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Current RefinementsContent TypeNewsDate2011SectorPolicies & Regulatory ComplianceRemove all refinements DateJanuary (8)February (9)March (18)April (14)May (13)June (15)July (13)August (17)September (6)October (8)November (10)December (6)AuthorBBR Staff Writer (134)Abdulhameed Bukhamsin (1)LocationAsia-Pacific (26)Europe (48)Middle East and Africa (4)North America (65)South and Central America (2)
Search Results: News > 2011 > Policies & Regulatory Compliance
1-15 of 137 results
FINRA fines Credit Suisse Securities $1.75m over short sales
By BBR Staff Writer
The Financial Industry Regulatory Authority (FINRA) has fined Credit Suisse Securities (USA) $1.75m for violating Regulation SHO (Reg SHO) and failing to properly supervise short sales of securities and marking of sale orders.
Wealth & Assets Management > Asset Management > News
FINRA fines Barclays Capital $3m for subprime mortgage failures
By BBR Staff Writer
The Financial Industry Regulatory Authority (FINRA) has fined Barclays Capital $3m for misrepresenting delinquency data and inadequate supervision in connection with the issuance of residential subprime mortgage securitizations (RMBS).
Wealth & Assets Management > Asset Management > News
FINRA fines Wells Fargo $2m for unsuitable sales to elderly customers
By BBR Staff Writer
The Financial Industry Regulatory Authority (FINRA) has fined Wells Fargo Investments $2m for unsuitable sales of reverse convertible securities and for failing to provide sales charge discounts on Unit Investment Trust (UIT) transactions to eligible customers.
Wealth & Assets Management > Asset Management > News
Integrated Financial fined for client money breaches
By BBR Staff Writer
Integrated Financial Arrangements has been fined by the Financial Services Authority (FSA) for breaching client money rules for a significant period of time and failing to protect client money.
Wealth & Assets Management > Asset Management > News
Nordea fined over bonus structure discrepancies
By BBR Staff Writer
Nordea Bank and Nordea Investment Management have been fined by Sweden’s Financial Supervisory Authority (FSA) due to deficiencies in their bonus structures.
Wealth & Assets Management > Asset Management > News
FSA fines HSBC GBP10.5m for mis-selling products to elderly customers
By BBR Staff Writer
The Financial Services Authority (FSA) has fined HSBC GBP10.5m for inappropriate investment advice provided by one of its subsidiaries, NHFA to elderly customers.
Wealth & Assets Management > Asset Management > News
FINRA fines eight firms for improper private placement sales
By BBR Staff Writer
The Financial Industry Regulatory Authority (FINRA) has fined eight firms and 10 individuals for selling interests in private placement offerings without conducting a reasonable investigation.
Wealth & Assets Management > Asset Management > News
FSA arrests two unauthorised financial advisers
By BBR Staff Writer
The Financial Services Authority (FSA) has arrested two individuals suspected of providing financial advice when not authorised to do so and making misleading statements to investors.
Wealth & Assets Management > Asset Management > News
FSA fines hedge fund compliance officer
By BBR Staff Writer
The Financial Services Authority (FSA) has fined hedge fund compliance officer Sandradee Joseph £14,000 for failing to act with due skill, care and diligence.
Wealth & Assets Management > Asset Management > News
FINRA fines Wells Investment Securities over distribution of marketing materials
By BBR Staff Writer
The Financial Industry Regulatory Authority (FINRA) has fined Wells Investment Securities $300,000 for using misleading marketing materials in the sale of Wells Timberland REIT, a non-traded Real Estate Investment Trust (REIT).
Wealth & Assets Management > Asset Management > News
FINRA, OSC sign regulatory cooperation deal
By BBR Staff Writer
The Financial Industry Regulatory Authority (FINRA) and the Ontario Securities Commission (OSC) have signed a Memorandum of Understanding (MoU) to facilitate the exchange of information on regulated entities that operate across the US-Canadian border.
Wealth & Assets Management > Asset Management > News
FSA fines McInroy & Wood for breaching client money rules
By BBR Staff Writer
The Financial Services Authority (FSA) has fined McInroy & Wood (MWL), a East Lothian-based discretionary investment management firm, £15,050 for breaching the authority's client money rules.
Wealth & Assets Management > Asset Management > News
FINRA fines Chase Investment Services $1.7m over investment sales
By BBR Staff Writer
The Financial Industry Regulatory Authority (FINRA) has ordered Chase Investment Services to reimburse customers more than $1.9m for losses incurred from recommending unsuitable sales, and fined the firm $1.7m.
Wealth & Assets Management > Asset Management > News
FINRA fines Morgan Stanley $1m for violating fair pricing standards
By BBR Staff Writer
The Financial Industry Regulatory Authority (FINRA) has fined Morgan Stanley & Co. and Morgan Stanley Smith Barney $1m for allegedly charging excessive markups and markdowns on corporate and municipal-bond transactions.
Wealth & Assets Management > Asset Management > News
FSA fines Dubai-based investor Goenka $9.6m for market abuse
By BBR Staff Writer
The Financial Services Authority (FSA) has fined Rameshkumar Goenka, a Dubai based private investor, $9.6m for manipulating the closing price of Reliance Industries securities on the London Stock Exchange (LSE).
Wealth & Assets Management > Asset Management > News

BBR White Paper Recommendations

Revenue Leakage – Opportunity Calling! By Suntec
Revenue Leakage has been a universal phenomenon, gnawing up the profit margins of transaction-based industries, especially across their business support systems. Though the Banking industry people are particularly quick in acknowledging the glaring prevalence of revenue leakage, they are not able to pinpoint its source or quantity, or chart methodologies to ensure Revenue Assurance.... Banking Services > Commercial Banking > White Papers Customer Profitability Vs. Customer Satisfaction: Keep Guessing or Model your Pricing Strategies By Suntec
Most financial institutions do not have a clear understanding of what or who drives their profitability. They make assumptions or guesswork, and most of the time, try and fix their profitability metrics into the 80/20 rule or something similar — the majority of profits (80%) come from a minority (20%) of customers, products or business segments. Is profitability as simple as this? While there is no denying the 80/20 rule, how does an organization find this 20%? ... Banking Services > Commercial Banking > White Papers Banks - Reward Your Customers Incrementally, Based on Their Profitability By Suntec
Financial Institutions (FI) are on the verge of a strategic make-over. The market conditions imply an increased need to generate revenues and customer profitability, to ensure sustainability and future business success. In order to achieve these objectives, the FIs need to devise strategies that leverage customer relationships in a way that has never been done before. ... Banking Services > Commercial Banking > White Papers Achieving Measurable Gains by Automating Claims Processing By Kofax
Moving to a fully automated process is a goal for claims processing of nearly all insurance executives. Companies are at various levels of automation and often do not have an appropriate strategy to achieve higher levels of automation. This white paper identifies seven levels of claims automation and provides a roadmap that can be followed to enhance claims processing. This straightforward approach can be used to increase the likelihood of successful automation. Download this free white paper from Kofax to find out more.... White Papers Customer Centricity: The Key to Success in Retail Banking By Kofax
The economic slowdown has forced many banks to redirect their focus to retail banking and reinvent themselves as customer-centric organizations. But many institutions still use legacy infrastructures and processes that hinder necessary readjustments, in particular with regard to information exchange and customer communication. This white paper explains how these difficulties can be overcome, and how banks and financial institutions can reengineer core IT and business processes to support their business objectives. Download this free white paper from Kofax to find out more.... White Papers See more
1-15 of 137 results