Financial Industry Regulatory Authority

entrepreneurs choices not previously available on a large-scale model vis a via equity crowdfunding. In fact, Group Capital, a Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) registered broker-dealer, intends to mitigate our risk of failure through prudent planning and realistic projections and avoid the pitfalls of initial…

topic is free to be given out to the audiences. B) What particular acronyms did we discuss that could help avoid this pitfall? On the events of crisis, it is advisable that the spokesman tries as hard as they can to avoid the use of jargons since most of these terms are cliché. However, the use of acronyms is highly advisable since it avoids so much repetition of a long name say of an institution which can create boredom. The full names should only be offered during the first mention to…

But in 1952, an aircraft runway was constructed and the following year Barclays Bank opened a branch on Grand Cayman. In fact, Cayman's status as an international financial centre derives from the foresight of some early legal practitioners and a receptive Government who, in the mid 1960s, together drafted and enacted legislation to build on this modest beginning and take advantage of the absence of any form of direct taxation on individuals and corporations based on income or…

how they interact with stakeholders. If one were looking to review both concepts, one would simply read a company’s corporate mission and value statement. Lincoln Financial Group (LFG) is a company that proudly boasts their core values for review by shareholders and stakeholders alike. This paper will provide an in-depth review of both concepts…

In Australia, to supervise and work as a watch dog for fair financial markets and financial services, there are two regulators established. One regulator is Australian Prudential regulatory authority (called APRA) and another is Australian Securities Investment Commission (called ASIC). These two has different functions. APRA could be regards as prudential regulator; the roles of APRA are supervising banks, credit union, insurance companies, building societies, and most groups of superannuation…

Within the next 5-10 years, my plan is to secure a job as a financial advisor either for a financial firm or as a private operator. Most likely, after graduation this semester I will try and jump right into a career with a finance company and start at the bottom. Typically financial advisors do not come fresh out of college, so realistically I will start as a financial analyst wherever I can get a job. While I get the experience as a financial analyst I will also be studying to pass the test to…

many decades, financial globalization has brought benefits but it has also brought crisis and contagion, thus leaving with amplify views that has allowed the offshore banking to be more freely in investing. Since financial globalization has grown through out decades, it has been more complex to be managed by the government that leaves to the supports and opponents to say that the largely unregulated nature of international banking activity and global securities markers leaves the world financial…

JLT SA - Compliance Charter 1. COMPLIANCE FUNCTION 1.1 INTRODUCTION The JLT Compliance Charter outlines JLT’s philosophy of compliance and formalises the compliance function within the organisation. This charter aims to set out JLT’s approach to managing compliance risks. The compliance manual sets out further guidance and procedures with regards compliance practices 1.2 COMPLIANCE PHILOSOPHY JLT acknowledges the best practice standards and codes of conduct issued by the Financial Services…

The Dodd-Frank Act and its Consequences for the Financial and Banking System The Great Recession of 2008 brought to light a number of weaknesses in the United States economy that allowed for the stock market crash, housing crisis, and necessitated the bail-out of several important banking companies. In response to the recession and fears of a potential repeat of events, President Barack Obama signed the Dodd-Frank Wall Street Reform Act into federal law in 2010. The act brought with it the most…

independence of regulatory agencies indicates that they can operate without political interference and this ‘independence’ means protection from interference from the political power, particularly from the executive branch through ‘for-cause removal protection’ or through specified terms of tenure with their independence granted by legislation or the Constitution and mechanisms such as collegial membership . For Brown and others: The key characteristic of the independent regulator model is…