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21 Sep 2016, 5:00 am
Negotiating the Financial Adviser’s Fees The various fees that your financial adviser will be paid should, again, be based on the services that it is providing your company throughout the deal, and these fees will be the product of a negotiation between you, your representatives, and the financial adviser. [read post]
17 Aug 2023, 7:11 am
Finally, the bulletin states that investors should consider it a red flag if an entity portrays non-audit services, such as proof of reserves reports, as equivalent, or superior, to audits meeting PCAOB standards. [read post]
18 Sep 2018, 4:15 am
Wachtell teams up with Slaughters to advise US financial services giant [read post]
29 Mar 2017, 4:56 am
Former financial services commissioner Jonathan Hill joins firm as senior adviser [read post]
30 Oct 2009, 8:35 am
Larry Cunningham offers a roundup of the coming flood of financial services regulation. [read post]
8 Jun 2018, 5:55 am
The main theme of the speech is regulation and supervision of financial services work best when done consistently and in a spirit of close cooperation. [read post]
21 Sep 2016, 5:00 am
Negotiating the Financial Adviser’s Fees The various fees that your financial adviser will be paid should, again, be based on the services that it is providing your company throughout the deal, and these fees will be the product of a negotiation between you, your representatives, and the financial adviser. [read post]
1 Feb 2019, 4:50 am
Under Section 223(1) of the Financial Services and Markets Act 2000, the FCA and the PRA must set an annual limit for the total management expenses which the FSCS can levy on financial services firms. [read post]
19 Jan 2010, 12:16 am
The Minister for Financial Services, Superannuation and Corporate Law has released an exposure draft of the Financial Sector Legislation Amendment (Prudential Refinements and Other Measures) Bill 2010, with explanatory material for public consultation. [read post]
5 Apr 2013, 11:32 am
SIFMA, the Investment Company Institute, the Chamber of Commerce and the Financial Services Roundtable noted that the proposed Directive has substantial extraterritorial impact and introduces both a residency and issuance test for the taxation of financial transactions. [read post]
30 Aug 2017, 4:00 am
We are extremely grateful to the Law Society of BC, the Law Foundation of BC, Courthouse Libraries of BC, CBABC and Mediate BC for their ongoing support (financial and otherwise) of this initiative and to the many other stakeholders who have stepped up to champion unbundling. [read post]
11 Nov 2009, 7:40 am
As expected, Senator Dodd introduced a comprehensive bill for revising the regulatory system for the U.S. financial services industry. [read post]
19 May 2013, 9:38 am
I strongly encourage consumers who feel they have a complaint about a financial product or service to submit a complaint. [read post]
18 Jun 2019, 7:23 am
Whistleblower programs are “an important check on a firm’s compliance,” according to a survey of nearly 200 “financial services executives. [read post]
21 Jan 2021, 3:03 am
Technology services companies (17%) were the most commonly charged industry. [read post]
9 Jun 2008, 6:05 pm
The New York Times published a very interesting story about Joseph Ripp, the former AOL CFO who went from being a whistleblower, to finding himself with civil charges of financial fraud. [read post]
30 Apr 2012, 6:04 am
” The CFPB seeks comments by June 23, 2012, regarding the prevalence of arbitration clauses in consumer financial products and services; the types of claims brought by and against consumers in the financial services context; the effects on consumers and financial services companies of actual arbitrations; and how arbitration clauses affect consumers and financial services companies outside of arbitration. [read post]
17 Jul 2019, 10:03 am
Sitting down with us to learn more about your potential claim is a lot like financial planning. [read post]
7 Sep 2015, 9:00 am
The post Pros and Cons of Professional Debt Relief Services appeared first on DCDM Law. [read post]
28 Feb 2019, 3:23 am
In this issue we cover: UK and European overview Brexit: Financial Services Contracts Regime Brexit: EU Level 3 measures London financial services team client briefing: buy-side focus FCA Asset Management Market Study: FCA tightens the rules further VAT: Apportionment of a single supply between exempt and non-exempt activities Ireland update France: Spot controls by the Autorité des marchés financiers EU/UK regulatory roundup Australia:… [read post]
