Etymology[ edit ] The term biological diversity was used first by wildlife scientist and conservationist Raymond F. Dasmann in the year lay book A Different Kind of Country  advocating conservation. The term was widely adopted only after more than a decade, when in the s it came into common usage in science and environmental policy.
View published reports, studies and related information by FINRA and associated businesses regarding the securities industry. All of the data are reported in aggregate to respect the confidentiality of regulatory information. The paper is intended to encourage a continued dialogue about addressing the challenges of customer recovery across the industry while directly informing the further enhancement of recovery in FINRA's forum.
The report also describes certain practices that FINRA has observed to be effective in appropriate circumstances, which firms may be able to use as a resource in tailoring their compliance and supervisory programs to their business.
The report also provides considerations for investors in evaluating investment advice derived from digital investment advice tools. The review is part of an ongoing initiative launched in April to periodically look back at significant groups of rules to ensure they remain relevant and appropriately designed to achieve their objectives, particularly in light of industry and market changes.
This report highlights effective practices in the industry and discusses a risk management-based approach to cybersecurity. Communications with the Public This report addresses the assessment phase of FINRA's retrospective review of its communications with the public rules.
This report discusses effective conflicts management practices that FINRA identified through this dialogue with firms.
Report of Examination of Securities Firms Providing "Free Lunch" Sales Seminars This Report details regulators' findings following examinations of broker-dealers, investment advisers and other firms that offer so-called "free lunch" sales seminars aimed at seniors or investors nearing retirement age.
The report highlights specific problem areas and suggests best practices for supervising sales seminar activities. In light of the findings from this examination, NASD is also issuing Notice to Memberswhich provides additional guidance with respect to compliance with Rule This Report presents the results of the Task Force's deliberations.
Following the publication of this Report, NASD has been in continuing discussions with industry representatives and regulators regarding ACATS issues and the implementation of the Task Force's recommendations, and has agreed to re-examine which party has certain obligations under Rule d and to consider the further need for executing the TIF Immobilization Agreement.
Mutual Fund Distribution Immediately following the submission of its Phase One Report, the Mutual Fund Task Force commenced its work on Phase Two, which covered distribution arrangements, including fees paid pursuant to Rule 12b-1 under the Investment Company Act of " Act" and revenue sharing.
In the first phase, it considered mutual fund portfolio transaction costs, particularly "soft dollar" services and disclosure. These recommendations, which along with the increasing availability of TRACE transaction information, will bring new levels of transparency and information to investors in the corporate bond market.
View the report summarizing the findings of those examinations and recent enforcement actions involving the sale of variable annuities. Securities and Exchange Commission asked NASD to form a task force of industry professionals to assist the Commission in its efforts to combat abusive short-term trading in mutual fund shares, and to report its findings by January At the Commission's request, the task force focused on the impact of omnibus account processing of mutual fund transactions on the imposition of a mandatory redemption fee.
The report identifies a number of steps that the SEC could mandate to facilitate the imposition of such a fee in an omnibus environment, and also identifies supplemental steps that could be taken to curb abusive short-term trading.
The task force was charged with recommending industry-wide changes to address errors and missed opportunities to provide discounts in the calculation of sales loads charged on the purchase of mutual fund shares that carry a front-end sales load.Think of telecommunications as the world's biggest machine.
Strung together by complex networks, telephones, mobile phones and internet-linked PCs, the global system touches nearly all of us.
It. From its establishment as a one man start up in London, Global Strategies Group (‘GLOBAL’) quickly grew from a strategic risk consultancy for government and commercial organisations, to providing a comprehensive range of strategic and operational support in challenging environments, including physical security services, training and capacity building, aviation security and complex logistics.
View published reports, studies and related information by FINRA and associated businesses regarding the securities industry.
9/10/18 Technology Based Innovations for Regulatory Compliance (“RegTech”) in the Securities Industry. Wildlife Film News - Jobs / Internships / Volunteering / Footage Wanted, Competitions & other opportunities!
Please see below various opportunities, submitted by members and subscribers, or gleaned from other sources. The LIGHT Forum: Leaders In Global Healthcare and Technology is a conference designed for leaders from a broad cross-section of executives and top policy makers in the health-care field to discuss the latest developments, challenges and opportunities shaping the industry.
Working hand in hand with leading thinkers from Silicon Valley, the event provides attendees with an ideal forum for. Apex is pleased to be part of the Bermuda Executive Forum London on 27th November. Matthew Charleson, Head of Insurance Fund Services for Apex will be speaking on the panel “ILS: The Evolution of Bermuda’s Market”.