliance officer as needed Conduct internal compliance investigations coordinating efforts between various support
services Track and maintain detailed records of all compliance inquiries Direct and contribute to special company projects as needed Responsible for the «I Have a Dream Summer Intern Program» ensuring effective talent recruitment Utilize technical expertise while serving as liaison to technology department Assist with database and hardware management, software training, and computer troubleshooting Aid accounting with budgets, accounts payable / receivable, invoice payment, and vendor negotiations Interact with Board of Directors, Chief Executive Officer, and
other key figures on a daily basis Partner with various company lines to assess client interests, market trends, and potential sales opportunities Develop a rapport with customers and orient them to various products and
services Encourage high customer retention by maintaining friendly, supportive contact with existing clients Study internal literature to become an expert on products and
services Provide administrative support including travel arrangements, scheduling, data entry, and
other tasks as needed Represent company brand with poise, integrity, and positivity
The Bureau received over 2,800 comments on the TILA - RESPA proposal during the comment period from, among
others, consumer advocacy groups; national, State, and regional industry trade associations; banks; community banks; credit unions;
financial companies; mortgage brokers; title insurance underwriters; title insurance agents and companies; settlement agents; escrow agents; law firms; document software companies; loan origination software companies; appraisal management companies; appraisers; State housing finance authorities, counseling associations, and intermediaries; State attorneys general; associations of State
financial services regulators; State bar associations; government sponsored enterprises (GSEs); a member of the U.S. Congress; the Committee on Small Business of the U.S. House of Representatives; Federal agencies, including the staff of the Bureau of Consumer Protection, the Bureau of Economics, and the Office of Policy Planning of the Federal Trade Commission (FTC staff), and the Office of Advocacy of the Small Business Administration (SBA); and individual consumers and academics.