Posts tagged with: "financial+services"
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20 Jun 2011, 2:08 pm by By BEN PROTESS
Even though Republican senators have stymied the White House from naming a director, the Consumer Financial Protection Bureau will formally open its doors on July 21. [read post]
1 Jul 2010, 2:09 pm by By MICHAEL J. DE LA MERCED
After two and a half years, Keefe, Bruyette & Woods feels it's safe again to consider non-distressed bank mergers, as the firm revived its list of potential banking deal targets. [read post]
21 May 2010, 3:13 pm by By CYRUS SANATI
The financial regulatory bill is going to a House-Senate conference committee, which will determine how tough it is on Wall Street. [read post]
23 May 2013, 6:44 pm by By ERIC LIPTON and BEN PROTESS
Citigroup’s ideas were reflected in more than 70 lines of one 85-line bill. [read post]
6 Feb 2013, 12:07 pm by By PETER J. HENNING
Now that a third bank has settled a case involving manipulation of Libor, other firms ensnared have a guidebook on what to expect when negotiating their own agreements. [read post]
12 Mar 2010, 3:00 pm by By CYRUS SANATI
Senator Christopher J. Dodd of Connecticut, the Democratic chairman of the Senate Banking Committee, could face stiff opposition from some vocal members of his own party if his revised bill on financial regulation does not go far enough to curb the problem of banks that are too big to fail. [read post]
17 Nov 2009, 2:53 pm by Hunton & Williams LLP
Today, eight federal financial regulatory agencies issued a final Gramm-Leach-Bliley Act ("GLBA") model privacy notice.  The final model notice incorporates financial institutions' required disclosures pursuant to Section 503 of the GLBA.  The GLBA requires, in relevant part, that financial institutions provide consumers with information regarding their collection and sharing of nonpublic personal information.  Financial institutions that adopt the final model notice will be deemed in compliance… [read post]
19 Jul 2012, 11:45 am
Sonn & Erez has launched an investigation into the dealings of Vince Covino. The Financial Industry Regulatory Authority (FINRA) recently suspended Mr. Covino after revelations of inappropriate behavior which was in violation of FINRA and National Association of Securities Dealers (NASD) rules. Mr. Covino worked at Prospera Financial Services prior to his suspension, and had previously worked at LPL Financial and VSR Financial Services. According to the FINRA filing, NO. 20090207939-01, the… [read post]
Editor’s Note: The following post comes to us from Jeffery Roberts, senior partner in the London office of Gibson, Dunn and Crutcher, and is based on a Gibson Dunn memorandum by Mr. Roberts and Edward A. Tran. The Financial Services Act 2012 (the "Act"), which comes into force on 1 April 2013, contains the UK government's reforms of the UK financial services regulatory structure and will create a new regulatory framework for the supervision and management of the UK's banking and financial… [read post]
10 Dec 2010, 5:35 am by By CHRIS V. NICHOLSON
U.K. regulator's pricey parties | The Facebook Empire | Schwarzman's fave book on video [read post]
30 Jul 2012, 5:02 am by By MARK SCOTT
The British government on Monday officially announced a review into the rate-setting process at the center of the recent financial scandal. [read post]
26 Nov 2010, 4:45 am by By ANITA RAGHAVAN
The number of criminal prosecution of insider trading cases in Britain is a fraction of those in the United States. [read post]
11 Nov 2010, 2:44 pm by By DEALBOOK
Employers in Britain will soon be mandated to record conversations by their traders and bankers if they take place on work-provided cellphones. [read post]
13 Jan 2011, 7:19 am by By DEALBOOK
British regulators fine a former analyst £50,000 for giving the impression that he was disclosing insider information. [read post]
30 Jul 2012, 5:02 am by By MARK SCOTT
The British government on Monday officially announced a review into the rate-setting process at the center of the recent financial scandal. [read post]
11 Sep 2012, 4:17 am by By MARK SCOTT
The Financial Services Authority of Britain has fined BlackRock for failing to follow rules governing the protection of its clients' money. [read post]
26 Nov 2010, 2:25 am by By CHRIS V. NICHOLSON
Britain's securities watchdog, the Financial Services Authority, said Thursday that it was charging five people on 17 counts of insider trading. [read post]
24 Sep 2010, 7:12 am by By DEALBOOK
The F.S.A. has again declared war on a very important matter (to us, anyway): the leaking of deal information before the transaction is announced. [read post]
15 Feb 2012, 12:37 pm by By MARK SCOTT
Margaret Cole, the current managing director of enforcement and financial crime at Britain's Financial Services Authority, will leave the organization at the end of March, [read post]
18 Feb 2010, 4:47 am by By DEALBOOK
From Economix: The head of Britain's Financial Services Authority is sharpening his argument that recent financial deregulation is misguided and that further controls are needed, economist Simon Johnson argues. [read post]