Posts tagged with: "financial+services"
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4 Nov 2010, 3:48 pm by James Hamilton
The incoming Chair of the House Financial Services Committee urged federal financial regulators to interpret the Volcker provisions of the Dodd-Frank Act in a way that does not disadvantage US financial firms in competition with EU firms. [read post]
3 Dec 2012, 1:01 pm by Jeff Sovern
  Here's the abstract: The article first describes mobile financial services for consumers and the types of companies participating in the provision of those services. [read post]
5 Feb 2008, 11:43 am
The Financial Services Working Group will review the length, complexity and readability of disclosure documentation in financial services. [read post]
11 Nov 2008, 7:31 pm
Providers of training for financial advisers and authorised assessors have until 1 December 2008 to re-register their training courses and assessment services on the ASIC Training Register. [read post]
30 Oct 2009, 2:24 pm
Geithner's Written Testimony before House Financial Services Committee (October 29) [read post]
7 Sep 2009, 1:50 pm
As part of its report on the National Consumer Credit Reform Package (also see here), the Senate Economics Committee has reported on the Corporations Legislation Amendment (Financial Services Modernisation) Bill 2009 which regulates margin lending, promissory notes and trustee corporations. [read post]
21 Mar 2014, 4:41 pm by BuckleySandler
On March 19, New York State Department of Financial Services (DFS) Superintendent Benjamin Lawsky called on banking regulators to assess whether they are doing enough, particularly with regard to enforcement, to deter or prevent financial crime. [read post]
9 Apr 2009, 1:14 pm
And when they were performed, these financial service audits appear [...] [read post]
27 Apr 2010, 2:45 am by sally
Winterflood Securities Ltd and others v Financial Services Authority [2010] EWCA Civ 423; [2010] WLR (D) 101 “The definition of market abuse in s 118 of the Financial Services and Markets Act 2000 did not require the person engaging in the behaviour in question to have intended to abuse the market and accordingly it was not essential for such an intention or purposes to be present for behaviour to fall below the objective standards expected. [read post]
31 Jul 2014, 5:46 pm by Sabrina I. Pacifici
To support their efforts, we’ve developed and field-tested a toolkit for financial services programs called Your Money, Your Goals. [read post]
28 May 2010, 6:09 am by Broc Romanek
The New UK "Financial Services Act 2010" Makes Significant Reforms On the heels of the passing of "The Financial Services Act 2010," the United Kingdom's new coalition government announced that it will not disband the Financial Services Authority - sparing the country's financial regulator from abolishment. [read post]
22 Feb 2014, 11:50 am by BuckleySandler
On February 19, House Financial Services Committee Ranking Member Maxine Waters (D-CA) sent a letter asking Comptroller of the Currency Thomas Curry and National Mortgage Settlement Monitor Joseph Smith to “carefully scrutinize the sale of mortgage servicing rights from banks to nonbanks” to ensure nonbank servicers have the capacity to handle increased loan volume and that borrowers are not harmed. [read post]
21 Jun 2013, 3:59 am by tracey
Emptage v Financial Services Compensation Scheme Ltd: [2013] EWCA Civ 729; [2013] WLR (D) 242 “Where a broker had negligently advised a client to take out an interest-only mortgage and make an investment in foreign property in the expectation that the investment would pay off the entirety of the mortgage, the Financial Services Compensation Scheme Ltd was required to take into account both elements of the advice when assessing the client’s compensation… [read post]
16 May 2011, 12:05 pm by Securites Lawprof
On May 13 the House Financial Services Committee approved three bills affecting the Consumer Financial Protection Bureau (CFPB) that is a principal component of the Dodd-Frank Act. [read post]
10 Sep 2007, 5:14 am
Judging by its recent hiring spree, it seems the Carlyle Group sees green in the financial services industry. [read post]
25 Mar 2011, 9:06 am by James Hamilton
In the joint letter, the Financial Services Roundtable and the American Bankers Association said that the costs to the banking and financial services industry of preventing and detecting data breaches, and notifying customers when their information is at risk of misuse, is already huge. [read post]
19 Oct 2012, 7:00 am by Jay Eng
FINRA regulators have entered into a settlement with EKN Financial Services, Anthony Ottimo, Sr. and Thomas Giugliano resulting in the expulsion of EKN from FINRA. [read post]
20 Apr 2007, 11:38 am
Until the announcement that a group of banks and buyout firms would take student-loan giant Sallie Mae private, the conventional wisdom was that the debt loads that come with buyouts meant that big financial services companies, which generally are already debt-laden and subject to regulatory scrutiny, couldn't be targets. [read post]
19 Oct 2012, 7:00 am by Jay Eng
FINRA regulators have entered into a settlement with EKN Financial Services, Anthony Ottimo, Sr. and Thomas Giugliano resulting in the expulsion of EKN from FINRA. [read post]