Search for: "Capital One Financial Services"
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18 Mar 2024, 3:54 am
The Commission is asked to conduct a thorough assessment to identify areas in which regulatory burdens for the EU’s financial sector could be reduced, and to ensure that new legislative initiatives concerning financial services are always based on impact assessments in line with agreed principles for better regulation. [read post]
25 Sep 2014, 4:20 pm
H.R. 4881, ordered to be reported by the House Financial Services Committee on June 20, 2014, would place a one-year moratorium on FSOC designations. [read post]
3 May 2021, 9:05 pm
These platforms and practices also impede the efficient allocation of capital—one of the central goals of capital markets. [read post]
18 Nov 2015, 1:42 pm
Of course servicing must be improved as much as possible and it is tempting to try to rely on the servicers since they are the ones with contacts with the borrowers, but servicers are collectors by another name. [read post]
12 May 2009, 6:23 am
" The trend in the financial services industry in the past few decades, however, has been precisely the opposite. [read post]
13 Jul 2017, 9:57 am
Spotify is using its music service to help Capital One sell indebtedness. [read post]
12 Sep 2023, 2:00 am
AML Fraud Red Flags Video , Transnational Criminal Organization Activity Video , and Drug Trafficking Organization Activity and AML Video are just some of the Financial Services Regulation videos providing insight on AML/CTF for financial institutions. [read post]
18 Mar 2024, 10:00 pm
Financial Services Regulations Fundamentals Resource Kit and In-House Banking and Financial Services Resource Kit provide links to practice notes, checklists, articles, and guidance on key issues, laws, and regulations applicable to in-house lawyers and counsel advising on risk management for bank and non-bank financial institutions. [read post]
9 Nov 2007, 2:35 pm
As announced in this previous post, the Financial Services Roundtable has now published its own capital markets competitiveness report, entitled The Blueprint For U.S. [read post]
18 Mar 2020, 1:55 am
Capital assets can include everything from assets traded frequently in financial markets like stocks, to assets that are sold less frequently, like jewelry or art. [read post]
21 Feb 2008, 8:24 am
In prepared testimony to the House Financial Services Subcommittee on Capital Markets, New York Insurance Department Superintendent Eric Dinallo said that such separation is one of the proposals regulators have been discussing with struggling bond insurers, FGIC Corp., MBIA Inc., and Ambac Financial Group Inc. [read post]
29 Apr 2015, 4:07 pm
Brett Fellows, managing member of Oak Capital Advisors in Mount Pleasant, South Carolina, lost his right to use the CFP certification mark for one year after he allegedly misrepresented that forms utilized to transfer customer accounts to a new broker-dealer were merely administrative. [read post]
18 May 2022, 6:31 am
House Appropriations Committee, Subcommittee on Financial Services and General Government. [read post]
18 May 2022, 6:31 am
House Appropriations Committee, Subcommittee on Financial Services and General Government. [read post]
15 Mar 2021, 7:47 am
Liverpool opened an account at Capital One under his name and the name of the victim, and moved $51,900 into the account. [read post]
12 Feb 2010, 11:08 am
Democratic SEC Commissioner Luis Aguilar thinks not: “While there was much activity this past year, very little has actually been accomplished,” Securities and Exchange Commissioner Luis Aguilar said Feb. 5, expressing doubt that comprehensive financial services reform will become a reality. ... [read post]
19 Jan 2019, 1:40 pm
They’re not levied at a set rate on each financial transaction. [read post]
27 Jan 2011, 3:14 pm
Second, one size does not fit all in corporate governance. [read post]
19 May 2017, 7:30 am
They warned against continuing to utilize a one-size-fits-all approach to evaluating and assigning risk ratings to uncleared swap positions being measured against such minimum regulatory capital requirements. [read post]
13 Sep 2011, 2:49 pm
We want financial institutions to take risks, extend credit, and provide capital. [read post]
