Sentences with phrase «other financial services regulators»

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.

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.

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 regulOther 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 regulother 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 confidentialitFinancial 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 confidentialitfinancial 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 efinancial 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 eFinancial 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.