US: Broker-Dealer settles SEC charges for misleading Clients on Costs
www.findknowdo.com/news/05/13/2020/broker-dealer-settles-sec-charges-misleading-clients-costs-wrap-fee-program 0
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Home » Posts taggedBanking (Page 77)
US: FINRA warns firms of Risks to Senior Investors concerning Customer Trusts
www.findknowdo.com/news/04/20/2020/finra-warns-firms-risks-senior-investors-concerning-customer-trusts 0
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US: Broker fined for failing to prevent unauthorized Transfers
www.findknowdo.com/news/04/13/2020/broker-dealer-fined-failing-prevent-unauthorized-transfers 0
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US: FINRA proposes further restrictions on Brokers with bad history
www.findknowdo.com/news/04/15/2020/finra-proposes-further-restrictions-firms-bad-history 0
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US: CFTC warns of increasd Fraud by unregistered Brokers
www.findknowdo.com/news/04/06/2020/cftc-warns-increase-fraud-unregistered-brokers?utm 0
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Jersey: Bank fined for non-compliance with Money Laundering Order
www.gov.je/News/2020/Pages/BankFined.aspx 0
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Trends: 130 Banks commit to UN Principles for Responsible Banking
www.globalelr.com/2019/09/130-banks-commit-to-un-principles-for-responsible-banking/ 0
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Poland: Data Protection Authority’s position on making Copies of Identity Documents by Banks
bit.ly/2MvE3ry 0
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Education: Global Financial Services Regulatory Guide
www.bakermckenzie.com/-/media/files/insight/publications/2016/07/guide_global_fsrguide_2017.pdf?la=en 0
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Turkey: New Developments in Interest-Free Banking
esinxchange.com/rv/ff00523eaee21d47f6038dc02a458c5c73dfc107 Update:www.morogluarseven.com/news-and-publications/the-communique-amending-the-communique-on-compliance-with-interest-free-banking-principles-and-standards-and-the-communique-on-the-procedures-and-principles-regarding-informing-customers-and-the-publ/ 0
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