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26 Apr 2024, 6:00 am
Those provisions, which would put New York’s financial regulatory agency, the Department of Financial Services, in charge of BNPL oversight in the state, have instead been stripped out into a separate bill, A9588, that Assemblywoman Pamela Hunter, D-Syracuse, said Monday remains very much in play. [read post]
20 Apr 2024, 9:10 am
District Court judge on Friday sentenced a former Silicon Valley tech entrepreneur to serve 1½ years in federal prison for duping investors into backing a software-as-a-service company he founded, according to authorities. [read post]
19 Apr 2024, 9:27 am
Ripple Labs Inc. [read post]
19 Apr 2024, 6:00 am
In addition, the regulators focused their attention on artificial intelligence and the use of AI by financial institutions in providing consumer financial services. . . . [read post]
18 Apr 2024, 7:37 am
Our Investment Adviser Group assists financial service providers with complex issues that arise in the course of their business, including complying with federal and state laws and rules. [read post]
18 Apr 2024, 6:26 am
Stamer’s work throughout her career has focused heavily on working with health care and managed care, life sciences, health and other employee benefit plan, insurance and financial services and other public and private organizations and their technology, data, and other service providers and advisors domestically and internationally with legal and operational compliance and risk management, performance and workforce management, regulatory and public policy and other… [read post]
17 Apr 2024, 10:19 am
The federal government also commonly requires SAFETY Act certification for its contractors. [read post]
16 Apr 2024, 8:42 am
Inc. v. [read post]
15 Apr 2024, 9:01 pm
Its business model is to provide banking services to crypto-asset companies. [read post]
15 Apr 2024, 3:00 am
Under the terms of these letters, for each of the relevant years, defendant agreed to provide “compilation services” and to prepare the local, state, and federal tax returns for the clients. [read post]
12 Apr 2024, 11:27 am
Key Investment Services LLC (KIS) and KeyBanc Capital Markets Inc. agreed to pay a $10 million penalty. [read post]
9 Apr 2024, 2:41 pm
Lyft Inc., UI Dec. [read post]
8 Apr 2024, 6:41 am
” ““An estate planning Lawyer is the President of a small non-profit social service agency with limited financial means. [read post]
5 Apr 2024, 6:00 am
American Express Co., Discover Financial Services, and Visa Inc. soon followed. . . . [read post]
3 Apr 2024, 9:03 pm
Since I gave that speech, a particularly pernicious weed has sprung up in the secret garden: Staff Accounting Bulletin (“SAB”) 121 and related guidance.[2] The Office of the Chief Accountant (“OCA”) prepared the SAB without the input of the full Commission, but, as with other SABs, staff follows SAB 121 in administering the disclosure requirements of the federal securities laws.[3] SAB 121 directs public companies that safeguard crypto assets for clients to put a… [read post]
3 Apr 2024, 9:01 pm
In the decade since we brought our first crypto enforcement actions, our approach has been consistent, principled, and tethered to the federal securities laws and legal precedent. [read post]
2 Apr 2024, 9:04 am
Attorney for the Southern District of Texas, Cardiac Imaging Inc. [read post]
29 Mar 2024, 11:30 am
, Nampa Charter School, Inc. v. [read post]
29 Mar 2024, 6:00 am
“More financial activity has moved outside the banking sector in recent years, and a lot of that activity isn’t under direct federal oversight. [read post]
29 Mar 2024, 4:00 am
It is being funded by Make America Great Again Inc., a super PAC that can raise unlimited amounts of money. [read post]
