Search for: "PROFESSIONAL FINANCIAL SERVICES"
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26 Jan 2022, 9:28 am
On 2 February 2022, we will be holding the second session in our Financial Services Academy, a series of online webinars aimed at up-and-coming in-house regulatory lawyers and compliance professionals, as well as anyone in need of a refresher. [read post]
19 Jan 2022, 5:40 am
On 2 February 2022, we will be holding the second session in our Financial Services Academy, a series of online webinars aimed at up-and-coming in-house regulatory lawyers and compliance professionals, as well as anyone in need of a refresher. [read post]
14 Nov 2018, 2:23 pm
Not only are the direct consequences of a conviction critical to a financial services professional, such as a statutory 10-year disqualification from working in the securities industry, but reputations are not subject to any timeline of distrust. [read post]
13 Apr 2011, 5:55 am
Professional services is area hard hit, seeing a 61% hike in firms in trouble.Begbies Traynor Group boss Ric Traynor is quoted by the BBC as saying :"Over 15,000 firms in the professional services sector are showing signs of significant or critical problems - partly driven by a stale property and corporate deals market - often the drivers for an active professional services community,"Traynor said that it appeared firms which operated… [read post]
22 Feb 2021, 8:38 am
The process involves the divorcing parties, their legal representatives, a Mental Health Professional and a Financial Professional. [read post]
27 Jul 2022, 12:48 pm
According to court documents, Haywood is a District of Columbia-based financial services professional who managed investments on behalf of his family and friends. [read post]
10 Sep 2014, 3:46 pm
According to a Kaspersky Lab and B2B International survey of worldwide IT professionals, 93% of financial services organizations experienced various cyberthreats in the past 12 months. [read post]
18 Apr 2019, 6:15 pm
Professional Liability (Errors and Omissions) If you will be providing professional advice to individuals or businesses, you may need to factor premiums for professional […] The post 5 Special Considerations for Purchasing a Business or Financial Services Franchise appeared first on Goldstein Law Firm. [read post]
5 Jan 2023, 6:28 am
The professional services exclusion has been broadly enforced to encompass professional services in many industries, including law, accounting, financial, engineering, architectural, design, real estate, insurance, and marketing services, among others. [read post]
16 Dec 2022, 11:34 am
Jeffrey Newman is a whistleblower lawyer with the firm Newman & Shapiro and he can be reached at jnewman@newmanshapiro.com or at 978-880-4758 The post Securities and Exchange commission charges financial services professional and associate in $47 Million front running scheme appeared first on Newman & Shapiro. [read post]
14 Apr 2023, 11:27 am
Prospera Financial Services Inc. [read post]
8 Sep 2023, 12:51 pm
The White Law Group reviews the regulatory history of Ameriprise Financial Services. [read post]
12 Sep 2023, 12:18 pm
The post UBS Financial Services: FINRA Claim appeared first on The White Law Group. [read post]
16 May 2023, 9:18 am
The White Law Group reviews the regulatory history of Securian Financial Services. [read post]
28 Feb 2009, 12:11 pm
The Parliamentary Joint Committee on Corporations and Financial Services has resolved to inquire into and report by 23 November 2009 on the issues associated with recent financial product and services provider collapses, such as Storm Financial, Opes Prime and other similar collapses, with particular reference to: the role of financial advisers; the general regulatory environment for these products and… [read post]
10 Feb 2022, 1:46 pm
The post Deloitte Invests $750M In Healthcare, Consumer, And Financial Services Businesses appeared first on Above the Law. [read post]
30 Jun 2023, 7:27 am
In this article, we share a round-up of the key developments from a regulatory perspective for HR Professionals in UK financial services firms. [read post]
17 Mar 2011, 4:25 am
The International Network of Financial Services Ombudsman Schemes will hold its sixth annual meeting in Vancouver, British Columbia on September 19-22, 2011. [read post]
6 Nov 2023, 1:55 pm
The White Law Group Files a FINRA Claim against Ages Financial Services LTD The White Law Group announces the filing of a FINRA arbitration claim today against Ages Financial Services LTD for investment losses involving high risk alternative investments. [read post]
23 Nov 2009, 11:52 am
The Parliamentary Joint Committee on Corporations and Financial Services (chaired by Bernie Ripoll MP) has released its report into the issues associated with recent financial product and services provider collapses, such as Storm Financial, Opes Prime and other similar collapses, with particular reference to: the role of financial advisers; the general regulatory environment for these products and services; the role played by… [read post]
