Sentences with phrase «by financial authorities»

Fourth, the report praises the decision by financial authorities in the United States to regulate exchanges as Money Service Businesses.

It notes that the three conversion services that account for 97 percent of bitcoin laundering on these types of platforms should be targeted by financial authorities.

Also Read: South Korean Bitcoin Exchanges Might Soon Be Regulated By Its Financial Authorities

From a financial standpoint, the Life Insurance Company of Boston and New York has been duly recognized by financial authorities like A.M. Best and Moody's.

This was particularly notable for OctaFX as while it was already regulated by the financial authorities in Saint Vincent and Grenadines as well as the Caribbean, those are not considered to be strict countries in terms of financial regulation and have a reputation for being very lax in that area.

Not exact matches

There's a new form of crowdfunding being led by companies such as GrowthFountain that has been made possible by changes in investment rules that the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (Finra) enacted in May 2016.

Omeed Malik, a managing director fired by the bank in January, filed a claim this week through the Financial Industry Regulatory Authority.

«The minister of finance, supported by the Department of Finance, has ultimate responsibility for the financial system and authority for all financial sector legislation,» he said in a speech in Vancouver in 2009, slamming the door on the efforts of some in Ottawa, including former Bank of Canada governor Mark Carney, to create a more robust system of financial oversight.

These risks and uncertainties include, among others: the unfavorable outcome of litigation, including so - called «Paragraph IV» litigation and other patent litigation, related to any of our products or products using our proprietary technologies, which may lead to competition from generic drug manufacturers; data from clinical trials may be interpreted by the FDA in different ways than we interpret it; the FDA may not agree with our regulatory approval strategies or components of our filings for our products, including our clinical trial designs, conduct and methodologies and, for ALKS 5461, evidence of efficacy and adequacy of bridging to buprenorphine; clinical development activities may not be completed on time or at all; the results of our clinical development activities may not be positive, or predictive of real - world results or of results in subsequent clinical trials; regulatory submissions may not occur or be submitted in a timely manner; the company and its licensees may not be able to continue to successfully commercialize their products; there may be a reduction in payment rate or reimbursement for the company's products or an increase in the company's financial obligations to governmental payers; the FDA or regulatory authorities outside the U.S. may make adverse decisions regarding the company's products; the company's products may prove difficult to manufacture, be precluded from commercialization by the proprietary rights of third parties, or have unintended side effects, adverse reactions or incidents of misuse; and those risks and uncertainties described under the heading «Risk Factors» in the company's most recent Annual Report on Form 10 - K and in subsequent filings made by the company with the U.S. Securities and Exchange Commission («SEC»), which are available on the SEC's website at www.sec.gov.

Investors looking to evaluate potential financial advisors can avail themselves of many lists of sample questions, such as those suggested by the Financial Industry Regulatory Authority, for interviewing practfinancial advisors can avail themselves of many lists of sample questions, such as those suggested by the Financial Industry Regulatory Authority, for interviewing practFinancial Industry Regulatory Authority, for interviewing practitioners.

Securities brokers, however, are regulated by the Financial Industry Regulatory Authority under a «suitability» standard.

Other pain points included drug pricing and how approving more generics may affect costs (Gottlieb parried that question by noting the FDA doesn't have the authority to negotiate prices or consider pricing when approving a drug) and his alleged softness on opioid drug makers due the aforementioned financial ties and pro-industry ideology (the nominee noted that he considers opioid addiction and overdoses a public health crisis «on the order of Ebola and Zika»).

If your adviser is a broker and overseen by the private Financial Industry Regulatory Authority, the broker has no fiduciary duty to act in your best interest.

Mr Bryan, who has been in a relationship with Ms Wintour since 1999, was also pursued for outstanding Texas property taxes, and has had energy companies he owns in the state chided by local authorities for falling behind on their financial filings.

In any case, it would only have been regulated by what is now called the Financial Conduct Authority (FCA) if it sold to customers in Britain.

The U.K. Financial Conduct Authority opened an investigation in 2017 looking at Staley's alleged attempt to find out the name of the employee that wrote a letter raising concerns about the recruitment of a senior official by the bank.

ABUJA, March 7 - Nigeria's parliament passed legislation on Wednesday meant to help authorities tackle money laundering and funding for terrorism by allowing its financial intelligence unit to operate free of state control.

The Senior $ afe Act will better protect people aged 65 and over from financial exploitation by increasing the likelihood it will be identified by financial services professionals and reported to regulators, Adult Protective Services agencies, and law enforcement authorities.

This Web site has been approved for access in the United Kingdom by J.P. Morgan Securities plc., which is a member of the London Stock Exchange and is authorised by the Prudential Regulation Authority and regulated by the Financial Conduct Authority and the Prudential Regulation Authority, and by J.P. Morgan Limited, which is authorised and regulated by the Financial Conduct Authority.

According to figures from the Financial Conduct Authority, released by the House of Commons» Treasury Select Committee in September, 5,476 UK firms have at least one passport that allows them to do business in other EU and European Economic Area nations.

Any prospectus contained within this website relates to funds which are not subject to any form of regulation or approval by the Dubai Financial Services Authority («DFSA»).

Also, in part reflecting strong views expressed by the Australian authorities, the Financial Stability Board developed the notion of «four safeguards» for a resilient global framework for central counterparties.

Franklin Templeton Investment Management Limited is authorised and regulated by the Financial Conduct Authority (FCA) and is authorised to conduct investment business in Norway by the Kredittilsynet.

Franklin Templeton Investments (ME) Limited is authorised and regulated by the Dubai Financial Services Authority.

On the orders of a multi-agency task force, regional authorities have been instructed to «actively guide» firms currently mining bitcoin in their region away from the activity, according to documents reviewed by The Financial Times.

Franklin Templeton Investment Management Limited is authorised and regulated by the Financial Conduct Authority (FCA) and is authorised to conduct investment business in Sweden by the Finansinspektionen.

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.

FSA Suggests Altcoin Squeeze As Forbes reports citing a meeting of the group, which consists of industry experts organized by Japan's regulator the Financial Services Authority (FSA), the anonymity options such altcoins present could be grounds to banish them from the country's burgeoning exchange sector.

a pension fund that is regulated by either the Office of the Superintendent of Financial Institutions (Canada) or a pension commission or similar regulatory authority of a jurisdiction of Canada,

Provided by the Financial Industry Regulatory Authority (FINRA), BrokerCheck is a free tool to help investors research the professional backgrounds of current and former FINRA - registered brokerage firms and brokers, as well as investment adviser firms and representatives.

The firm's website explains that by using its newly unveiled service, companies interested in holding a token offering can «Access a large range of securities & compliance capabilities by conducting token sales through a registered broker dealer and [Financial Industry Regulatory Authority] registered funding portal.»

The grand mufti elaborated on his position by stating many of the typical concerns surrounding cryptocurrencies including their cryptographically controlled issuance, lack of central authority and regulation by financial institutions, and their ability to mask users» identities.

In Dubai: This information can be distributed in and from the Dubai International Financial Centre (DIFC) by BlackRock Advisors (UK) Limited Dubai Branch which is regulated by the Dubai Financial Services Authority («DFSA») and is only directed at «Professional Clients» and no other person should rely upon the information contained within it.

The theory is that the credit crisis in the United States might have been avoided if a central authority had seen the systemic danger posed by Wall Street's aggressive selling of securities backed by subprime loans and other complex financial products.

Comprised of keynote presentations, panel discussions, and intimate in conversation sessions, the event leverages the reputation and authority of the Financial Review to deliver a unique experience that can not be had by simply reading the publication.

They are regulated in many regions including the UK by the Financial Conduct Authority (FCA).

Closing Remarks by John Hurley, Governor of the Central Bank & Financial Services Authority of Ireland

The crowdfunding portals will most likely be self - policed by Wall Street's industry - funded watchdog, the Financial Industry Regulatory Authority, which unveiled its own parallel set of proposed rules on Wednesday.

Referring to the decision, a spokesman for Sweden's Financial Supervisory Authority said that «every institution must decide on the details of their internal regulations specifying the rules for their employees» investments and trading,» suggesting that the regulatory agency does not intend to interfere in Nordea's decision, nor act against similar moves that may be taken by other companies.

«The Minister of Finance, supported by the Department of Finance, has ultimate responsibility for the financial system and authority for all financial sector legislation.»

That this obvious fact is not recognized by the Trump Administration, international monetary authorities, and the financial press demonstrates just how unstable the dollar and world currencies actually are.

New Zealand asks banks whether tainted by Australian misconduct

WELLINGTON (Reuters)- New Zealand financial authorities have written to...

The discussions, which involved a potential sale to Bank of American and Barclays, failed (vetoed by the Bank of England and the U.K. Financial Services Authority), and efforts by potential acquirers to secure federal intervention were unsuccessful.

For example, auditing firms would be able to continue to provide certification of compliance with tax requirements, but they would be prohibited from supplying tax advisory services that directly affect the company's financial statements and might be subject to question by national tax authorities.

In the EU, issued by BlackRock Investment Management (UK) Limited (authorised and regulated by the Financial Conduct Authority).

We have agreed with the underwriters to pay all fees and expenses related to the review and qualification of this offering by the Financial Industry Regulatory Authority, Inc. and Blue Sky expenses.

Investopedia is not endorsed by or affiliated with FINRA or any other financial regulatory authority, agency, or association.

In Dubai: This information can be distributed in and from the Dubai International Financial Centre (DIFC) by BlackRock Advisors (UK) Limited — Dubai Branch which is regulated by the Dubai Financial Services Authority («DFSA») and is only directed at «Professional Clients» and no other person should rely upon the information contained within it.

During the workshop, there was also a discussion about the upcoming fintech guideline by Financial Services Authority.

Regulated in the United Kingdom by the Financial Conduct Authority (FCA) and the Seychelles Financial Services Authority (FSA), the company serves institutional and retail clients from all over the world.