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- Anticipating - And Meeting - Regulatory Compliance Challenges in the Financial Markets Industry
- Industry regulators are looking for financial markets firms to implement functional monitoring and management methods that both reduce investor risk and prevent regulatory violations. Regulatory agencies continue to enforce new and existing industry rules, expecting firms to proactively thwart corporate misconduct. In this context, the paper advises that financial markets...
- White papers 2004-11-01
Additional Resources
- Newspaper CEO May Take Helm of British Communications Industry Regulator.
- Sunday Business, London Knight Ridder/Tribune Business News Dec. 15--Philip Graf, the departing chief executive of Trinity Mirror, is the latest to enter the race to become chief executive of communications industry regulator Ofcom. Graf announced in September that he would...
- Research articles 2002-12-15
- Regulator approves futures change.
- The US futures industry regulator on Tuesday approved a set of rule changes submitted by the Chicago's two futures exchanges that allow the Chicago Board of Trade to switch so-called 'open interest' held at its current clearing house to a new clearin The US futures industry...
- Research articles 2003-07-16
- Severn Trent may appeal if water regulator caps bill rises
- SEVERN TRENT, the Midlands-based water company, yesterday gave the clearest indication yet that it may take the industry regulator to an appeal if it fails to get approval for a sufficiently large increase in bills. Ofwat will publish final price controls on Thursday setting out how much...
- Research articles 2004-11-30
- AUSTRALIA'S COMPETITION GP REJECTS ENERGY REGULATOR PROPOSAL.
- CANBERRA, Nov 15 Asia Pulse - The national competition watchdog today rejected a proposal for an energy industry regulator because it would contravene national competition policy. But the Australian Competition and Consumer Commission ACCC welcomed wideranging proposals for energy sector reform, as did industry and the Opposition. ...
- Research articles 2002-11-15
- BRITISH GAS REJECTS REGULATOR'S RECOMMENDATIONS
- BRITISH GAS announced on October 3 that is was rejecting recommendations from OFGAS, the regulatory authority, on tariffs charged by the company's TRANSCO division which specialises in the transport and storage of gas. Its appeal comes despite the fact that in August Ofgas eased its initial...
- Research articles 1996-10-11
- China Bans Foreign Investment, Tech Partnerships In Its Online Games Industry
- More U.S. gaming companies and VCs are looking to the Chinese online gaming model—micro-transactions, virtual goods and subscriptions—as a source of inspiration and potential investment. But as far as actually owning a piece of a money-making company like Tencent, consider it forbidden, as Reuters reports that the General Administration...
- External links 2009-10-12
- Fed regulator might have bolstered terrorism re bill.(Federal terrorism reinsurance bill discussed)(Government Activity)(Brief Article)
- The insurance industry would have had a much better chance of obtaining a federal backstop for losses caused by terrorism if the industry had a federal regulator, an industry analyst contends. Peter Wallison, a resident fellow at the Washington-bas The insurance industry would have...
- Research articles 2002-06-10
- National Semiconductor Introduces New Regulator.(Brief Article)
- National Semiconductor recently introduced a new low dropout LDO regulator designed for automotive applications. The company said the new LM2936HV regulator was developed to meet "the stringent demands of the automotive industry...[and] will National Semiconductor recently introduced a new low dropout LDO regulator...
- Research articles 2002-02-26
- UK regulator rocks concert merger
- BRITAIN'S anti-trust regulator ruled that a proposed merger of Ticketmaster Entertainment and a major promoter and venue operator - both US companies - would inhibit the possible entry of a major new player in the ticketing market. The Competition Commission said the proposed merger of Ticketmaster, the UK's dominant ticket...
- News items 2009-10-09
- Examine rating agencies, regulator, insurers suggest. (Earl Pomeroy)
- Examine Rating Agencies, Regulator, Insurers Suggest With public confidence in the insurance industry hitting an all-time low, the influence of financial raters of insurance companies seems to be at an all-time high. And this worries some industry oExamine Rating Agencies, Regulator, Insurers Suggest ...
- Research articles 1991-09-09
- UK Treasury warns regulator off financial tax talk
- Reuters LONDON - Britain's Treasury has warned the chief financial regulator to stay out of taxation policy after he said he would support higher taxes on the financial services industry. A Treasury spokesman said taxation was "a matter for the Chancellor finance minister" after Adair Turner, chairman of the Financial...
- News items 2009-08-27
- 80V buck regulator from National Semiconductor.
- National Semiconductor Corporation has announced what is said to be the industry's smallest high-voltage buck bias switching regulator, the LM5007, to satisfy housekeeping or bias power needs in next-generation communication, automotive, -48V distrib National Semiconductor Corporation has announced what is said to be the industry's...
- Research articles 2003-09-01
- AIG woes may hasten new auditing rules: regulator says accounting scandal at top insurer supports wider oversight.(INSURERS PROTEST)(American International Group Inc.)
- A KEY REGULATOR WORKING ON CORPORATE DISCLOSURE rules for the insurance industry said the need for such oversight has been spotlighted by revelations about American International Group accounting. The comments were made in an interview with Nationa A KEY REGULATOR WORKING ON CORPORATE DISCLOSURE...
- Research articles 2005-05-23
- NYSE Dissents on Single Regulator
- An NYSE official, defending the current system of self-regulation, said it would be a tragic mistake for the securities industry if it embraces the concept of a single regulator. An NYSE official, defending the current system of self-regulation, said it would be a tragic mistake for the securities industry...
- Research articles 2005-12-01
- Regulator rejects Optus-Foxtel deal as anticompetitive.
- ABIX via COMTEX) -- A proposal for the provision of content in the Australian pay television industry has been rejected by a competition regulator. The chairman of the Australian Competition & Consumer Commission, Allan Fels, says that the domina ABIX via COMTEX) -- A proposal for...
- Research articles 2002-06-27
- China's First Non-Governmental Internet Regulator Launched in Beijing.(Internet Society of China)(Brief Article)(Statistical Data Included)
- Internet Society of China ISC, the first non-governmental regulator for China's Internet industry, has been officially established in Beijing. Internet Society of China ISC, the first non-governmental regulator for China's Internet industry, has been officially established in Beijing.
- Research articles 2001-06-01
- Bingaman Ready to Nominate Former New Mexico Regulator to
- Bingaman Ready to Nominate Former New Mexico Regulator to FERC Seat, Replacing Breathitt The chairman of the Senate Energy and Natural Resources Committee, Sen. Jeff Bingaman (D-N.M.), plans to nominate a former New Mexico state regulator for the Federal Energy Regulatory Commission FERC to replace Linda Breathitt, even...
- Research articles 2002-04-17
- FCC finds wireless industry competitive but confusing. (News).
- WASHINGTON--The wireless industry is so competitive that it might be confusing to consumers, said the wireless industry's chief regulator. "If the daughter of the chief of the wireless bureau was not well informed, there may be others wh ...
- Research articles 2002-06-17
- Not Breaking News: Regulator Just as Dumb as Ordinary Investors!
- You probably don't realize it, but there is a mammoth securities regulator that is not a government entity. The Financial Industry Regulatory Authority FINRA, is the largest independent regulator for all US securities firms, overseeing nearly 4,800 brokerage firms, about 173,000 branch offices and approximately 647,000 registered securities representatives. ...
- Blog posts 2009-09-25
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