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2 Sep 2021, 1:45 pm
New York Governor Kathy Hochul announced this week that she has nominated Adrienne Harris to serve as Superintendent of the state’s Department of Financial Services. [read post]
16 May 2016, 8:00 pm
Financial services industry companies were involved in 18% of the over 300 data security incidents we helped manage in 2015, and reported in our 2016 BakerHostetler Data Security Incident Response Report (the “Report”). [read post]
1 Mar 2017, 7:20 am
Cir. 2016)] requires the Board to 'strike the proper balance between (1) an invention of general usage that could also be used in the administration of a financial service and (2) an invention that is used in administration of a financial service but that could also be used for non-financial purposes.' Petitioner, however, does not quote anything in Unwired Planet for this proposition, which appears to contradict the Federal Circuit’s… [read post]
14 Dec 2010, 2:05 pm
CV 10-1689-GW, the court has ordered that all persons having claims against USA Retirement Management Services (a.k.a. [read post]
25 Oct 2022, 4:00 am
The Osgoode Certificate in Regulatory Compliance and Legal Risk Management for Financial Institutions will provide you with a comprehensive understanding of crucial regulatory compliance requirements, the intersection of compliance and enterprise risk management in financial services and the practical strategies you need to meet them. [read post]
25 Sep 2007, 6:24 pm
Developed by a leading law firm for a leading global financial services [...] [read post]
8 Feb 2007, 11:39 am
Thompson & Knight LLP, Kestrel Management Services, and Frank Crystal & Company jointly sponsored a seminar on Wednesday, February 7, 2007 "Environmental Compliance and Financial Disclosure: Managing Internal Controls and Information Flow. [read post]
16 Mar 2022, 11:05 pm
ASIC also remade class order relief permitting insurers to provide insurance quotes over the phone without the need for a PDS as well as releasing a consultation paper on updated class order relief relating to superannuation and financial services guides. [read post]
23 Jul 2018, 10:55 am
Scott Humphrey is presenting “Protecting Confidential Information & Client Relationships in the Financial Services Industry” webinar on July 25, 10 a.m. [read post]
23 Apr 2024, 9:52 am
Scope The proposals in CP24/8 will be of interest to firms providing portfolio management services. [read post]
12 Jan 2023, 9:14 am
On 12 January 2023, the Financial Services Compensation Scheme (FSCS) published its budget update which outlines its proposed 2023/24 management expenses. [read post]
25 Feb 2016, 11:14 am
For a complete description of the event and to register, visit PLI’s 21st Annual Consumer Financial Services Institute page. [read post]
6 Feb 2014, 4:00 am
For a complete description of the event and to register, visit PLI’s 19th Annual Consumer Financial Services Institute page. [read post]
21 Jul 2015, 3:41 pm
The following are among the topics the guides cover: How to receive wages and payment for working How to open a bank account How to pay bills How to shop for a mortgage How to select financial services and products Information on how to submit a complaint about a problem with a financial product or service Read and share the Newcomer’s Guides to Managing Money; also available in Chinese, French, Haitian-Creole, Korean, Spanish, Tagalog and… [read post]
3 Apr 2018, 8:44 am
On 29 March 2018, the PRA published Policy Statement 5/18: Financial Services Compensation Scheme – Management Expenses Levy Limit 2018/19 (PS5/18). [read post]
24 Apr 2008, 11:14 am
The Board stated that it had previously found physical commodity trading and energy management services to be complementary to the financial activity of engaging in commodity derivatives transactions and investment advisory services. [read post]
2 Feb 2017, 12:53 pm
The financial services industry has its own set of rules when it comes to enforcement of non-solicitation agreements. [read post]
2 Feb 2017, 12:53 pm
The financial services industry has its own set of rules when it comes to enforcement of non-solicitation agreements. [read post]
24 Jun 2021, 5:29 am
Its customers include law firms, corporate legal departments, financial institutions, and professional services firms. [read post]
24 Mar 2020, 10:56 am
Firms should also identify any critical outsource partners who are essential to continued provision of services, even where these are not financial services firms. [read post]
