Sentences with phrase «of investor protection»

But doubts have been raised about the viability of many of the projects raising money and the lack of investor protection or regulatory overnight.

«We have done so in a balanced and responsible manner that is intended to facilitate capital raising while maintaining an appropriate level of investor protection,» he said.

Earlier this month, the commission raised a number of investor protection concerns about cryptocurrency mutual funds and ETFs in a letter to industry groups.

It imposes a host of investor protections, including those related to organizational structure and investment activities.

But given the fundamental mandate of investor protection, any proposed model must have at least the same level, if not more, protections in place for investors.

It confirms an additional element of investor protection which may prove valuable in these troubled times.

Firstly, there is the need of tighter oversight of crypto exchanges and trading platforms from the viewpoint of investor protection.

The lack of investor protection is one major reason why we consider the cryptocurrency market to be immature at present.

The exemption is the first of several new exemptions to facilitate capital raising by businesses at different stages in their development, while maintaining an appropriate level of investor protection.

«We believe the DOL rule is based on a sound legal foundation and their process set the standard for openness, thoroughness, and attention to comments submitted,» said Barbara Roper, director of investor protection for the Consumer Federation of America.

10.27.2016 — IPT News Release: Missouri Commissioner of Securities Elected as New Trustee of Investor Protection Trust

03.27.2017 — IPT News Release: Pennsylvania Secretary of Banking and Securities Elected as New Trustee of Investor Protection Trust

Mr. Faught serves on the Board of Directors of the Investor Protection Institute, a national organization dedicated to investor education and protection.

Don Blandin, president and CEO of the Investor Protection Trust (IPT) and the Investor Protection Institute (IPI), has worked in and with a wide variety of sectors, including business and industry; nonprofit; academia and philanthropic foundations; and federal, state and local government, both in the U.S. and globally.

«We are assessing if additional regulations are required in the area of investor protection,» Ong Chong Tee, deputy managing director of Monetary Authority of Singapore said, cited by Reuters.

After all, «you've got the wisdom of the crowd, but you've also got the madness of the crowd,» says Barbara Roper, the director of investor protection with the Consumer Federation of America.

«People don't have to know a thing about it to benefit from it,» said Barbara Roper, director of investor protection at the Consumer Federation of America.

The compilation of all content in «The Basics of Saving and Investing: Investor Education 2020» © is the exclusive property of the Investor Protection Trust (IPT) and protected by U.S. and international copyright laws.

02.01.2016 — IPT News Release: Kentucky Securities Division Director Joins Board of Investor Protection Trust

As part of an investor protection measure in the JOBS Act, companies using crowdfunding will still be required to raise the money through regulated broker - dealers, such as CircleUp, or through crowdfunding portals, a new regulatory category at the SEC.

The SEC has voiced a series of investor protection concerns about cryptocurrency mutual and exchange - traded funds.

«Sen. Elizabeth Warren and a group of investor protection groups such as Americans for Financial Reform and the Consumer Federation of America have unveiled the «Retirement Ripoff Counter, which is a digital, large - scale, live projector that will show the harm President Trump is doing to investors by delaying the fiduciary rule.

We note that, in response to the financial crisis, the Hong Kong Securities and Futures Commission announced a package of investor protection reforms in May 2010.

The ICO prohibition should be viewed in terms of investor protection rather than impeding industrial development.

The U.S. securities regulator raised a series of investor protection concerns about cryptocurrency mutual and exchange - traded funds, the strongest sign yet that the world's biggest market isn't likely to see the products any time soon.

Also, expect the imposition of investor protections, reporting requirements, know your customer requirements, and associated criminal and civil penalties for any violations.

Given the lollygagging, in the name of investor protection, the SEC should walk the documents over to Robbins Geller post haste.

From 1995 to 1998, Mr. Kandel was the Chief of the Investor Protection & Securities Bureau at the New York State Attorney General's Office, where he also served as Assistant Deputy Attorney General.

«If the intermediary in question is not on these lists, we strongly recommend that you should not make use of their services, as they are in breach of the applicable legislation and are not required to comply with basic rules of investor protection, information disclosure and claims handling,» the AMF notes.

This annual $ 10,000 prize spotlights researchers and educators who have made outstanding advances on behalf of investor protection and financial capability in the U.S.

It is argued that a consistent and predictable approach to the defence of necessity in investment arbitration decisions is possible, through which a better balance of investor protection and state sovereignty could be achieved.

My career has straddled the advent of investor protection regimes.

The Court stated that an interpretation of the Act that considers only the «twin goals of investor protection and the deterrence of corporate misconduct» is too narrow.

He was (together with Elizabeth Ovey) a contributing editor of The Law of Investor Protection, 2nd edition, and consultant editor of the title on Mutual Institutions in the current (fifth) edition of Halsbury's Laws of England.

We also hold public conferences, roundtables, and symposia on these subjects and, through our own publications, news media and other means, FAIR Canada works to promote broad public awareness of investor protection issues.

That said, both agency chiefs indicated that they want to provide an accommodative environment for the tech — but not at the expense of investor protection and enforcement against potential scams.

Barbara Roper, director of investor protection for the Consumer Federation of America, said that «the overwhelming evidence is that the rule is not only workable, but working as intended to eliminate toxic incentives that encourage and reward harmful advice while preserving access to advice.»

03.02.2011 — IPT News Release: Indiana Securities Commissioner Chris Naylor Elected Trustee of Investor Protection Trust

The exemption also includes a number of investor protection measures, including that issuers relying on the exemption must make the offer to all existing security holders as of the record date and investors will be subject to investment limits unless they obtain advice regarding the suitability of the investment.

According to a Reuters report, Ong Chong Tee, deputy managing director of MAS, said during a speech Thursday that his agency is currently «assessing if additional regulations are required in the area of investor protection,» though he didn't elaborate on the details.

«The biggest concern for any investor on a cryptocurrency exchange is the likelihood of fraud or hacks due to poor security or a lack of investor protections.»

«This is as Orwellian as it gets,» says Barbara Roper, director of investor protection with the Consumer Federation of America in Washington, D.C. «They will serve their clients best by defeating a regulation that would require them to do what's best for their clients?»

«If the SEC goes with a system based on self - certification, they will have abandoned their responsibility,» says Barbara Roper, director of investor protections at the Washington, D.C. - based Consumer Federation of America.