Search for: "Financial Management Service"
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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]
8 Feb 2024, 10:24 am
He joins Kaufman Dolowich’s Financial Services and Institutions practice group and Health Care/Managed Care industry group. [read post]
30 Dec 2009, 6:14 am
A recent enforcement action by the Securities and Exchange Commission (SEC) clearly sends the message that branch managers at financial services firms must be vigilant in supervising their financial advisers in order to protect investors. [read post]
8 Jan 2020, 6:38 am
Perr, who has 25 years of litigation experience, joins KDV as a partner and co-managing partner of the Philadelphia office and will chair the new Consumer Financial Services practice group which represents financial institutions nationwide, providing risk management, compliance advice and counseling and litigation defense. [read post]
14 Sep 2011, 1:40 pm
Click here for more information about Managed Services. [read post]
15 Oct 2007, 12:44 pm
This is interesting given Australia's commitment to its 3 pillars of financial services regulation (Reserve Bank, APRA, ASIC). [read post]
5 Mar 2010, 4:28 pm
On December 14, 2009 the government announced further proposals to specify that investment management services, facilitatory services and credit management services would not be considered financial services. [read post]
6 Sep 2022, 11:16 am
Kristen’s practice involves consumer, small business, and treasury management products and services; digital banking; emerging payments; servicing; innovative technology; information security; operations; marketing; and complex service contracts. [read post]
19 Aug 2012, 11:56 am
The German Federal Financial Supervisory Authority (BaFin) plans to unveil an enhanced risk management framework for financial firms sometime this autumn. [read post]
22 Nov 2023, 8:02 am
For further updates on regulatory developments in the ESG space please visit our Financial Services Regulatory Developments in ESG hub. [read post]
10 Mar 2015, 6:22 am
Vitelli, also an attorney, has more than 20 years of financial services ... [read post]
9 Dec 2022, 7:31 am
This Policy Statement sets out the government’s approach to repealing and replacing retained EU law on financial services in order to deliver a regulatory model based on the Financial Services and Markets Act 2000 (FSMA). [read post]
14 Nov 2016, 8:08 am
Brotman specializes in investment, retirement, estate, insurance, and comprehensive financial planning services for families, professionals, executives and business owners. [read post]
26 Oct 2015, 8:13 am
Brotman Financial Group Inc., a financial services firm whose professionals offer wealth management, announced that Craig Myers has joined the firm in the investment operations department. [read post]
8 May 2018, 4:14 pm
On April 27, 2018, various financial regulators in China promulgated new measures further opening up the financial services industry to foreign investment, regulating non-financial entities investing in financial institutions and tightening up control over the conduct of asset management business by financial institutions. [read post]
18 Nov 2010, 4:02 pm
The House of Representative's Committee on Financial Services held a hearing today on "Robo-Signing, Chain of Title, Loss Mitigation and Other Issues in Mortgage Servicing. [read post]
17 Sep 2023, 12:16 pm
Hall has been in the financial services and banking industry for 29 years, helping individuals and small businesses pursue growth and preservation of their wealth through investment management and holistic financial planning. [read post]
8 Mar 2021, 2:24 pm
Harrington is a seasoned professional whose financial services career has spanned more than 22 years in retail distribution. [read post]
13 Jan 2021, 2:33 pm
In a development welcomed by industry members, the CFPB published today a “Statement Regarding the Provision of Financial Products and Services to Consumers with Limited English Proficiency. [read post]
6 Jul 2022, 9:07 am
Under the UK Bribery Act, a bribe paid or offered by a third party providing services for or behalf of a financial institution with the intention of benefiting the organisation may give rise to an offence (and equally secret commissions may provide grounds for transactions to be unwound). [read post]
