Category: Regulations

SR-FINRA-2022-015 Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 8312 (FINRA BrokerCheck Disclosure) to release information on BrokerCheck® as to whether a particular member firm or former member firm is currently designated as a “Restricted Firm” pursuant to Rule […]

People seeking to abuse the insider knowledge they have to make a quick buck place their fingers on the scales. As well as disadvantaging those who play by the rules, they undermine confidence in markets that are vital for companies seeking capital and investors building their savings. It is natural and legitimate therefore that people […]

The Financial Conduct Authority (“FCA”) has published a list of providers it intends to authorise when the pre-paid funeral plans industry comes under its regulation from 29 July. There are 24 firms on the list, including the largest funeral plan providers. Together these firms hold approximately 87% of existing customer plans. The FCA is still […]

Your career at FCNB is enriched with daily opportunities to learn, innovate, and grow professionally in a supportive, stimulating, and flexible workplace. We offer a competitive total compensation package and exciting opportunities for professional development. We support our employees in maintaining their professional designations and provide technical updates on a continual basis for many of […]

Montreal – The Canadian Securities Administrators (CSA) today released its Achievement Highlights report that summarizes the progress made on the strategic initiatives published in the CSA 2019-2022 Business Plan.  “I am very proud of what we have accomplished over the past three years. CSA members collaborated to pursue our strategic goals, drive a harmonized approach […]

On 6 April 2022, the Canadian Insurance Services Regulatory Organizations (CISRO) published the Principles of Conduct for Insurance Intermediaries (the Principles). The full document can be found at Canadian Insurance Services Regulatory Organizations (CISRO) Principles of Conduct for Insurance Intermediaries (cisro-ocra.com) together with a Questions and Answers document: 2472 (cisro-ocra.com). The Insurance Division of the […]

On 16 June 2022, the Chairman of the FSMA took part in the Hellas 2022 International conference of the Hellenic Investors Association (HIA) and Better Finance, the European Federation of Investors and Financial Services Users. In his keynote speech, he addressed, among other things, the development of the Capital Markets Union within the European Union […]

Speech by our Chief Executive, Nikhil Rathi, delivered at the Dutch Authority for the Financial Markets (AFM) 20th anniversary seminar. Speaker: Nikhil Rathi, Chief ExecutiveEvent: AFM 20th anniversary seminarDelivered: 16 June 2022Note: this is the speech as drafted and may differ from the delivered version Highlights The value of consumer data has soared and we often trade privacy for expediency.  […]

Speech by Clare Cole, FCA Director of Market Oversight, to The Regulation of Listed Companies Summit Speaker: Clare Cole, Director of Market OversightEvent: The Regulation of Listed Companies Summit, Hallam Conference Centre, LondonDelivered: 16 June 2022Note: this is the speech as drafted and may differ from the delivered version Highlights The success associated with being […]

This press release is not available in English. Please consult the French or Dutch site. Source: FSMA