Posts tagged with: "financial+services"
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31 Dec 2014, 8:59 am by rexsecuritieslaw
On July 24, 2014, KMS Financial Services entered into a consent order with the State of Florida-Department of Financial Services in which the State of Florida agreed to license KMS Financial Services and KMS Financial Services agreed to be placed on probation and pay $8,000 in administrative costs. [read post]
25 Oct 2010, 8:45 am by JA Hodnicki
ABSTRACT: This paper examines the application of Sherman Section 2 to systemic financial service institutions and concludes that a systemic financial... [read post]
2 Dec 2009, 6:41 pm
Today, the House Financial Services Committee approved legislation that, according to its press release, will put an end to “too big to fail” financial firms, help prevent the failure of large institutions from becoming a systemwide crisis, and ensure that... [read post]
3 Dec 2009, 2:40 pm
Yesterday the House Financial Services Committee completed its work on a comprehensive set of reforms intended to modernize America’s financial regulations. [read post]
13 Jun 2014, 11:30 am by BuckleySandler
On June 11, the CFPB released a request for information (RFI) about how consumers are using mobile financial services (MFS) to access products and services, manage finances, and achieve financial goals, with a focus on “economically vulnerable” consumers. [read post]
2 Aug 2013, 2:45 am by sally
Hobbs v Financial Conduct Authority (formerly Financial Services Authority) [2013] EWCA Civ 918; [2013] WLR (D) 328 “A decision by the Financial Services Authority to take no further action against the addressee of a warning notice or decision notice did not become irrevocable or take effect as a discontinuance of proceedings unless it had been communicated to that individual by a notice in accordance with section 389 of the Financial… [read post]
15 Sep 2016, 7:41 am by BuckleySandler
On September 13, the House Financial Services Committee approved by a 30-26 vote the Financial CHOICE Act, Congressman Jeb Hensarling’s (R-TX) legislative replacement to the Dodd-Frank Act. [read post]
5 Nov 2009, 11:10 am
House Financial Services Committee Passes Legislation Reforming SEC, PCAOB and SIPC OversightThe House Financial Services Committee has passed legislation reforming the SEC to strengthen its powers, better protect investors, and efficiently and effectively regulate the securities markets. [read post]
28 Oct 2014, 4:17 am by sally
Regina (Bluefin Insurance Services Ltd) v Financial Ombudsman Service Ltd [2014] EWHC 3413 (Admin); [2014] WLR (D) 438 ‘The question as to whether a complainant was a consumer for the purposes of the Financial Conduct Authority’s compulsory jurisdiction dispute resolution rules was a matter of precedent fact to be decided by the courts; it was not a question for Financial Ombudsman Service to determine that was reviewable only on… [read post]
8 Jun 2010, 8:18 am by By DEALBOOK
A handful of lobbying firms have dominated the business of representing financial services firms in their efforts to battle an overhaul of regulations governing the industry, according to an analysis by the Center for Public Integrity. [read post]
28 Jan 2015, 12:48 pm by Barbara S. Mishkin
Mishkin The Financial Services Roundtable and CFPB are joining forces in a nationwide public-private initiative to promote effective financial education. [read post]
29 Oct 2015, 11:30 am by D Daniel Sokol
Evans, University of New South Wales (UNSW) Faculty of Law; ThinkEvans Pty Ltd, Deborah Healey, University of New South Wales (UNSW) - Faculty of Law, Marina Nehme, UNSW Australia and Rob Nicholls examine Competition in Financial Services. [read post]
10 May 2014, 5:54 pm by BuckleySandler
House of Representatives passed by voice vote three financial services bills: (i) H.R. 2672, which would require the CFPB to allow individuals and businesses to apply to have an area designated as “rural” for purposes of exemptions to the CFPB mortgage rules; (ii) H.R. 3329, which would require the Federal Reserve Board to allow bank holding companies and savings and loan holding companies with assets of less than $1 billion to incur higher amounts of debt when… [read post]
4 Aug 2014, 1:04 am by Jonathan Kurta
  Frank Monte is a Chelsea Financial Services broker. [read post]
18 Apr 2017, 10:11 am by Andrew Stoltmann
The post Eric Springer; Woodbury Financial Services; Grand Rapids, Michigan appeared first on . [read post]
2 Jan 2015, 2:20 pm by BuckleySandler
On December 19, the New York Department of Financial Services announced a recent settlement with a Long Island-based auto lender to resolve allegations of violations of several consumer protection laws including the DFA, TILA, NY Banking Law, and NY Financial Services Law. [read post]