Banque & Finance –
Hubert de Vauplane - Rapport Terra Nova : Les conflits d'intérêts, nouvelle frontière de la démocratie de février 2017 -
Hubert De Vauplane a été auditionné le 20/03/15 dans le cadre de la...more
3/2/2017
/ Antitrust Provisions ,
Banks ,
BSA/AML ,
Competition ,
Conflicts of Interest ,
Credit ,
Debt ,
Digital Currency ,
Financial Institutions ,
France ,
Overpayment ,
Prepaid Payment Products ,
Terrorism Funding ,
Transparency ,
UK Brexit
Private Fund Advisers, Robo-Advisers, ETFs Among SEC, FINRA Exam Priorities for 2017 -
As the new year begins, U.S. regulators highlighted the areas – some new and some familiar – which will be the focus of their...more
2/2/2017
/ Bail-In Provisions ,
Bank Recovery and Resolution Directive (BRRD) ,
Banks ,
Benefit Plan Sponsors ,
Cybersecurity ,
Department of Financial Services ,
Employee Retirement Income Security Act (ERISA) ,
ETFs ,
EU ,
Financial Industry Regulatory Authority (FINRA) ,
Insurance Industry ,
Investment Adviser ,
NYDFS ,
Private Funds ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)