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16 Nov 2016, 9:32 am
Johnson has experience in both internal and external audit services for financial institutions ranging from $1.7 million to ... [read post]
18 Jan 2023, 10:00 pm
Artificial intelligence (AI) is transforming the global financial services industry, including by helping financial institutions offer innovative new products, increase revenue through efficiencies, and improve customer service. [read post]
30 Dec 2009, 6:14 am
A recent enforcement action by the Securities and Exchange Commission (SEC) clearly sends the message that branch managers at financial services firms must be vigilant in supervising their financial advisers in order to protect investors. [read post]
27 Oct 2008, 3:19 am
For the last 3-4 weeks, the only topic more popular than Tina Fey’s amazing resemblance to Sarah Palin has been the implosion of the global financial system that has unfolded. [read post]
15 May 2008, 8:36 pm
Their disclaimer says: “United First Financial, its agents and subsidiaries provide Internet web based software and support services. [read post]
14 Jul 2024, 6:26 am
European Parliament Adopts Landmark Rules for Digital Services Assisted by GAI and LLM Technologies Additional Reading Prudential Financial’s Data Breach Impact Soars to Over 2.5 Million Customers Evolve Bank Cyberattack Exposes Sensitive Data, Impacts Fintech Partners Wise and Affirm Source: ComplexDiscovery OÜ The post Digital Services Act Enforcement Heats Up: X Faces Preliminary Findings appeared first on ComplexDiscovery. [read post]
10 Feb 2020, 7:37 am
Moreover, his registration with IBN Financial Services Inc. has been annulled as of April 2015. [read post]
26 Jun 2009, 8:20 am
Franklin First Financial, Ltd, a federal judge has granted conditional certification to a FLSA collective action alleging Franklin First Financial Ltd. failed to pay overtime to a class of loan officers. [read post]
19 Aug 2013, 9:52 am
Ametros Financial has partnered with Ringler Medicare Solutions to offer professional administration services to expand the Medicare Set Aside, Medical Cost Projection, and Life Care Planning services, with the main purpose being to control costs related to a settlement. [read post]
15 Sep 2014, 2:10 pm
According to OFAC guidance, the Directive 4 prohibition does not apply to the provision of financial services, such as clearing transactions or providing insurance. [read post]
28 Aug 2012, 3:08 pm
Nelson is a senior associate in the Financial Services Regulatory Group at Reed Smith LLP, resident in the Princeton and Washington, D.C. offices, and a co-leader of the firm’s Financial Institutions Enforcement & Investigations Task Force. [read post]
17 Oct 2014, 6:25 am
Asks what’s wrong with legal services? [read post]
24 Feb 2023, 3:51 am
To submit recommendations for consideration and inclusion in ComplexDiscovery’s cyber, data, and legal discovery-centric service, product, or research announcements, contact us today. [read post]
29 Jun 2022, 12:48 pm
“Providing a program that will offer them no-cost legal help will ease their stress and financial burdens and serve as a reminder of our appreciation of their commitment and service to our great nation,” Bucco continued. [read post]
5 Mar 2019, 2:56 am
These Regulations name the single financial guidance body the ‘Money and Pensions Service’ (MAPS) and will make consequential amendments to legislation to reflect the new body’s name and functions. [read post]
18 Oct 2021, 6:52 am
(Collier), currently employed by Raymond James Financial Services, Inc. [read post]
29 Aug 2022, 6:49 am
(American Portfolios Financial Services) has been subject to at least three customer complaints during the course of his career. [read post]
9 Mar 2018, 7:18 am
The draft Regulation applies to those crowdfunding services entailing a financial return for investors. [read post]
18 Mar 2011, 8:20 am
How's this for contrasting interpretations: the AGs' proposed mortgage servicing settlement is being termed both a "shakedown" (WSJ editorial page) and a "bailout. [read post]
21 Apr 2017, 3:03 am
The House Financial Services Committee will hold a hearing on the bill next Wednesday… A Few New Cover Pages For You… Recently, the SEC changed the cover pages for most ’33 Act & ’34 Act forms by adding a box relating to “emerging growth companies. [read post]
