Search for: "Department of Professional and Financial Regulation"
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4 Dec 2023, 2:29 pm
NY Regulators Secure $1 Million Settlement in Cyber Action Against First American Title Insurance CompanyIn a Press Release dated November 28, 2023, New York State Department of Financial Services Superintendent Adrienne Harris announced a Consent Order entered into by the Department related to a May 2019 data breach at…↓ READ MORE ↓ ICI Member LOG IN or SUBSCRIBE today! [read post]
6 Apr 2020, 11:51 am
Please contact KDV’s Consumer Financial Services professionals with any specific questions. [read post]
7 Dec 2018, 11:30 am
Another regulation requires Justice Department employees to recuse themselves from investigations involving people with whom they have a close personal or financial relationship unless they receive authorization from a designated agency official. [read post]
21 Nov 2012, 7:33 am
Council decided to hold contractors to a higher standard when it comes to green building regulations. [read post]
24 May 2023, 9:51 am
The same applies to policyholders, particularly those who believe they’ve been underpaid and filed complaints with the Department of Financial Services. [read post]
18 Sep 2023, 8:37 am
Give uninsured patients information on how to apply for financial assistance. [read post]
27 Jun 2019, 10:00 am
While more disclosures are always beneficial, Regulation Best Interest fails to raise the standard of care enough to help investors not get taken advantage of by unscrupulous financial professionals. [read post]
7 Sep 2019, 7:39 am
Also scheduled to appear are representatives of the State Department of Public Health. [read post]
30 Jun 2013, 11:00 pm
Department of Health and Human Services Office for Civil Rights ("OCR") has grown, and the financial penalties have increased. [read post]
30 Jun 2013, 11:00 pm
Department of Health and Human Services Office for Civil Rights ("OCR") has grown, and the financial penalties have increased. [read post]
29 Dec 2023, 12:00 am
The Illinois Department of Financial & Professional Regulation (IDFPR) oversees the licensing and regulation of real estate professionals. [read post]
26 Apr 2018, 3:59 am
The SEC rule also seeks to reduce investor confusion by requiring financial professionals to give investors a new “Form CRS” Relationship Summary, which is designed to help investors understand the services to be provided, any conflicts of interest that might affect the advice they receive, and the fees they will pay, among other disclosures. [read post]
26 Apr 2018, 3:59 am
The SEC rule also seeks to reduce investor confusion by requiring financial professionals to give investors a new “Form CRS” Relationship Summary, which is designed to help investors understand the services to be provided, any conflicts of interest that might affect the advice they receive, and the fees they will pay, among other disclosures. [read post]
27 Sep 2017, 4:04 pm
Vermont The Vermont Department of Financial Regulation, Securities Division, adopted cybersecurity rules[4] (the “Vermont Regulation”), effective May 1, 2017, that apply to “securities professionals. [read post]
17 Mar 2015, 1:43 pm
The Department of Business Oversight is the state agency that regulates a variety of financial services, products, and professionals, including money transmitters.To read more, please see Elsa Broeker's article on Digital Currency Council. [read post]
27 Sep 2018, 4:49 am
Similarly, financial planners are not professionals under the malpractice law (Starr v Fuoco Group LLP, 137 AD3d at 634 [a financial advisor is not a “professional”]; Leather v US: Trust Co. of N. [read post]
25 Sep 2019, 9:46 am
Schneider most recently served as the Secretary of the Illinois Department of Financial and Professional Regulation. [read post]
23 Jun 2011, 11:59 am
The Chicago Tribune is reporting that the Illinois Department of Financial and Professional Regulation has fined PHH Mortgage Corporation for what it described as "negligence or incompetence" in the company's foreclosure procedures. [read post]
6 Apr 2020, 8:37 pm
Important Note: Some of the states issuing temporary relief orders below are requiring financial professionals to keep a copy of the order in their records to demonstrate their reliance on the order—because any activities not meeting an order’s conditions may later be treated by the respective state securities regulators as non-exempt, unregistered securities activity, thereby subjecting the financial professional to state enforcement action. [read post]
19 Oct 2007, 5:50 am
Blagojevich, Illinois Mortgage Fraud Task Force, working with the DuPage County Sheriff's office and the Illinois Department of Financial and Professional Regulation (IDFPR). [read post]
