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9 Oct 2018, 2:26 am
The Regulations brought into force on 6 October 2018 the following provisions of The Financial Guidance and Claims Act 2018: section 27(1) to (14) (transfer to FCA of regulation of claims management services); and schedule 4 (regulation of claims management services: transfer schemes). [read post]
15 Jun 2014, 6:00 am
Editor's Note: The following post comes to us from Dan Ryan, Chairman of the Financial Services Regulatory Practice at PricewaterhouseCoopers LLP, and is based on a PwC publication. [read post]
4 Apr 2019, 10:43 am
Such guidelines set the FDIC’s expectations for managing technology service provider relationships through contractual terms and ongoing monitoring and financial institutions must account for these requirements in their contracts with technology service providers. [read post]
22 Jan 2021, 8:50 pm
Improve the way CMCs managing claims about financial products and services disclose key information to consumers at the pre-contract stage, to help consumers make better-informed decisions about using CMC services. [read post]
16 Sep 2014, 3:52 am
., Serial No. 77582970 (June 27, 2013), wherein the Board reversed a refusal to register the mark CASHFLOW UNITS for "investment products, namely, wealth management and performance tracking, and providing financial advisory and financial portfolio management services. [read post]
27 May 2015, 6:58 am
The Board granted institution of covered business method review of an IP rights management patent, finding the patent was directed to a financial product or service. [read post]
3 Jan 2011, 4:33 am
In this installment of The Proactive Employer podcast, we’ll be discussing the implications of the Frank-Dodd Financial Reform Act for private financial institutions, and provide some suggestions on managing the risk of employment discrimination claims. [read post]
15 Nov 2021, 8:32 am
The Regulatory Framework for Investment Tokens covers all parties interested in market, issue, trade, or hold Investment Tokens in or from the DIFC and authorized firms wishing to undertake financial services relating to Investment Tokens. [read post]
30 Nov 2011, 6:33 pm
The House Financial Services Committee has approved bi-partisan legislation clarifying that commercial end users would not be subject to margin requirements for uncleared swaps. [read post]
31 Aug 2020, 12:29 pm
Many economists have made it very clear that we should expand the use of digital financial services to bring about economic development and poverty reduction after the pandemic [read post]
24 Sep 2010, 12:04 am
Following the housing boom in Spain in recent years, with the sustained increase in house prices has come the need to regulate the sector of financial activity that has developed in line with the parallel increase in the mortgage market: the activities of private lenders (called "private equity"), which escaped from the custody of the Bank of Spain, and on the other hand, with the rapid emergence of a large number of companies and individuals dedicated to serving… [read post]
28 Feb 2019, 3:12 pm
One of the first actions taken by Democratic Congresswoman Maxine Waters upon becoming Chairwoman of the House Financial Services Committee was to announce the creation of a new Subcommittee on Diversity and Inclusion (D&I). [read post]
28 May 2012, 2:23 pm
It is important to manage conduct risks in financial firms, particularly in respect of new business. [read post]
8 Nov 2017, 12:57 pm
Janney Montgomery Scott, a Philadelphia-based full-service wealth management, financial services and investment banking firm, announced Wednesday the opening of its new branch office in the Federal Hill neighborhood of Baltimore at 145 W. [read post]
24 Mar 2020, 12:43 pm
The speed at which the COVID-19 situation is evolving means that financial services firms are having to work rapidly to ensure that their business services can continue to operate. [read post]
1 Jun 2022, 7:58 am
Sustainable finance regulation continues to be high on the agenda of asset managers and in this 20 minute webinar our financial services team provides an overview of existing UK rules and guidance in this area, as well as the broader policy direction. [read post]
10 Jul 2008, 8:58 pm
a2a_linkname="A Management Flaw - and Financials Disasters That Shouldn't Have Happened";a2a_linkurl="http://www.josephkershenbaum.com/2008/07/17/a-management-flaw-and-financials-disasters-that-shouldnt-have-happened/"; [read post]
13 Jul 2023, 8:18 am
The post Were You A Victim Of Investment Fraud By Philip Riposo At United Planners’ Financial Services Of America? [read post]
27 Mar 2014, 6:19 am
Editor's Note: The following post comes to us from Dan Ryan, Chairman of the Financial Services Regulatory Practice at PricewaterhouseCoopers LLP, and is based on a PwC publication. [read post]
28 Jan 2021, 8:00 am
Countrywide Pre-Paid Legal Services provides this benefit, and it includes a simple will option. [read post]
