Keyword: Securities regulations

570 results found

Financial crisis underlines need for regulators to focus on cross-border risks

Worldwide, synchronized nature of the meltdown has exposed the myth of local issues

Wolburgh Jenah calls on industry to rebuild the public trust

CCMR report makes 57 recommendations to address system’s shortcomings

Clarification on MFDA dues and the right degree of oversight are issues for small firms

  • May 5, 2009 October 29, 2019
  • 09:12

Principles-based regulation is under fire internationally. Rules are back in

Countries need to work together to ensure consistent global regulation

  • By: IE Staff
  • March 13, 2009 March 13, 2009
  • 09:31

Firm to pay $125,000 civil penalty for violating fair dealing, gifts and gratuities and supervisory rules

The report identifies three areas in which IOSCO is proposing principles to address the issues raised by the growth of DEA

Current head of New York Stock Exchange Regulation will retain post as FINRA chairman as well