Posts tagged with: "financial+services"
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25 Sep 2012, 8:41 am by Alexis Yee-Garcia
On September 20, 2012, the Financial Services Roundtable (FSR), a trade organization representing the 100 largest financial services companies in the country, announced that former Minnesota Governor Tim Pawlenty will become its new President and Chief Executive Officer on November 1. [read post]
7 Apr 2015, 2:31 pm by Travis P. Nelson
Reed Smith recently added Steven Nesmith to its Financial Industry, Financial Services Regulatory, and Government Relations Group. [read post]
31 Jul 2012, 3:12 pm by Nathalie Martin
The crisis came at the end of a decades-long transformation of the U.S. financial services sector that blurred the boundaries between banking and securities businesses.  [read post]
13 Sep 2014, 1:22 pm by James Hamilton
In a groundbreaking move, the new European Commission will have a Commissioner for Financial Services, Financial Stability and Capital Markets, with complete oversight of securities and banking regulation across the E.U. [read post]
24 Sep 2016, 7:23 am
On Sept. 13, 2016, the New York State Department of Financial Services (“NYDFS”) issued a proposed regulation that would impose new, rigorous cybersecurity requirements on banks, consumer lenders, money transmitters, insurance companies and certain other financial service providers (each, a “Covered Entity”) regulated by the NYDFS (the “Proposed Regulation”). [read post]
15 Feb 2016, 10:09 am by rexsecuritieslaw
  On February 5, 2016, MidAmerica Financial Services entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from 2010-2014, MidAmerica Financial Services failed to commit sufficient time, attention and resources to compliance and supervision. [read post]
16 Jul 2009, 3:48 pm
Download   In that case, Arrow Financial Services asked the court for a default judgment. [read post]
21 Mar 2015, 11:24 am by rexsecuritieslaw
  Share Financial was censured and … Continue reading Dallas Based Share Financial Services Sanctioned by Securities Regulators → [read post]
27 Aug 2007, 11:46 pm
Extending the relationship will make it easier for financial services member organizations to protect employees. [read post]
5 Nov 2008, 6:31 pm
Permira, the British buyout firm, said on Wednesday that it has hired James Fraser to head its financial services group. [read post]
11 Jun 2007, 9:01 am
The Carlyle Group said Monday that it had created a new group that will invest in the financial services sector, including banking and insurance. [read post]
1 Apr 2012, 5:29 pm by zimmermansguide
Not many PI firms have experience with this work, but you can get a list of firm who do by calling the New York Department of Financial Services.  [read post]
4 Apr 2016, 9:36 am by rexsecuritieslaw
Chesterfield, MO Rex Securities Law is investigating VSR Financial Services broker Robert B. [read post]
11 Oct 2016, 7:43 am by Travis P. Nelson
Among the issues addressed, none was more prominent that those involving consumer financial services. [read post]
11 May 2012, 5:08 am by JA Hodnicki
Daniel Sokol GCR Live: Financial Services and Competition Law June 20, 2012 Programme 9.00am: Chairman's introduction Nicholas Levy, Cleary Gottlieb Steen & Hamilton LLP 9.10am: Keynote speech: Antitrust issues in the financial services sector Clive Maxwell, Executive... [read post]
6 Jan 2012, 5:01 pm by Erik Gerding
The Section on Financial Institutions and Consumer Financial Services will have a record four events at this weekend's Association of American Law Schools Annual Meeting in Washington, DC. [read post]
8 Aug 2012, 4:58 pm by Hunton & Williams LLP
Earlier this year, the Consumer Financial Protection Bureau (“CFPB”) published a Bulletin signaling its intent to regulate and exercise enforcement authority over service providers to financial institutions. [read post]
20 Jun 2016, 8:23 am by Beth Graham
This report examines how the financial services industry uses these clauses to defeat consumers’ rights and evade accountability for their wrongdoing. [read post]
28 Sep 2015, 8:45 am by D Daniel Sokol
Thomas Franchoo, Niels Baeten and Lukas Solek, all Linklaters discuss The Application of European Competition Law in the Financial Services Sector. [read post]