Refine list by
  A (23)
  B (3)
  C (116)
  D (9)
  E (2)
  F (102)
  G (2)
  H (4)
  I (3083)
  J (5685)
  K (15)
  L (16)
  M (187)
  O (9)
  Others (2)
    _ _ (2)
  P (15)
  R (51)
  S (32)
  T (41)
    Tom Hays (1)
  1. Tessie Sanci
    Shaun Wayne Howell, who was also banned permanently from the investment industry, misappropriated almost $700,000 of clients’ money for his personal use
  2. James Langton
    The proposed rules generally permit approaches based upon existing U.S. bank regulators’ capital requirements.
  3. James Langton
    Fintech firms that are granted these charters from the OCC would have to adhere to standards of safety and soundness as well as fair access
  4. James Langton
    The SRO’s members also approved proposed changes to its rules regarding trading authority and powers of attorney at its AGM
  5. James Langton
    The RAC provides the regulator with feedback on policy from an investment industry perspective
  6. James Langton
    The added time comes in response to requests from the industry seeking additional time to consider and comment on the guidance
  7. James Langton
    Regulators shifting their focus to industry conduct, not simply compliance
  8. James Langton
    The self-regulatory organization is also considering an expansion of the service that would allow it to distribute data for bulk download for a fee
  9. James Langton
    The “John Doe” summons directs the exchange, Coinbase, to produce records identifying U.S. taxpayers who have used its services
  10. James Langton
    New rules will take effect in January 2018