Financial Services Regulatory
Financial Regulators: Who They Are and What They Do - Investopedia
FINRA oversees all firms that are in the securities business with the public. It is also responsible for training financial services professionals, licensing ...
Financial Regulatory - Latham & Watkins LLP
Financial Conduct Authority (FCA); Financial Industry Regulatory Authority (FINRA); Investment Industry Regulatory Organization of Canada (IIROC); Israel ...
Financial Services Regulatory | White & Case LLP
"White & Case is one of the largest international law firms and draws on that global footprint to provide top-notch regulatory advice to some of the largest ...
1. Who regulates banking and financial services in your jurisdiction?
The US Securities and Exchange Commission (SEC) is the primary federal regulator of persons engaged in securities business activities. The SEC regulates brokers ...
Research Guides: Regulation of Financial Institutions: Get Started
the Securities Act of 1933, · the Securities Exchange Act of 1934, · the Trust Indenture Act of 1939, · the Investment Company Act of 1940, · the ...
Financial Services Regulatory Lawyers | DLA Piper
Regulatory interventions and policy changes can create significant risks – and opportunities – for financial services institutions.
Financial Services Regulations | Practices - Holland & Knight
Holland & Knight's Financial Services Regulatory Team provides compliance and regulatory advice regarding state and federal financial services issues.
Financial Services Risk and Regulatory - PwC
PwC assists financial institutions in administering change driven by banking, asset management, and insurance regulations and strategic risk management ...
Financial Industry Regulatory Authorities - Fintech
The Consumer Financial Protection Bureau (CFPB) makes consumer financial markets work for consumers, responsible providers, and the economy as a ...
Financial Regulatory - Gibson Dunn
Gibson Dunn's Financial Regulatory Group provides comprehensive regulatory advice on all aspects of compliance, enforcement, and transactions.
FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY is authorized by Congress to protect America's investors by making sure the broker-dealer industry operates ...
Financial services regulatory | Freshfields
Freshfields regulatory lawyers provide end-to-end representation to the financial services industry in every major financial center and business hub.
Financial Institutions Regulatory | Capabilities
Skadden's Financial Institutions Regulatory Group is dedicated to handling strategic transactions and regulatory matters in the financial services space.
Financial Services Regulatory & Enforcement - Mayer Brown
Mayer Brown's global Financial Services Regulatory & Enforcement practice provides intelligent, forward-thinking solutions for financial services.
Explainer - What is financial regulation and why does it matter?
Financial regulation refers to the rules and laws firms operating in the financial industry, such as banks, credit unions, insurance companies, financial ...
Financial Services Regulations: Improvements Needed to Policies ...
What GAO Found. Since 2017, the Board of Governors of the Federal Reserve System has made changes to its stress tests (which estimate the effect ...
Introduction to Financial Services: The Regulatory Framework
Financial regulation aims to balance the benefits of finance with the risks that it poses. The Financial Regulatory Framework. Table 1 lists the ...
Financial Regulatory | Financial Services | Capabilities
Areas Of Focus: Banking and Financial Services, Investigation & Enforcement, Broker-Dealers and Investment Advisers, Commodity & Derivatives Regulatory.
Financial services advisory and regulatory - A&O Shearman
A&O Shearman's financial services advisory and regulatory group excels in guiding top firms on bank regulation and compliance, providing innovative ...
Global Financial Services Regulatory Guide
Baker McKenzie's Global Financial Services Regulatory (FSR) Guide has been fully revised for 2024 and covers 35+ jurisdictions worldwide, making it our most ...