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4 Dec 2017, 2:36 pm
The European Commission (“EC“) published on December 1, 2017 a report on the follow-up to its call for evidence on the EU regulatory framework for financial services. [read post]
20 Nov 2013, 12:04 am
The plaintiffs subsequently filed proof of service on Lin via email. [read post]
31 Mar 2017, 1:59 pm
Included in these cuts, was the Legal Services Corporation, an independent nonprofit established by Congress in 1974 to provide financial support for civil legal aid to low-income Americans. [read post]
19 Dec 2017, 6:16 am
Now, the financial press is buzzing about bitcoin and other cryptocurrencies such as ethereum and litecoin. [read post]
7 Jun 2019, 6:10 am
A more decentralised financial system may reinforce the importance of an activity-based approach to regulation, particularly where it delivers financial services that are difficult to link to specific entities and/or jurisdictions. [read post]
15 Nov 2023, 10:02 am
In the second case, a FINRA arbitration panel in Boston, Massachusetts, awarded an investor $280,000 in damages, finding that brokerage firm Ages Financial Services, LTD was liable for not properly informing the investor about the risks of GWG L Bonds. [read post]
14 Apr 2019, 1:48 pm
“State Supreme Court to hear arguments over financial liability in Parkland shooting”: Jim Saunders of the News Service of Florida has this report. [read post]
5 Oct 2018, 8:37 am
Financial services employers may wish to consider: Can our firm implement a class action waiver? [read post]
5 Oct 2018, 8:37 am
Financial services employers may wish to consider: Can our firm implement a class action waiver? [read post]
18 May 2022, 6:31 am
House Appropriations Committee, Subcommittee on Financial Services and General Government. [read post]
18 May 2022, 6:31 am
House Appropriations Committee, Subcommittee on Financial Services and General Government. [read post]
4 Sep 2015, 11:34 am
FINRA is dedicated to investor protection and market integrity through effective regulation and compliance and technology-based services. [read post]
3 Mar 2011, 9:14 am
Kobayashi, a financial advisor working in the Walnut Creek, California, office of UBS Financial Services LLC. [read post]
25 Sep 2014, 6:45 am
The Internal Revenue Service issued a fraud alert for international financial institutions complying with the Foreign Account Tax Compliance Act (FATCA). [read post]
25 May 2011, 12:59 pm
UBS Financial Services Inc. has agreed to pay $160 million to settle claims regarding their anticompetitive actions in the municipal bond market. [read post]
11 Dec 2020, 8:50 pm
On 10 December 2020, the Council of the Islamic Financial Services Board (IFSB) adopted the following new standards: IFSB-24: Guiding Principles on Investor Protection in Islamic Capital Markets. [read post]
5 May 2016, 1:47 pm
We are pleased to announce the webinar “Protecting Confidential Information and Client Relationships in the Financial Services Industry” is now available as a podcast and webinar recording. [read post]
30 Mar 2015, 12:01 pm
We are pleased to announce the webinar “Protecting Confidential Information and Client Relationships in the Financial Services Industry” is now available as a podcast and webinar recording. [read post]
18 Jul 2012, 7:07 am
In addition to the takeaways in the slides, some financial advisors have added language along the lines of the underlined last sentence below following more typical language in their engagement letters to emphasize that their financial advisory services do not include performing financial diligence on behalf of their clients: "[Financial advisor] will rely upon and assume the accuracy and completeness of all financial and other information… [read post]
20 Jan 2022, 6:23 am
The wide range of hard and soft skills you acquired through service can be transferred with great success to the private sector. [read post]
