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3 Apr 2011, 11:50 am
Responding to a CFTC request for comment on whether establishing a capital threshold on participants is an effective approach to promoting fair and open access to derivatives clearing organizations, the UK Financial Services Authority said that, while capital thresholds for such organizations may be a potential tool to help ensure fair and open access to central counterparties, to impose them on clearing arrangements for products that have complex or unique… [read post]
26 Aug 2014, 1:48 pm
On August 6, 2014, the UK’s financial services regulator, the Financial Conduct Authority (FCA), issued long-awaited draft guidance on the use of social media in financial promotions by regulated financial institutions. [read post]
5 Feb 2010, 6:05 am
And as Secretary Geithner recently acknowledged, “the Bankruptcy Code is not an effective tool for resolving the failure of a global financial services firm in times of severe economic stress. [read post]
19 Sep 2023, 2:00 am
Financial Services Regulations Fundamentals Resource Kit and In-House Business Transactions Resource Kit include practice notes, templates, and checklists that provide key information to in-house lawyers and counsel advising financial services institutions. [read post]
24 Feb 2012, 4:49 am
House Financial Services Committee: New Bill Would Exempt Newly Public Companies from Say-on-Pay for 5 Years Earlier this week, I blogged about a quartet of bills that the House Financial Services Committee approved. [read post]
22 Jan 2010, 6:00 am
Editor's Note: This post is the written testimony (with footnotes omitted) submitted by Professor Lucian Bebchuk to the Committee on Financial Services, United States House of Representatives. [read post]
20 Jun 2017, 7:31 am
Aegis Capital Corporation is a mid-size boutique investment bank that offers financial advisory services. [read post]
10 Dec 2019, 10:53 am
Advisor Darren Kubiak (Kubiak), according to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA), has been accused of selling GPB Capital. [read post]
20 Apr 2011, 9:29 am
The Financial Services Committee has received testimony regarding the role private equity firms play in preserving existing jobs and creating new ones by providing capital to struggling and growing companies. [read post]
28 Nov 2023, 10:00 am
Trends & Insights provides the latest in news articles and insights documents on trending areas for financial service organizations. [read post]
16 Nov 2021, 1:54 pm
Following up on proposed guidance released in March, the New York Department of Financial Services (“DFS”) on November 15 released “Guidance for New York Domestic Insurers on Managing the Financial Risks from Climate Change”. [read post]
17 Jan 2008, 11:47 am
SMH Capital has agreed to pay $450,000 in fines to settle charges by the Financial Industry Regulatory Authority (FINRA) over the broker dealer's failure to have supervisory procedures and systems in place to handle its prime brokerage and soft dollar services to hedge funds. [read post]
23 Apr 2023, 9:01 pm
He had a historic career of public service, including as Chair of the House Committee on Interstate and Foreign Commerce. [read post]
11 May 2018, 7:22 am
The Most Notorious US Financial Scammers Every civilized society is dependent for its success on its citizens being able to trust one another. [read post]
17 Sep 2007, 3:20 pm
After, in chronological order, the Paulson Committee, Bloomberg/Schumer and Daley/Culvahouse, the Washington, DC-based financial institution lobby group The Financial Services Roundtable is to publish its report on capital markets regulation and competitiveness next month, according to today’s FT. [read post]
23 May 2014, 2:26 pm
Both parties identified specific financial services in their respective applications. [read post]
14 Sep 2009, 1:30 pm
I also want to thank our hosts from the National Park Service here at Federal Hall and all the other outstanding public officials who are here. [read post]
2 Mar 2020, 11:23 am
The panel, which was moderated by Paul Watkins, Assistant Director in the Bureau’s Office of Innovation, consisted of the following members: Becky Heironimus, Managing Vice President of Customer Platforms, Data Ethics and Privacy, Capital One John Pitts, Policy Lead, Plaid Natalie Talpas, Senior Vice President, Product Group Manager, Digital, PNC Christina Tetreault, Senior Policy Counsel, Consumer Reports Nick Thomas, Co-founder and Chief Technology Officer, Finicity The… [read post]
3 Jun 2015, 5:59 am
Compliance with securities laws and regulations is only one component of running a company. [read post]
29 Mar 2009, 7:15 am
While on a far smaller scale to HBOS and RBS, the 130-year-old mutual is still one of the country's main financial brands. [read post]
