Posts tagged with: "financial+services"
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17 Dec 2009, 11:28 am
Good news about The HartfordMoody's Investors Service changed its ratings outlook on The Hartford Financial Services Group Inc. [read post]
7 Jul 2009, 6:44 am
UK Financial Services Secretary Criticizes EU Fund Manager Directive ProposalPaul Myners, the UK Financial Services Secretary to the Treasury, said that European Commission's Alternative Investment Fund Managers draft directive is a "flawed" document that requires "major surgery. [read post]
29 Nov 2021, 12:01 pm
McNally Financial Services Corp exchange traded products, McNally Financial Services FINRA, McNally Financial Services sanctions, securities attorney, securities lawyer, McNally Financial Services complaints, The post McNally Financial Services Sanctioned for Supervisory Failures appeared first on The White Law Group. [read post]
SunTrust Brokers May Have Unsuitably Recommended Northstar Financial Services (Bermuda) to Investors
14 Jan 2021, 8:18 am
Now, Northstar Financial Services is in bankruptcy and undergoing liquidation proceedings. [read post]
3 Oct 2016, 2:21 pm
The PNC Financial Services Group announced that Stuart L. [read post]
12 Oct 2009, 5:38 pm
ASIC has issued Consultation Paper 121 seeking feedback on proposals for changes to online financial services disclosures. [read post]
7 Mar 2012, 6:24 am
The Law Library has just purchased access to the Financial Services Law Library database. [read post]
22 Sep 2022, 8:06 am
IBN Financial Services Censured and Fined $30,000 for Supervisory Failures According to a Letter of Acceptance, Waiver and Consent, the Financial Industry Regulatory Authority has reportedly censured and fined IBN Financial Services, Inc $30,000 for supervisory failures. [read post]
6 Sep 2022, 7:05 am
In our latest podcast on the Financial Services and Markets Bill, Jonathan Herbst and Glenn Hall cover the politics behind the Bill (Apple podcasts / Spotify). [read post]
21 Jan 2014, 8:45 am
Below is an excerpt: The economy may be improving, but challenges remain for employers in the financial services industry. [read post]
21 Jan 2014, 8:45 am
Below is an excerpt: The economy may be improving, but challenges remain for employers in the financial services industry. [read post]
28 Mar 2023, 4:19 am
The draft statutory instrument (SI) proposes to expand the scope of the financial promotion restriction in section 21 of the Financial Services and Markets Act 2000 (FSMA), by amending the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (2005/1529) (the FPO), to include financial promotions in respect of certain cryptoassets. [read post]
2 Mar 2009, 10:20 pm
In his speech to the 2009 ASIC Summer School, Impact of the Global Financial Crisis on the Corporations and Financial Services Regime, the Minister for Superannuation & Corporate Law described the actions and reforms the government is making in response to the crisis including: review of ratings agencies short selling reform national system to regulate all consumer credit APRA guidelines for executive remuneration [read post]
25 Apr 2018, 2:42 pm
Dale Horn, a senior vice president in wealth managemen with UBS Financial Services Inc., was named to Forbes’ list of Best-in-State Wealth Advisers. [read post]
25 Aug 2023, 8:46 am
On 25 August 2023, HM Treasury published Statutory Instruments (SI) 2023 No.937 Financial Services and Markets The Financial Services and Markets Act 2023 (Commencement No.3) (Amendment) Regulations 2023. [read post]
4 Oct 2014, 6:38 pm
He emphasized his commitment to be a Financial Services Commissioner for all E.U. [read post]
5 Apr 2017, 5:54 am
The growth of investment robo-advisors, web-based insurance exchanges, on-line credit comparison sites, and automated personal financial management services creates significant opportunities and risks for consumers that regulators across the financial services spectrum have yet even to assess, let alone address. [read post]
28 Nov 2023, 9:05 am
The Directive makes targeted modernising amendments to the DMD framework and extends certain rules in the CRD to financial services distance contracts. [read post]
30 Aug 2022, 7:02 am
In our latest podcast on the Financial Services and Markets Bill, Simon Lovegrove and Emily Stone cover the Bill’s provisions on EU retained law (Apple podcasts / Spotify). [read post]
19 Oct 2023, 6:49 am
In this latest edition of Regulation Around the World we review recent steps that financial services regulatory authorities have taken as regards Environmental, Social and Governance measures focussing in particular on disclosures, greenwashing and taxonomy. [read post]
