Search for: "Capital One Financial Services"
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30 Jul 2011, 6:30 am
Ever since its was revealed that federal investigators were taking a look into their mortgage foreclosure practices Lender Processing Services Inc., the company has maintained that the search would not result in numerous financial penalties by way of fines and lawsuits. [read post]
16 Dec 2009, 9:49 am
The PIPE Wire has confirmed what seemed true from other reports, that this permanent exemption has now passed the full US House of Representatives as part of the overall financial services reform package approved last week. [read post]
29 Nov 2011, 8:32 am
For the seventh consecutive year, Atlanta-based Equifax was named to the FinTech 100 list of the best companies deriving more than one-third of their revenue from the financial services industry (compiled by Bank Technology News publication and by Financial Insights). [read post]
22 Jul 2019, 6:51 am
As a publicly-traded financial services company, Capital One is one of the newest banking institutions in the United States. [read post]
26 Oct 2011, 2:08 pm
The full House Financial Services Committee has approved by voice vote and sent to the House floor two pieces of legislation increasing the number of investors permitted to hold shares in either a company or a community bank before the organization is required to register with the SEC or “go public. [read post]
30 Oct 2007, 7:37 am
On the one hand, firms will have to provide their clients with information about the investment firm, the services it provides and the financial instruments that are the object of these services. [read post]
3 Dec 2019, 8:25 am
On the same date, the Committee on Financial Services issued a subpoena of narrower scope to Capital One Financial Corporation. [read post]
29 Aug 2023, 3:00 am
Financial Services Regulations Fundamentals Resource Kit , Bank Regulatory Counsel Resource Kit, and In-House Banking and Financial Services Resource Kit include practice notes, templates, and checklists that provide key information to in-house lawyers and counsel advising on regulatory capital and liquidity requirements for U.S. banking organizations. [read post]
17 Mar 2022, 9:04 am
By way of background, Council Regulation (EU) No 833/2014 defines “investment services” as: (i) reception and transmission of orders in relation to one or more financial instruments; (ii) execution of orders on behalf of clients; (iii) dealing on own account; (iv) portfolio management; (v) investment advice; (vi) underwriting of financial instruments and/or placing of financial instruments on a firm commitment basis; (vii) placing of… [read post]
22 Aug 2016, 5:00 am
According to FINRA, capital acquisition brokers are firms that are solely corporate financing firms that advise companies on mergers and acquisitions, advise issuers on raising debt and equity capital in private placements with institutional investors, or provide advisory services on a consulting basis to companies that need assistance analyzing their strategic and financial alternatives. [read post]
11 Mar 2015, 4:53 pm
” The Federal Reserve did not object to the capital plans of Ally Financial, Inc.; American Express Company; The Bank of New York Mellon Corporation; BB&T Corporation; BBVA Compass Bancshares, Inc.; BMO Financial Corp.; Capital One Financial Corporation; Citigroup, Inc.; Citizens Financial Group; Comerica Incorporated; Discover Financial Services; Fifth Third Bancorp; Goldman Sachs Group, Inc.; HSBC North… [read post]
18 Dec 2010, 10:14 am
Spencer Bachus (R-AL), incoming Chair of the House Financial Services Committee, has named Rep. [read post]
30 Nov 2015, 7:00 am
” One such tax provision is the amount a company can claim under the de minimis safe harbor for capital items. [read post]
30 Mar 2008, 6:52 pm
Third, the United States could move to a single regulator for all financial services as adopted in the United Kingdom. [read post]
23 May 2013, 7:00 am
Firstly, there is no special type of entity in Panama laws called the "financial services company". [read post]
5 Mar 2019, 9:56 am
Hill Securities, Purshe Kaplan Sterling Investments, Sagepoint Financial, Inc., Woodbury Financial Services, Inc., and many others. [read post]
9 Mar 2017, 7:00 am
This year, financial services organizations can expect a new direction on executive compensation to take shape. [read post]
9 Mar 2017, 7:00 am
This year, financial services organizations can expect a new direction on executive compensation to take shape. [read post]
17 Apr 2017, 2:44 pm
FINRA, as an independent self-regulatory organization with the overall goal of protecting investors and creating efficiency in the markets, governs many in the financial services industry in conjunction with the securities and exchange commission. [read post]
5 Jan 2012, 7:31 am
Contingent capital has emerged as one of the most innovative potential responses to the financial crisis. [read post]
