Search results “Financial authority regulation”
Financial Regulation in the UK
​This revision video looks at the tripartite system of financial regulation in the UK
Views: 9671 tutor2u
A new approach to financial supervision: the Prudential Regulation Authority
In April 2013 the Prudential Regulation Authority (PRA), as part of the Bank of England, became the United Kingdom's prudential regulator for banks, building societies, credit unions, insurers and major investment firms. http://www.bankofengland.co.uk/publications/Pages/quarterlybulletin/n12prerelease.aspx
Views: 16158 Bank of England
Introduction to the Financial Conduct Authority (FCA) 2013
The FCA is one of the UK's two financial regulators, working alongside the Prudential Regulation Authority (PRA). Its aim is to protect consumers, ensure the industry remains stable and promote healthy competition between financial services providers. In 2013, it replaced the Financial Services Authority. The FCA supervises the conduct of over 50,000 firms, and regulate the prudential standards of those firms not covered by the Prudential Regulation Authority. Watch the review of the FCA's first year in business https://www.youtube.com/watch?v=E6Zv0YEI7lo Find out more about the FCA http://fca.org.uk/about Follow the FCA on social media: Twitter https://twitter.com/thefca LinkedIn http://www.linkedin.com/company/financial-conduct-authority
Views: 22847 The FCA
Financial Conduct Authority's Approach to Supervision event
Director of Supervision, Clive Adamson outlines the FCA's approach to supervision going forward. Find out more about the FCA http://fca.org.uk/about The FCA regulates the financial services industry in the UK. Its aim is to protect consumers, ensure the industry remains stable and promote healthy competition between financial services providers. The FCA supervises the conduct of over 50,000 firms, and regulates the prudential standards of those firms not covered by the Prudential Regulation Authority. Follow the FCA on social media: Twitter https://twitter.com/thefca LinkedIn http://www.linkedin.com/company/financial-conduct-authority
Views: 7252 The FCA
Thomas Huertas of the Financial Services Authority in the UK on regulation of financial firms
Thomas Huertas of the Financial Services Authority, regulator of the financial services industry in the UK, is a firm believer that better regulation will avoid a repetition of the recent financial meltdown.
Views: 608 INSEAD
Global financial markets and regulatory change | Christoph Ohler | TEDxFSUJena
Crises trigger the adaptation processes. Crises are motherof reforms. Christoph Ohler tours us through the Financial crisis (2007- 2009) and debt crisis (2010 – 2013) and details the best way to balance public and private interests. Christoph Ohler graduated in law from the University of Bayreuth and the College of Europe in Bruges. His PhD in European law he received at the University of Bayreuth. After working as an associate in an international law firm in Frankfurt/Main he became a research assistant at the Universities of Passau, Bayreuth and Munich. Since 2006 he holds a chair in public law, European law, public international law and international economic law at the Friedrich-Schiller University of Jena. From 2008 to 2014 he was the spokesperson of the interdisciplinary graduate program „Global Financial Markets“. He publishes extensively on German and European constitutional law and the regulation of financial markets in international and European law. „Banking Supervision and Monetary Policy in EMU” is his most recent book. This talk was given at a TEDx event using the TED conference format but independently organized by a local community. Learn more at http://ted.com/tedx
Views: 4915 TEDx Talks
What is FINRA (The Financial Industry Regulatory Authority)?
Welcome to the Investors Trading Academy talking glossary of financial terms and events. Our word of the day is “FINRA - The Financial Industry Regulatory Authority” The Financial Industry Regulatory Authority referred to as FINRA oversees all securities licensing procedures and requirements for the United States. This self-regulatory organization administers many of the exams that must be passed to become a licensed financial professional. It also performs all relevant disciplinary and record-keeping functions. The Financial Industry Regulatory Authority is a regulatory body created after the merger of the National Association of Securities Dealers and the New York Stock Exchange's regulation committee. The Financial Industry Regulatory Authority is responsible for governing business between brokers, dealers and the investing public. By consolidating these two regulators, FINRA aims to eliminate regulatory overlap and cost inefficiencies. FINRA offers several different types of licenses needed by both representatives and supervisors. Each license corresponds to a specific type of business or investment. While there are several licenses geared toward specific types of securities, there are three general licenses that the majority of representatives and advisors usually obtain. By Barry Norman, Investors Trading Academy - ITA
Government Regulation: Crash Course Government and Politics #47
Today, we’re going to wrap up our discussion of economic policy by looking at government regulation. We're going to talk about the government's goals for the U.S. economy and the policies it employs to achieve those goals. Ever since the New Deal, we've seen an increased role of the government within the economy - even with the deregulation initiatives of President Carter and Reagan in the 80's. Now this is all pretty controversial and we're going to talk about it, as this is a long way from the federal government handed down by the framers of the constitution. Produced in collaboration with PBS Digital Studios: http://youtube.com/pbsdigitalstudios Support is provided by Voqal: http://www.voqal.org All attributed images are licensed under Creative Commons by Attribution 4.0 https://creativecommons.org/licenses/... Want to find Crash Course elsewhere on the internet? Facebook - http://www.facebook.com/YouTubeCrashCourse Twitter - http://www.twitter.com/TheCrashCourse Tumblr - http://thecrashcourse.tumblr.com Support Crash Course on Patreon: http://patreon.com/crashcourse CC Kids: http://www.youtube.com/crashcoursekids
Views: 196419 CrashCourse
Is Effective Financial Regulation Possible?
Gerald Epstein: Powerful lobbying by finance sector keeps turning regulations into Swiss cheese; there is an alternative if people fight for it
Views: 2918 The Real News Network
What's wrong with banking regulation today?
Indebtedness is both a consumer and a financial industry problem. Regulatory bodies think more banking regulations will fix the problem. INSEAD Professor of Banking and Finance Jean Dermine is not so sure.
Views: 6173 INSEAD
The Truth About APRA (Australian Prudential Regulation Authority)
The Australian Prudential Regulation Authority is a statutory authority of the Australian Government and the prudential regulator of the Australian financial services industry. CEC Australia exposes the truth behind APRA and the flaws within the system. APRA is presented as the authority that regulates the financial services industry in Australia. Watch the full video at: https://youtu.be/HfoXtPzPSQU Subscribe to CEC Australia: https://www.youtube.com/channel/UCViMLG8C8qWrbODb00LGDpw
Financial Industry Regulatory Authority
In the United States, the Financial Industry Regulatory Authority, Inc. (FINRA) is a private corporation that acts as a self-regulatory organization (SRO). FINRA is the successor to the National Association of Securities Dealers, Inc. (NASD) and the member regulation, enforcement and arbitration operations of the New York Stock Exchange. It is a non-governmental organization that regulates member brokerage firms and exchange markets. The government agency which acts as the ultimate regulator of the securities industry, including FINRA, is the Securities and Exchange Commission. This video is targeted to blind users. Attribution: Article text available under CC-BY-SA Creative Commons image source in video
Views: 647 Audiopedia
Prudential Regulation Authority (United Kingdom)
The Prudential Regulation Authority is a United Kingdom financial services regulatory body, formed as one of the successors to the Financial Services Authority. The authority is structured as a limited company wholly owned by the Bank of England and is responsible for the prudential regulation and supervision of banks, building societies, credit unions, insurers and major investment firms. It sets standards and supervises financial institutions at the level of the individual firm. The PRA was created by the Financial Services Act 2012 and formally began operating alongside the new Financial Conduct Authority on 1 April 2013. As the Bank of England is operationally independent of the Government of the United Kingdom, the PRA is a quasi-governmental regulator, rather than an arm of the government per se. The PRA has its main offices at 20 Moorgate, near the Bank's central offices on Threadneedle Street. This video is targeted to blind users. Attribution: Article text available under CC-BY-SA Creative Commons image source in video
Views: 1455 Audiopedia
Webinar - Financial regulation
From 2013, all UK financial services firms will be required to adhere to a new regulatory regime. Thouraya Ftouh, a Senior Manager in Mazars' Banking and Financial services team explains how firms will be affected. http://www.insightoutmagazine.com In response to the financial crisis, the government has brought in some dramatic changes to the financial regulatory system. In this quick Webinar guide, Thouraya Ftouh explores the structure of the new regulatory regime and its objectives.
Views: 2329 MediaCitizens
SNS/SHOF Finance Panel: Banking between regulation and technological change
Technological developments contribute to rapid changes in the financial services industry. Startups introduce new technologies and established companies adapt. How regulations are designed will in turn affect where innovations take place. Participants 02:55 Arnoud Boot, Professor of Corporate Finance and Financial Markets at the University of Amsterdam 43:40 Sara Öhrvall, Head of Digitalization, Customer Experience and Communication at SEB Group 52:50 Martin Andersson, partner at Oliver Wyman and former Director General of Sweden’s financial supervisory authority (FI) 1:02:47 Panel discussion The meeting is held in English and is moderated by Pehr Wissén, Ph.D. in economics, senior advisor, Swedish House of Finance at the Stockholm School of Economics.
Views: 63 SNSkunskap
FCA's (Financial Conduct Authority) Success Story
The UK Financial Conduct Authority uses Salesforce to help maintain the levels of trust required in the UK Financial Services industry.
Views: 9674 SalesforceUK
TGE (10/18): Regulation or deregulation needed in financial environment?
Meet-up held in Zug / Switzerland on June 19, 2017, on US and Swiss perspectives on Token Generating Events (TGE); hosted by Crypto Valley Association, MME Legal | Tax | Compliance, Debevoise & Plimpton and Blockhaus; moderated by Andreas Glarner (MME). In Part 10, Luka Müller (MME) and Lee Schneider (Debevoise & Plimpton) explain whether regulation or deregulation is needed in financial environment.
Views: 370 MME Switzerland
Adam Farkas, European Banking Authority, discusses the future of FinTech regulation
Speaking on the sidelines of an event with Cicero Group, Adam Farkas, Executive Director of the European Banking Authority, discusses whether current regulation of the FinTech sector is sufficient, if greater oversight could stifle innovation in the sector, and his views on the FCA's regulatory sandbox. To find out more about Cicero's services, please visit: www.cicero-group.com
Views: 491 CiceroGroupTV
UK Leaving Door Open For Gold Bullion Benchmark Regulation: Financial Conduct Authority (FCA)
Kitco News' Daniela Cambone speaks with Don Groves of the Financial Conduct Authority (FCA) about regulation in the financial markets. The FCA was formed in April as a successor to the Financial Services Authority (FSA) to regulate financial firms in the UK. "Right now, the benchmark that are covered under legislation, only one, is LIBOR," Groves says. "But the door is open for other things to be added in the future, one of which may be bullion." With regards to consumer confidence, Groves says that the FCA is focused mainly on conduct of financial service companies and also on more consumer issues than in the past. Groves ends the interview with a simple message: "There could be a financial regulator at a desk near you very soon." Tune in now for the latest LBMA coverage. Kitco News, October 2, 2013. Join the conversation @ The Kitco Forums and be part of the premier online community for precious metals investors: http://kitcomm.com -- Or join the conversation on social media: @KitcoNewsNOW on Twitter: http://twitter.com/kitconews --- Kitco News on Facebook: http://facebook.com/kitconews --- Kitco News on Google+: http://google.com/+kitco --- Kitco News on StockTwits: http://stocktwits.com/kitconews
Views: 2303 Kitco NEWS
Financial Regulation for Financial Inclusion: What Should Policymakers Do?
Join us for the launch of a major CGD report, "Financial Regulations for Improving Financial Inclusion," that sets out how regulators can make the goal of financial inclusion compatible with the traditional mandates of financial regulation: safeguarding the integrity and stability of the financial system, while also protecting consumers from fraud. RSVP and learn more at http://www.cgdev.org/event/financial-...
The Role of State Financial Regulators
State financial regulators charter and oversee more than three-quarters of all banks in the U.S. They have a mandate to protect consumers and support the economic health of local communities.
Views: 904 CSBSInfoChannel
IRDAI | Insurance Regulatory and Development Authority of India | all about IRDAI
Exam Kabila is providing latest Content in English and hindi. Important Lectures and Notes for Banking, bank, IBPS PO and Clerk, MBA, BBA, Other Finance Exams, Management Papers, SBI, Railways, SSC, LIC AAO, , IAS, UPSC, CDS, Railways, NDA, State PCS, CLAT and all other similar government competitive examinations. # Insurance Regulatory and Development Authority of India (IRDAI) is an autonomous, statutory agency tasked with regulating and promoting the insurance and re-insurance industries in India. #Establishment:  IRDA Act was passed upon the recommendations of Malhotra Committee report (7 Jan,1994), headed by Mr R.N. Malhotra (Retired Governor, RBI)  It was constituted by the Insurance Regulatory and Development Authority Act, 1999,[3] an act of Parliament passed by the government of India.  Main Recommendations - Entrance of Private Sector Companies and Foreign promoters & An independent regulatory authority for Insurance Sector in India  IRDA came into existence on 19th April, 2000, as statutory body, with its headquarters at New Delhi.  The headquarters of the agency were shifted to Hyderabad, Telangana in 2001. Objectives of IRDA:  To promote the interest and rights of policy holders.  To promote and ensure the growth of Insurance Industry.  To ensure speedy settlement of genuine claims and to prevent frauds and malpractices  To bring transparency and orderly conduct of in financial markets dealing with insurance. Organisational Setup of IRDA: IRDA is a ten member body consists of :  One Chairman (For 5 Years & Maximum Age - 60 years )  Five whole-time Members (For 5 Years and Maximum Age- 62 years)  Four part-time Members (Not more than 5 years) The chairman and members of IRDAI are appointed by Government of India. Functions And Duties of IRDA: Section 14 of IRDA Act,1999 lays down the duties and functions of IRDA:  It issues the registration certificates to insurance companies and regulates them.  It protects the interest of policy holders.  It provides license to insurance intermediaries such as agents and brokers after specifying the required qualifications and set norms/code of conduct for them.  It promotes and regulates the professional organisations related with insurance business to promote efficiency in insurance sector.  It regulates and supervise the premium rates and terms of insurance covers.  It specifies the conditions and manners, according to which the insurance companies and other intermediaries have to make their financial reports.  It regulates the investment of policyholder's funds by insurance companies.  It also ensures the maintenance of solvency margin (company's ability to pay out claims) by insurance companies. Related News:  The IRDAI attempted to raise the foreign direct investment (FDI) limit in the insurance sector to 49 percent from its current 26 percent IRDA celebrated its formation day as Insurance Awareness Day on 19th April Worldwide World Insurance Awareness Day is celebrated on 28th of June.
Views: 49611 ExamKabila
Chapter 3 of 4: Regulating financial services - Rising financial centres: Malta’s goals and threats
While stringent regulation is vital to Malta's success as a financial centre, the authorities are adamant that it should not be oppressive and that access to both regulators and politicians should be smooth to outside business interests looking to set up a base on the island and turn their ideas into products and services.
Views: 3801 FTPWM
HELLO FRIENDS Learn about IRDAI in brief. table of content: : history : malhotra committee : IRDAI establishment year : IRDAI objective : Structure of IRDAI : Functions of IRDAI : Chairman of IRDAI TO UNDERSTAND DIFFERENCE BETWEEN STATUTORY AND EXECUTIVE OR CONSTITUTIONAL AND NON CONSTITUTIONAL BODY. click the link below https://youtu.be/cgq4HuZbvRs ( after around 1:30 minute ) SOME MORE HELPFUL VIDEOS (MUST WATCH) : PANCHAYATI RAJ AND MUNICIPALITY IN INDIA https://youtu.be/-IbnQkJBH8c :UNIFIED PAYMENT INTERFACE || BHARAT INTERFACE FOR MONEY https://youtu.be/AcK1JpLwS9I : NATIONAL AUTOMATED CLEARING HOUSE (NACH) || NATIONAL FINANCIAL SWITCH (NFS) https://youtu.be/EQmu0ER-sz8 : NATIONAL PAYMENTS CORPORATION OF INDIA https://youtu.be/rksejwre_Q0 : THE INDIA MYANMAR LAND BORDER CROSSING AGREEMENT || TRILATERAL HIGHWAY || KALADAN TRANSPORT PROJECT https://youtu.be/CSCgDWXk9nc : LEMOA, COMCASA AND BECA https://youtu.be/lLdouE_EqdU : QUEEN ELIZABETH APPROVES BREXIT LAW.(ASSENT TO PM THERESA MAY) https://youtu.be/n8PdX9Gy9RY : PRESIDENT OF INDIA & GOVERNOR OF STATES https://youtu.be/qnkctRCEqhE : FINANCE COMMISSION OF INDIA https://youtu.be/BH3La6yFM00 : SHORT TRICK FOR SQUARE ROOT AND CUBE ROOT https://youtu.be/7KeHZZL2T08 : SHANGHAI COOPERATION ORGANISATION https://youtu.be/Js66O3v_sTA : COLLEGIUM SYSTEM https://youtu.be/MrwuNb56lcc : ATTORNEY GENERAL OF INDIA https://youtu.be/xFJt7S3LC9k : WORLD TRADE ORGANIZATION https://youtu.be/xXuYcKCIe5k : OPEC https://youtu.be/BMcjl4hYxJA : PLANNING IN INDIA (FIVE YEAR PLAN ) https://youtu.be/sDAiOFiwYrY : SCHEDULES OF INDIAN CONSTITUTION https://youtu.be/PFxX_BtUzjI : NOBEL PRIZE https://youtu.be/QWllevoNX_s : SEBI (SECURITIES AND EXCHANGE BOARD OF INDIA) https://youtu.be/kWOmKgmRGtE : LETS DO CALCULATION EASY https://youtu.be/1e3ZrKtfr9U : EFT, NEFT, RTGS, IMPS? https://youtu.be/FuxSISy919o : NITI AYOG https://youtu.be/GfDH28FAytk : G4 G7 G20 COUNTRIES https://youtu.be/RnmUjgBQzT8 : SAARC AND BIMSTEC https://youtu.be/60hoPSd_KOU : FDI & FII https://youtu.be/6It4mvxmcmo : INDUS WATER TREATY https://youtu.be/KqeI5mqc7ww : RBI AND ITS FUNCTION https://youtu.be/rY6nbTxzLDs : BRICS https://youtu.be/1iKe8bCcw88 : CPEC https://youtu.be/tbjm48jv8rg : ISRO https://youtu.be/cVD9WblyYWs : MTCR https://youtu.be/wq3JxLrvoZM : NPT & NSG https://youtu.be/0QMnJHePZCE : NITI FORUM FOR NORTH EAST. https://youtu.be/V8TQ4lN7k6w : UNITED NATIONS (PART-1) https://youtu.be/NptpOG93IIY : UNITED NATIONS (PART-2) https://youtu.be/5cRrkTyQd4Q : HOW INDIAN RUPEE VALUE IS DETERMINED? https://youtu.be/K0oNbyjdEMc : WORLD BODIES (G4,G7,G20 NATIONS) https://youtu.be/RnmUjgBQzT8
Views: 25729 Deep Talks
090717 - “Oversight of the Financial Industry Regulatory Authority” (EventID=106380)
Thursday, September 7, 2017 (2:00 PM) - Subcommittee on Capital Markets, Securities, and Investment (Committee on Financial Services) Hearing: “Oversight of the Financial Industry Regulatory Authority”
Why Choose a Junior ISA with Foresters Financial?
Looking for a Junior ISA? See what Annie has to say about the Forester Life Junior ISA! A Junior ISA with Foresters Financial is quick and easy to set up and you can start saving for your child’s future from as with as little as £10 a month or in single contributions. Family and friends can contribute too making great birthday gifts! Not only do we offer the flexibility in how you contribute, but you can also access your child’s Junior ISA with our 24/7 online account management service. If you prefer to speak to someone in person, one of our Financial Advisers will be happy to help; giving you the choice in how you do business. Foresters Financial has over 140 years of experience in the financial industry and with our financial strength and reliability, you can ensure your savings are in good hands. Currently, we look after over one million child savings accounts in the UK, including Junior ISAs and Child Trust Funds. Your child’s Junior ISA fund is managed by Schroders, a FTSE 100 asset manager with over 200 years of experience. Schroders monitor and invest in the stock market for you, so you can focus on the important things in life such as spending quality time with your children. Our Junior ISA is risk-controlled making it ideal for parents who understand the advantages of the stock markets whilst wishing their child’s savings to be in a more sheltered environment. The Junior ISA fund is made up of a mix of investments including shares, gilts and bonds. No more than 60% of your child's investment will be in shares, therefore protecting your child's investment against the sharp falls of the stock market and allowing you to benefit when the stock markets rise. Our Junior ISA meets Government standards required to be a stakeholder product. It therefore qualifies as a low cost product. We have a single charge of 1.5% annually which reduces to 1% after 10 years. This single charge takes into account our administration and investment management costs. Unlike other providers, we do not charge any entry, exit or transfer fees. If you would like to find out about the Forester Life Junior ISA, you can do so here: http://www.foresters.com/en-gb/products/childrens-savings/junior-isa Our website also contains our Junior ISA Brochure and Junior ISA Key Information Document aimed to help you understand whether our Junior ISA is suitable for you. Don’t forget to Like our Junior ISA video and to subscribe to our channel. You can also follow us on Facebook and Twitter for everything Foresters Financial. The value of your investment can fall as well as rise, and as with all stock market investments, you may get back less than paid in. Forester Life Limited (Forester Life) is the UK subsidiary of Foresters Financial. Forester Life Limited is registered in England number 2997655. Forester Life Limited is authorised by the Prudential Regulation Authority and regulated by the Financial Conduct Authority and the Prudential Regulation Authority.
Views: 214676 Foresters Financial UK
What Is the Financial Industry Regulatory Authority and Code of Practice? Alan Greenspan (1987)
As of 2004 the financial services industry (finance industry) represented 20% of the market capitalization of the S&P 500 in the United States. The U.S. finance industry comprised only 10% of total non-farm business profits in 1947, but it grew to 50% by 2010. Over the same period, finance industry income as a proportion of GDP rose from 2.5% to 7.5%, and the finance industry's proportion of all corporate income rose from 10% to 20%. The mean earnings per employee hour in finance relative to all other sectors has closely mirrored the share of total U.S. income earned by the top 1% income earners since 1930. The mean salary in New York City's finance industry rose from $80,000 in 1981 to $360,000 in 2011, while average New York City salaries rose from $40,000 to $70,000. In 1988, there were about 12,500 U.S. banks with less than $300 million in deposits, and about 900 with more deposits, but by 2012, there were only 4,200 banks with less than $300 million in deposits in the U.S., and over 1,801 with more. The financial services industry constitutes the largest group of companies in the world in terms of earnings and equity market capitalization. However it is not the largest category in terms of revenue or number of employees. It is also a slow growing and extremely fragmented industry, with the largest company (Citigroup), only having a 3% US market share.[11] In contrast, the largest home improvement store in the US, Home Depot, has a 30% market share, and the largest coffee house Starbucks has a market share of 32%. Financial services are the economic services provided by the finance industry, which encompasses a broad range of businesses that manage money, including credit unions, banks, credit-card companies, insurance companies, accountancy companies, consumer-finance companies, stock brokerages, investment funds and some government-sponsored enterprises. The term "financial services" became more prevalent in the United States partly as a result of the Gramm-Leach-Bliley Act of the late 1990s, which enabled different types of companies operating in the U.S. financial services industry at that time to merge.[2] Companies usually have two distinct approaches to this new type of business. One approach would be a bank which simply buys an insurance company or an investment bank, keeps the original brands of the acquired firm, and adds the acquisition to its holding company simply to diversify its earnings. Outside the U.S. (e.g., in Japan), non-financial services companies are permitted within the holding company. In this scenario, each company still looks independent, and has its own customers, etc. In the other style, a bank would simply create its own brokerage division or insurance division and attempt to sell those products to its own existing customers, with incentives for combining all things with one company. https://en.wikipedia.org/wiki/Financial_services
Views: 88 Way Back
Fintech regulation: What Britain can teach the world
The Financial Conduct Authority has won praise around the world with a so-called sandbox, where UK fintech companies can test products with temporary authorisation. Now, it's being widely copied and there are plans to start a global sandbox. It has even caught the eye of major players, with Microsoft urging the US regulator to be more like its UK counterpart. counterpart. But should we be worried that the twin forces of big tech and banking are now praising the body that is their watchdog? Visit the Transact hub for more videos: http://transact.ft.com
Views: 18551 FT Transact
Tim Rowe - UK's Financial Services Authority (FSA)
Stay in touch with Finance Watch! Newsletter: https://bitly.com/MD2cD1 Facebook : https://www.facebook.com/financewatch Twitter: https://twitter.com/forfinancewatch October 10 2012 - Finance Watch Conference "Financial markets : serving the real economy?" http://www.finance-watch.org/ Tim Rowe is the manager of the Trading Platforms and Settlement Policy team at the UK's Financial Services Authority (FSA). The team is responsible for the FSA's domestic and international policy regarding exchanges, multilateral trading facilities and settlement, as well as elements of OTC trading (including the MiFID regimes for post-trade transparency and systematic internalisers). The team is involved currently in European discussions on the MiFID Review, the Central Securities Depositories Regulation and proposed legislation on securities law. The team also examines elements of market microstructure, such as the role of high frequency trading, direct market access and co-location services. As part of this, Tim co-authored IOSCO's 2011 report entitled "Regulatory Issues Raised by the Impact of Technological Changes on Market Integrity and Efficiency". Tim worked for a number of years at the London Stock Exchange managing the team responsible for the LSE's secondary market trading rules. He was also the compliance officer for EuroMTS, a bond trading platform within the London Stock Exchange Group. Prior to that, Tim undertook a number of regulatory roles with the FSA and the Bank of England.
Views: 1088 Finance Watch
Federal Regulation of Financial Markets
Federal Regulation of Financial Markets - House Oversight Committee - 2008-10-23 - Product 281958-1-DVD - House Committee on Government Reform and Oversight. Former Federal Reserve Chairman Alan Greenspan, Former Treasury Secretary John Snow, and SEC Chairman Chris Cox testified about the state of the economy, recent turmoil in the U.S. and global financial markets, and the role of federal regulators in the breakdown of the market on Wall Street. In response to sometimes partisan and pointed questioning Mr. Greenspan said that he may have been mistaken about the reliability of some financial instruments, such as insurance-like credit-default swaps, that were not yet common when he expressed his views about markets being able to police themselves. Filmed by C-SPAN. Non-commercial use only. For more information see http://www.c-spanvideo.org/program/281958-1
Views: 3407 HouseResourceOrg
We Re-Butt it all ! FCA, Prudential Regulatory Authority, BoE, SWIFT
Rebuttals to financial industry claims that WeRe Bank has to be compliant and is:- not registered with the FCA, not known to UK Clearing[CCCC], that the Bank of England does not recognize WeRe Bank, that WeRe Bank has no money, thatWeRe Bank has no recognized sort code, that WeRe Bank is a fraudulent operation, that WeRe Bank is a scam; errr and so on and so forth ad nauseam Freeman Legal Services Website: http://www.freemanlegalservices.com/ Facebook: https://www.facebook.com/pages/Peter-Of-England/437049179700768 Blog: http://freemanlegal.blogspot.co.uk/ ——————————————————————————————————
Views: 4007 Peter OfEngland
Congressman Sherman Discusses Oversight of the Financial Industry Regulatory Authority
FSC Capital Markets Hearing: "Oversight of the Financial Industry Regulatory Authority (FINRA)" May 1, 2015
Top U.S. financial regulator: Cryptos, regulate yourself! (2)
Sounds good for the crypto community: after CFTC and SEC Cryptocurrency Senate Hearing on Feb 6 already "owe(d) it to this new generation to respect their enthusiasm for virtual currencies, with a thoughtful and balance response, and not a dismissive one", now a leading regulator also chosed a very moderate tone not talking about bans or strong regulation but about "self-regulation" which should give the crypto industry "room to growth"! Part 2: Brian Quintenz, Commissioner, Commodity Futures Trading Commission, Interviewed by Marc Hochstein, CoinDesk from: Yahoo Finance All Markets Summit: Crypto, February 7, 2018 Brian Quintenz, a commissioner with the Commodity Futures Trading Commission, said that while the government tries to figure out what to do about bitcoin and hundreds of other cryptocurrencies, the crypto industry should form a so-called self-regulatory organization, or SRO, similar to those that exist in other parts of the financial system. The best model for a crypto SRO is probably the Financial Industry Regulatory Authority, or FINRA, which oversees more than 4,500 brokerage firms in the United States, setting licensing requirements, enforcing trading rules and settling disputes. SROs aren’t free of government regulation. In essence, the government sort of deputizes such groups to enforce rules that regulators deem to be in the public’s interest, on matters such as consumer protection, ethics enforcement and professional requirements. SROs aren’t a panacea, however, and some consumer advocates liken them to coyotes guarding the henhouse. In the lead-up to the 2008 financial crash, for instance, FINRA and other financial-industry groups clearly failed to stop the fraud and excess that eventually threatened the entire financial system. Congress, as a result, passed strict new rules in subsequent years—exactly the kind of muscular intervention the crypto industry hopes to avoid.
Views: 25 Altcoin Power
Financial Services Marketing S11 - Regulation and Financial Services Marketing
The marketing of financial services is greatly affected by an array of regulations which guide the scope of a company’s marketing activities. While some of these regulations may only affect marketing activities for specific categories of financial services, others affect such activities across the entire sector. It is therefore essential for financial services marketing professionals to have a clear understanding of the regulations that influence their markets and to ensure regulatory compliance. The BSU E-learning and Problem-based Learning Programme seeks to strengthen the capacity of South Universities including University of Ghana in the using of e-learning and problem-based learning approach for teaching and learning in UG. This video-lecture is developed under this initiative to enhance learning activities in the classroom and beyond.
CISI Financial Regulation Summit 2015, 28 May | Jane Walshe
Join us at the CISI Financial Regulation Summit on Thursday 28 May 2015 at America Square, London to explore how compliance and regulation are redefining the financial services industry. Jane Walshe, Chartered FCSI, Senior Regulatory Intelligence Expert, Thomson Reuters provides us with preview of her session on personal liability and accountability in the financial services industry and what’s to come. Attend this one-day conference to gain a strong understanding of the latest regulatory changes in the UK and Eurozone and address the challenges you face as a compliance professional. You can find out more about this conference at http://cisi.org/frs
Views: 433 The CISI
IRDA (Insurance Regulatory and development authority) Lecture, BBA, MBA by Mr. B.K. Jain.
IRDA is key regulatory body in insurance sector of both life as well as non-life insurance. All insurance companies are required to get license from IRDA and work in accordance with guidelines issued by IRDA.
Views: 61951 Guru Kpo
German Finance Authority: Crypto Regulation to Focus on Market Stability, Not Individuals
Felix Hufeld, President of the Federal Financial Supervisory Authority in Germany (BaFin), said the primary role of his regulatory authority is not individual investor protection, but the preservation of overall financial stability, Cointelegraph auf Deutsch reported today, June 12. While the role of BaFin is to protect consumers and maintain general financial market stability, Hufeld stated that it can only address systemic risks, and cannot protect every investor from “his fate.” Hufeld explained: "That's why we warned ICOs last November, pointing out the high price volatility of crypto-tokens. We will not be able to protect every single investor from his fate, and that cannot be the task of state supervision. Once again, the maxim is that we must act prudently or regularly if financial stability as a whole is threatened or if consumers are systematically harmed." Subscribe: https://goo.gl/sjhvFp
The New Face of UK Regulation Teaser
As Britain's two new regulators make ready to take the reins, Martin Wheatley, CEO designate of the new Financial Conduct Authority (FCA), will be addressing the CISI on the new authority's work plans and the new regulatory approach, just a fortnight before the FCA formally takes over the power from the Financial Services Authority (FSA) as one of the two new regulators. Ask questions during the live webcast direct from the event with CISI members across the world or share your views on Twitter during the live webcast #wheatleylive This is a live online event available to CISI members across the world. You can watch the live webcast on your PC, smartphone, ipad or tablet. - See more at: http://www.cisi.org/bookmark/genericform.aspx?form=29848780&url=webcast#sthash.u7g0FJOp.dpuf
Views: 808 The CISI
Minister Nene outlines key aspects of the Financial Sector Conduct Authority
CNBC Africa's Karabo Letlhatlha spoke to finance Minister Nhlanhla Nene about implementing increased regulation in the sector at the official launch of the Financial Sector Conduct Authority. https://www.cnbcafrica.com/videos/
Views: 69 CNBCAfrica
Regulating the banking system
This video explains how the Bank of England regulates the banking system. On KnowledgeBank we explain what banks do. Find out more - http://edu.bankofengland.co.uk/knowledgebank/what-do-banks-do/
Views: 3478 Bank of England
Cynopsis Solutions: Meeting Monetary Authority of Singapore (MAS) Guidelines on AWS
Learn more about This Is My Architecture at - https://amzn.to/2vcPXhH. The Monetary Authority of Singapore is Singapore's central bank and financial regulatory authority. It requires FSIs to meet certain regulatory requirements when adopting AWS. On this episode, Yangbo from Cynopsis – a regtech company – explains how they meet these requirements. Host: Arthi Jaganathan, Solutions Architect, AWS Speaker: Yangbo Xu, Tech Lead, Cynopsis Solutions
Views: 1018 Amazon Web Services
José Manuel González-Páramo on The Future of Financial Market Regulation and Supervision
The Future of Financial Market Regulation and Supervision About the Event: As part of the IIEAs ongoing series of events on Fixing Finance, José Manuel González-Páramo delivered an address on "Globalisation, international financial integration and the financial crisis: The future of European and international financial market regulation and supervision" and engaged in an extensive question and answer session with the audience. About the Speaker: José Manuel González-Páramo is a Member of the Executive Board of the European Central Bank. He was appointed Professor of Economics at Universidad Computense de Madrid in 1988. From 1985 to 1994 he was an economic adviser to and consultant for various public and private institutions, including the Spanish Ministry of Economics and Finance, the Fundación Fondo para la Investigación Económica y Social, the Banco de España, the European Commission and the World Bank. Professor González-Páramo has been involved in working groups on economic and financial matters at the Bank for International Settlements and the Organisation for Economic Co-operation and Development. He was appointed Member of the Governing Council of the Banco de España in 1994 and subsequently of its Executive Board in 1998. In this capacity, he has been jointly responsible for setting the policy line on major issues encompassing monetary policy, economic analysis, preparations for Economic and Monetary Union and financial supervision and regulation. Professor González-Páramo joined the ECB in 2004. An extensive list of his publications can be found here. Transcripts of recent speeches are available here.
Views: 1063 IIEA1
CISI - Regulation and Compliance, Insider Trading
In this 20 minute extract from the Fitch Learning classroom tuituion phase of the Regulation and Compliance course the instructor covers part of the Insider Trading material that will be tested in the CISI examination. Including an introduction to the relevant legislation, the statutory offences, who can commit the offences and what inside information is. For information about the courses we offer to help you complete the CISI Diploma in Investment Compliance, please visit our website: https://www.fitchlearning.com/diploma-investment-compliance As part of the Fitch Group, Fitch Learning partner with clients to elevate knowledge and skills and enhance conduct. With centres in London, New York, Chicago, Singapore, Dubai and Hong Kong; we are committed to questioning and understanding client needs across the globe and on the ground locally. Our people advise and build learning solutions to accelerate the achievements of the individual, and the company across the entire employee lifecycle.
Views: 2889 Fitch Learning
Financial Aid: National Landscape & Regulatory Updates
This webinar presented by the Massachusetts Educational Financing Authority (MEFA) for school counselors and college access professionals addresses the current financial aid landscape on a national scale, as well as provide important updates on federal financial aid resources and regulations.

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