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24 May 2016, 4:08 pm
[Report No. 114–] Making appropriations for financial services and general government for the fiscal year ending September 30, 2017, and for other purposes: “Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled, That the following sums are appropriated, out of any money in the Treasury not otherwise appropriated, for the fiscal year ending September 30, 2017, and for other purposes, namely: TITLE I DEPARTMENT OF… [read post]
12 Oct 2021, 11:59 am
Continue Reading › The post Northstar Financial Services (Bermuda) Investor Pursues $500K Claim Against Raymond James Financial Services appeared first on Investor Lawyers Blog. [read post]
21 Mar 2012, 5:55 pm
As the Senate considers the JOBS Act, the House Financial Services Committee issued a report detaiing the numerous investor protections in the Act in both the on ramp and crowdfunding titles. [read post]
8 May 2018, 6:35 am
On 27 April 2018, various financial regulators in China promulgated new measures further opening up the financial services industry to foreign investment, regulating non-financial entities to invest into financial institutions and tightening up control over the conduct of asset management business by financial institutions. [read post]
13 Jul 2021, 12:52 pm
In her new role, Pierce will work with UBS financial advisers, branch managers and support staff to provide a high-level of service to clients across branch offices in Delaware, ... [read post]
10 Nov 2006, 8:06 am
Fortis is only the latest traditional financial-services firm to jump into [...] [read post]
16 Mar 2011, 9:06 am
Sandler O'Neill, the investment bank focused on financial services firms, says it has hired Aaron Dorr from Jefferies to lead its asset management banking team. [read post]
7 Jul 2023, 4:19 am
Our global financial services and regulation team will provide a global comparison on the asset management regulatory landscape across key jurisdictions including the UK, Europe, Asia, Australia and the US. [read post]
3 Jul 2014, 4:17 pm
However, these new servicers have less stringent regulatory and financial requirements than banks, so, as part of a review of problems identified with one such servicer, the Office of Inspector General (OIG) assessed the Federal Housing Finance Agency’s (FHFA or Agency) controls to ensure the Enterprises monitor nonbank special servicer performance and mitigate related risks. [read post]
20 May 2008, 12:35 pm
Together, FICS, BFSO and IOS deal with most consumer complaints about financial services and cover the vast majority of retail financial services providers, including banks, credit unions, life and general insurance companies, stockbrokers, investment managers and financial planners. [read post]
23 Aug 2019, 8:48 am
Levine as president of Financial and Regulatory Compliance Services and Megan Prendergast Millard as a senior managing director. [read post]
30 Nov 2011, 3:58 pm
Primarily, the amendment would ensure that financial services companies cannot use the exemption to evade other provisions of Dodd-Frank. [read post]
12 Apr 2021, 10:00 pm
The Financial Services Agency of Japan (FSA) recently submitted a bill to the National Diet of Japan including certain amendments to finance-related laws for purposes of strengthening Japan’s financial system and financial stability in response to social and economic changes caused by the COVID-19 pandemic. [read post]
12 Apr 2021, 10:00 pm
The Financial Services Agency of Japan (FSA) recently submitted a bill to the National Diet of Japan including certain amendments to finance-related laws for purposes of strengthening Japan’s financial system and financial stability in response to social and economic changes caused by the COVID-19 pandemic. [read post]
12 Apr 2021, 10:00 pm
The Financial Services Agency of Japan (FSA) recently submitted a bill to the National Diet of Japan including certain amendments to finance-related laws for purposes of strengthening Japan’s financial system and financial stability in response to social and economic changes caused by the COVID-19 pandemic. [read post]
12 Apr 2021, 10:00 pm
The Financial Services Agency of Japan (FSA) recently submitted a bill to the National Diet of Japan including certain amendments to finance-related laws for purposes of strengthening Japan’s financial system and financial stability in response to social and economic changes caused by the COVID-19 pandemic. [read post]
12 Apr 2021, 10:00 pm
The Financial Services Agency of Japan (FSA) recently submitted a bill to the National Diet of Japan including certain amendments to finance-related laws for purposes of strengthening Japan’s financial system and financial stability in response to social and economic changes caused by the COVID-19 pandemic. [read post]
12 Apr 2021, 10:00 pm
The Financial Services Agency of Japan (FSA) recently submitted a bill to the National Diet of Japan including certain amendments to finance-related laws for purposes of strengthening Japan’s financial system and financial stability in response to social and economic changes caused by the COVID-19 pandemic. [read post]
16 Jan 2014, 11:41 pm
Managing Directors who breach their duties are subject to liability towards the company with regard to the financial loss arising from breach of duty. [read post]
15 Jun 2023, 3:52 am
Former Securian Financial Services Advisors Join Capitol Financial Solutions, A Group Affiliated with Royal Alliance PHOENIX , June 15, 2023 /PRNewswire/ -- Advisor Group, one of the nation's largest networks of independent wealth management firms, announced that John Amendola , Eric S. [read post]
