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12 Oct 2016, 9:49 am
According to the Complaint, Weatherford issued false financial statements between 2007-2012 inflating earnings by more than $900 million. [read post]
17 Mar 2017, 12:14 pm
Or manage that person’s financial assets? [read post]
11 Apr 2017, 3:27 am
The Board affirmed a refusal to register the mark shown below left [INVESTMENTS disclaimed], for various financial and brokerage services, finding the mark likely to cause confusion with the registered mark shown below left, for overlapping financial services. [read post]
1 Jun 2023, 8:30 am
Introduction Crypto-asset service providers (CASPs), as well as other credit and financial institutions, are exposed to ML/TF risks. [read post]
7 Nov 2023, 9:01 pm
For example, when providing services to banks or other regulated financial institutions, non-bank financial institutions may be subject to certain data breach notification requirements imposed on bank service providers by banking regulators that incorporate different standards as to when notification is required. [read post]
1 Apr 2021, 7:32 am
Booth Broker Investigation) Former financial advisor James Booth of Norwalk, Connecticut, was charged with an alleged multi-million dollar Ponzi scheme through his financial services firm, Booth Financial Services in June 219. [read post]
17 Feb 2010, 11:23 am
FINRA, Financial Industry Regulatory Authority announced that it was fining H&R Block Financial Advisors, Inc. [read post]
17 Feb 2010, 11:23 am
FINRA, Financial Industry Regulatory Authority announced that it was fining H&R Block Financial Advisors, Inc. [read post]
1 May 2024, 6:47 am
The affected individuals were offered 2 years of complimentary credit monitoring services. [read post]
14 Jul 2010, 5:01 pm
House of Representatives passes the Wall Street Reform and Consumer Protection Act (HR 4173) to restructure the financial services regulatory system.May 20, 2010: The U.S. [read post]
28 Jun 2022, 9:05 pm
Congressional Research Service Sterngold, B.J., 2015. [read post]
23 Jan 2011, 10:18 am
Treasury officials stated that the Bureau of the Public Debt’s Administrative Resource Center (ARC) will provide the Bureau with financial management services to ensure that financial systems and processes comply with federal laws and regulations. [read post]
23 Jun 2023, 12:46 pm
On June 21, 2023, the American Financial Services Association (“AFSA”) asked the House Appropriations Committee to include language in the Financial Services and General Government appropriations bill that would prevent the Federal Trade Commission (“FTC”) from finalizing or implementing the Motor Vehicle Dealers Trade Regulation Rule (the “Proposed Rule”). [read post]
23 Dec 2010, 8:22 am
A single financial holding company may hold multiple such firms. . . . [read post]
18 May 2008, 5:08 am
An organization in Australia called Consumer Credit Legal Service prepared a report on “debt reduction plans” which are what United First Financial has based their program on. [read post]
15 Dec 2013, 5:45 pm
Because “soft law” is almost by definition non-binding and unenforceable, it cannot control a financial services industry that wishes to pursue highly profitable, higher risk strategies. [read post]
13 May 2011, 7:59 am
Stocks, bonds and other financial assets represent less than one-third of their assets. [read post]
2 Mar 2022, 9:32 am
Among other things the announcement mentions that the deal strengthens the UK and Singapore’s relationship for financial services by ensuring data can flow freely without unjustified barriers and enhanced cooperation for innovative financial services. [read post]
22 Oct 2021, 8:50 pm
The Regulations specify that section 31 of the Financial Services Act 2021 comes into force 1 November 2021. [read post]
20 Jun 2009, 7:25 pm
FBL Financial Services, Inc. has been hailed by the news media and some commentators as effecting a significant change in the law which makes it "much harder" to prove age discrimination. [read post]
