Posts tagged with: "financial+services"
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9 Aug 2013, 5:00 am by JA Hodnicki
Daniel Sokol Thomas Franchoo, Niels Baeten and Shane Cranley (Linklaters) describe The Application of European Competition Law in the Financial Services Sector. [read post]
11 Jul 2012, 6:00 am by JA Hodnicki
Daniel Sokol Thomas Franchoo and Marcus Pollard (both Linklaters) describe The Application of European Competition Law in the Financial Services Sector. [read post]
22 May 2010, 10:59 am by laborprof lpb
Whistleblower Law Blog has a detailed description of the whistleblower provisions of the financial services industry bill. [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]
27 Feb 2017, 7:09 am by Andrew Stoltmann
The post Shawn MacDonell; Hantz Financial Services, Taylor, Michigan; 48180 appeared first on . [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]
9 Jan 2017, 1:06 pm by Fitapelli Kurta
Public records published by the Financial Industry Regulatory Authority (FINRA) on January 9, 2017 indicate that New Jersey-based brokerage firm Tullett Prebon Financial Services has been sanctioned by FINRA. [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]
19 Dec 2016, 11:37 am by Adam D. Maarec and Courtney K. Stout
Banks, insurers, and other financial services companies in the Empire State may have to abide by new cybersecurity regulations come January 1, 2017. [read post]