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2 Oct 2021, 7:52 am
Testimony Before the United States House of Representatives Committee on Financial Services by SEC Chair Gary Genslerhttps://www.sec.gov/news/testimony/gensler-2021-10-05Good afternoon, Chairwoman Waters, Ranking Member McHenry, and members of the Committee. [read post]
28 Sep 2021, 7:45 am
The CCFPL makes it unlawful for a covered person to engage in any unlawful, unfair, deceptive, or abusive act or practice with respect to consumer financial services or products or to offer or provide a consumer financial product or service not it conformity with any consumer financial law. [read post]
6 Jun 2021, 1:02 pm
But one definite upside to the founding of new cannabis delivery services is the potential for smaller firms to gain hold due to reduced financial barriers – something that could allow more minorities to enter the market. [read post]
17 Nov 2020, 11:56 am
Dustin Blount, MML Investors Services Advisor, Vicksburg, MS Former financial advisor and insurance agent Dustin Blount is reportedly the subject of pending criminal charges in Jackson, Mississippi. [read post]
13 Aug 2019, 8:00 am
Countrywide Pre-Paid Legal Services knows how medical bills harm financial wellness. [read post]
23 Aug 2016, 10:37 am
One couple, who paid fees to the consulting company and the law firm and eventually lost their home in a foreclosure, lodged a Complaint with Commissioner of Financial Regulation. [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]
3 Apr 2023, 11:40 am
SurePoint, a company that provides practice management, financial and client relationship products for mid-sized law firms, today announced the appointment of a new CEO, Eric Thurston, a veteran business-transformation leader with more than two decades of experience scaling and leading high-growth software and services companies across several verticals, including legal. [read post]
10 Jul 2017, 1:22 am
No changes to existing financial services licenses. [read post]
31 Jan 2022, 11:41 am
“Financial services firms are not government actors and, as such, the First Amendment is not implicated in this situation. [read post]
26 Apr 2021, 7:14 am
On April 5, the Consumer Financial Protection Bureau (CFPB) proposed rule changes intended to prevent avoidable foreclosures as emergency federal foreclosure protections put in place due to the global pandemic expire. [read post]
6 Mar 2011, 12:32 pm
The Financial Conduct Authority will regulate financial firms across the entire spectrum of financial services. [read post]
18 Mar 2022, 12:34 pm
These calls were alleged to have been made with the goal of selling credit and debit card payment processing services and hardware offered by the defendants. [read post]
27 Jan 2011, 11:36 am
Dodd-Frank defines a financial product or service to include financial advisory services to consumers on individual financial matters, with the exception of advisory services related to securities provided by a person regulated by the SEC or a state securities commission to the extent that such person acts in a regulated capacity. [read post]
13 May 2019, 7:12 pm
AI has the potential to help break down barriers and make it easier for entrepreneurs, aspiring homeowners, and consumers to interact with banks and utilize financial services, but it is crucial that the application of AI to financial services contributes to an economy that is fair for all Americans. [read post]
22 Mar 2012, 8:25 am
According to the reports, Rivera is a former financial advisor of Morgan Stanley Smith Barney who worked at the firm’s Paramus office from October 2008 to October 2010, providing private wealth management services to clients and managing their investment accounts. [read post]
24 Sep 2020, 1:52 pm
The CFPB recently announced that it has entered into a consent order with Lobel Financial Corporation, a company that purchases and services retail installment sales contracts (RISC) originated by subprime auto dealers, to settle the Bureau’s claims that Lobel engaged in unfair practices in connection with a product referred to as Loss Damage Waiver (LDW). [read post]
15 Jan 2019, 6:39 am
Under the EUWA 2018 HM Treasury has published, among other things, two draft statutory instruments relevant to the FSCR: The Financial Services Contracts (Transitional and Saving Provision) (EU Exit) Regulations. [read post]
11 Sep 2010, 9:05 pm
In respect of financial services regulatory issues, Penny Wong becomes the Minister for Finance and Deregulation and Bill Shorten is the Assistant Treasurer, Minister for Financial Services and Superannuation. [read post]
12 Mar 2019, 5:51 am
The decision provides that Annex IX (Financial Services) to the EEA Agreement should be amended to incorporate the MCD. [read post]
