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Financial Conduct Authority (FCA)
The FCA regulates authorised investment funds. The FCA is the UK regulator of financial services and requires firms to adhere to strict rules, principles and guidance to put their customers’ well-being at the core of their business.
published: 15 Mar 2023
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Who is the Financial Conduct Authority
Learn more about the Financial Conduct Authority in the UK and what it means to payments in the U.S.,from the Payments Professor
published: 19 Aug 2019
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The Securities and Exchange Commission (SEC) vs. Financial Industry Regulatory Authority (FINRA)
A lot of people have "kinda-sorta" heard about the Securities and Exchange Commission (also known as the SEC) when watching financial industry-related movies such as The Wolf of Wall Street, but their SEC-related knowledge is superficial at best.
When it comes to the Financial Industry Regulatory Authority (commonly referred to as FINRA), however, you can be pretty much certain that practically nobody outside professional circles knows what it's all about.
While the title of this video is "SEC vs. FINRA" and may suggest some kind of a rivalry between them, that's not exactly the case. In fact, the Securities and Exchange Commission as well as the Financial Industry Regulatory Authority are ultimately here to protect individuals from... let's say less than ethical practices related to th...
published: 04 Jul 2019
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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 bet...
published: 11 Mar 2016
-
Financial Industry Regulatory Authority (FINRA)
The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization (SRO) that oversees the activities of broker-dealers in the United States. FINRA is responsible for regulating the financial industry and protecting investors by enforcing its own rules and federal securities laws.
For More: https://sanctionscanner.com/knowledge-base/financial-industry-regulatory-authority-finra-202
Sanction Scanner is a company based in London. We provide cost-efficient AML Solutions to businesses of all sizes. Meet Sanction Scanner today and join the 300+ companies from 40+ different countries that use our products to protect themselves from financial crimes.
Learn More About Sanction Scanner - https://sanctionscanner.com/
Learn More About Anti-Money Laundering - https://sanctions...
published: 05 May 2023
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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.
published: 22 May 2014
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New approach to financial supervision: 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.
This video explains the PRA’s role and its intended supervisory approach.
Interested in finding out more? Take a look at the Quarterly Bulletin article: https://www.bankofengland.co.uk/quarterly-bulletin/2012/q4/the-prudential-regulation-authority
published: 13 Dec 2012
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Financial Conduct Authority APM 2014
FCA Chairman, John Griffith-Jones and Chief Executive, Martin Wheatley give an overview of the Financial Conduct Authority's inaugural Annual Public Meeting 2014.
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
published: 17 Jul 2014
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Local authorities hailed for providing clear objectives on addressing critical needs - nbc
The Minister of Urban and Rural Development has hailed local authorities for their determination to provide clear objectives focusing on addressing the critical needs of communities.
published: 01 Mar 2024
-
Monetary Authority of Singapore posts record loss of S$30.8 billion
Singapore's central bank has reported its largest-ever loss of S$30.8 billion for the last financial year. This, after its moves to dampen inflation caused the local currency to appreciate and the value of the foreign reserves to fall. It's the second year running the Monetary Authority of Singapore is in the red. Even then, MAS has said this is not a cause for concern. It added that, with economic clouds ahead, it's not ruling out more policy action to arrest rising prices.
Subscribe to our channel here: https://cna.asia/youtubesub
Subscribe to our news service for must-read stories:
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Follow us:
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CNA Lifestyle: http://www.cnalifestyle.com
Facebook: https://www.facebook.com/channelnewsasia
I...
published: 05 Jul 2023
0:19
Financial Conduct Authority (FCA)
The FCA regulates authorised investment funds. The FCA is the UK regulator of financial services and requires firms to adhere to strict rules, principles and gu...
The FCA regulates authorised investment funds. The FCA is the UK regulator of financial services and requires firms to adhere to strict rules, principles and guidance to put their customers’ well-being at the core of their business.
https://wn.com/Financial_Conduct_Authority_(Fca)
The FCA regulates authorised investment funds. The FCA is the UK regulator of financial services and requires firms to adhere to strict rules, principles and guidance to put their customers’ well-being at the core of their business.
- published: 15 Mar 2023
- views: 837
5:40
Who is the Financial Conduct Authority
Learn more about the Financial Conduct Authority in the UK and what it means to payments in the U.S.,from the Payments Professor
Learn more about the Financial Conduct Authority in the UK and what it means to payments in the U.S.,from the Payments Professor
https://wn.com/Who_Is_The_Financial_Conduct_Authority
Learn more about the Financial Conduct Authority in the UK and what it means to payments in the U.S.,from the Payments Professor
- published: 19 Aug 2019
- views: 7190
1:21
The Securities and Exchange Commission (SEC) vs. Financial Industry Regulatory Authority (FINRA)
A lot of people have "kinda-sorta" heard about the Securities and Exchange Commission (also known as the SEC) when watching financial industry-related movies su...
A lot of people have "kinda-sorta" heard about the Securities and Exchange Commission (also known as the SEC) when watching financial industry-related movies such as The Wolf of Wall Street, but their SEC-related knowledge is superficial at best.
When it comes to the Financial Industry Regulatory Authority (commonly referred to as FINRA), however, you can be pretty much certain that practically nobody outside professional circles knows what it's all about.
While the title of this video is "SEC vs. FINRA" and may suggest some kind of a rivalry between them, that's not exactly the case. In fact, the Securities and Exchange Commission as well as the Financial Industry Regulatory Authority are ultimately here to protect individuals from... let's say less than ethical practices related to the financial sector, which are unfortunately not the least bit uncommon.
As you will be about to find out, while the SEC tends to pack more of a punch, with the them actually overseeing FINRA, both organizations have an extremely important role in the ecosystem.
As an investor, it's quite useful to understand how the financial sector works under the proverbial hood because seemingly insignificant aspects such as knowing what the Securities and Exchange Commission does or what FINRA is all about makes the difference between someone who is operating based on limited information and someone who digs deep.
Needless to say, those who are patient and interested enough to dig deep tend to do better in the long run. As such, the goal of this video is simple enough to understand: explaining what the SEC is, what FINRA is and what the main differences between the two organizations are.
What you do with this information is entirely up to you.
https://wn.com/The_Securities_And_Exchange_Commission_(Sec)_Vs._Financial_Industry_Regulatory_Authority_(Finra)
A lot of people have "kinda-sorta" heard about the Securities and Exchange Commission (also known as the SEC) when watching financial industry-related movies such as The Wolf of Wall Street, but their SEC-related knowledge is superficial at best.
When it comes to the Financial Industry Regulatory Authority (commonly referred to as FINRA), however, you can be pretty much certain that practically nobody outside professional circles knows what it's all about.
While the title of this video is "SEC vs. FINRA" and may suggest some kind of a rivalry between them, that's not exactly the case. In fact, the Securities and Exchange Commission as well as the Financial Industry Regulatory Authority are ultimately here to protect individuals from... let's say less than ethical practices related to the financial sector, which are unfortunately not the least bit uncommon.
As you will be about to find out, while the SEC tends to pack more of a punch, with the them actually overseeing FINRA, both organizations have an extremely important role in the ecosystem.
As an investor, it's quite useful to understand how the financial sector works under the proverbial hood because seemingly insignificant aspects such as knowing what the Securities and Exchange Commission does or what FINRA is all about makes the difference between someone who is operating based on limited information and someone who digs deep.
Needless to say, those who are patient and interested enough to dig deep tend to do better in the long run. As such, the goal of this video is simple enough to understand: explaining what the SEC is, what FINRA is and what the main differences between the two organizations are.
What you do with this information is entirely up to you.
- published: 04 Jul 2019
- views: 17733
1:24
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 Auth...
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
https://wn.com/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
- published: 11 Mar 2016
- views: 27146
0:40
Financial Industry Regulatory Authority (FINRA)
The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization (SRO) that oversees the activities of broker-dealers in the United States....
The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization (SRO) that oversees the activities of broker-dealers in the United States. FINRA is responsible for regulating the financial industry and protecting investors by enforcing its own rules and federal securities laws.
For More: https://sanctionscanner.com/knowledge-base/financial-industry-regulatory-authority-finra-202
Sanction Scanner is a company based in London. We provide cost-efficient AML Solutions to businesses of all sizes. Meet Sanction Scanner today and join the 300+ companies from 40+ different countries that use our products to protect themselves from financial crimes.
Learn More About Sanction Scanner - https://sanctionscanner.com/
Learn More About Anti-Money Laundering - https://sanctionscanner.com/knowledge-base/anti-money-laundering-aml-49
Get in Touch With Us - https://sanctionscanner.com/request-demo/
Sanction Scanner on Linkedin - https://www.linkedin.com/company/sanctionscanner/
https://wn.com/Financial_Industry_Regulatory_Authority_(Finra)
The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization (SRO) that oversees the activities of broker-dealers in the United States. FINRA is responsible for regulating the financial industry and protecting investors by enforcing its own rules and federal securities laws.
For More: https://sanctionscanner.com/knowledge-base/financial-industry-regulatory-authority-finra-202
Sanction Scanner is a company based in London. We provide cost-efficient AML Solutions to businesses of all sizes. Meet Sanction Scanner today and join the 300+ companies from 40+ different countries that use our products to protect themselves from financial crimes.
Learn More About Sanction Scanner - https://sanctionscanner.com/
Learn More About Anti-Money Laundering - https://sanctionscanner.com/knowledge-base/anti-money-laundering-aml-49
Get in Touch With Us - https://sanctionscanner.com/request-demo/
Sanction Scanner on Linkedin - https://www.linkedin.com/company/sanctionscanner/
- published: 05 May 2023
- views: 240
3:17
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.
The UK Financial Conduct Authority uses Salesforce to help maintain the levels of trust required in the UK Financial Services industry.
https://wn.com/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.
- published: 22 May 2014
- views: 18498
6:46
New approach to financial supervision: 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 so...
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.
This video explains the PRA’s role and its intended supervisory approach.
Interested in finding out more? Take a look at the Quarterly Bulletin article: https://www.bankofengland.co.uk/quarterly-bulletin/2012/q4/the-prudential-regulation-authority
https://wn.com/New_Approach_To_Financial_Supervision_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.
This video explains the PRA’s role and its intended supervisory approach.
Interested in finding out more? Take a look at the Quarterly Bulletin article: https://www.bankofengland.co.uk/quarterly-bulletin/2012/q4/the-prudential-regulation-authority
- published: 13 Dec 2012
- views: 24156
1:24
Financial Conduct Authority APM 2014
FCA Chairman, John Griffith-Jones and Chief Executive, Martin Wheatley give an overview of the Financial Conduct Authority's inaugural Annual Public Meeting 201...
FCA Chairman, John Griffith-Jones and Chief Executive, Martin Wheatley give an overview of the Financial Conduct Authority's inaugural Annual Public Meeting 2014.
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
https://wn.com/Financial_Conduct_Authority_Apm_2014
FCA Chairman, John Griffith-Jones and Chief Executive, Martin Wheatley give an overview of the Financial Conduct Authority's inaugural Annual Public Meeting 2014.
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
- published: 17 Jul 2014
- views: 558
2:34
Local authorities hailed for providing clear objectives on addressing critical needs - nbc
The Minister of Urban and Rural Development has hailed local authorities for their determination to provide clear objectives focusing on addressing the critical...
The Minister of Urban and Rural Development has hailed local authorities for their determination to provide clear objectives focusing on addressing the critical needs of communities.
https://wn.com/Local_Authorities_Hailed_For_Providing_Clear_Objectives_On_Addressing_Critical_Needs_Nbc
The Minister of Urban and Rural Development has hailed local authorities for their determination to provide clear objectives focusing on addressing the critical needs of communities.
- published: 01 Mar 2024
- views: 342
2:10
Monetary Authority of Singapore posts record loss of S$30.8 billion
Singapore's central bank has reported its largest-ever loss of S$30.8 billion for the last financial year. This, after its moves to dampen inflation caused the ...
Singapore's central bank has reported its largest-ever loss of S$30.8 billion for the last financial year. This, after its moves to dampen inflation caused the local currency to appreciate and the value of the foreign reserves to fall. It's the second year running the Monetary Authority of Singapore is in the red. Even then, MAS has said this is not a cause for concern. It added that, with economic clouds ahead, it's not ruling out more policy action to arrest rising prices.
Subscribe to our channel here: https://cna.asia/youtubesub
Subscribe to our news service for must-read stories:
Telegram - https://cna.asia/telegram
WhatsApp - https://cna.asia/whatsapp
Follow us:
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Instagram: https://www.instagram.com/channelnewsasia
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TikTok: https://www.tiktok.com/@channelnewsasia
https://wn.com/Monetary_Authority_Of_Singapore_Posts_Record_Loss_Of_S_30.8_Billion
Singapore's central bank has reported its largest-ever loss of S$30.8 billion for the last financial year. This, after its moves to dampen inflation caused the local currency to appreciate and the value of the foreign reserves to fall. It's the second year running the Monetary Authority of Singapore is in the red. Even then, MAS has said this is not a cause for concern. It added that, with economic clouds ahead, it's not ruling out more policy action to arrest rising prices.
Subscribe to our channel here: https://cna.asia/youtubesub
Subscribe to our news service for must-read stories:
Telegram - https://cna.asia/telegram
WhatsApp - https://cna.asia/whatsapp
Follow us:
CNA: https://cna.asia
CNA Lifestyle: http://www.cnalifestyle.com
Facebook: https://www.facebook.com/channelnewsasia
Instagram: https://www.instagram.com/channelnewsasia
Twitter: https://www.twitter.com/channelnewsasia
TikTok: https://www.tiktok.com/@channelnewsasia
- published: 05 Jul 2023
- views: 80627