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26 Feb 2007, 10:28 am
The international financial services firm of Morgan Stanley and French luxury goods leader LVMH announced an out-of-court settlement of a lengthy legal dispute over allegations that Morgan Stanley issued financial analysis reports which were biased against LVMH. [read post]
8 Feb 2012, 6:40 am
On December 23, 2011, the FRB issued an order (the “Order”) explaining its reasons for approving the acquisition of RBC Bank (USA) (“RBC Bank”) by The PNC Financial Services Group, Inc. [read post]
22 Feb 2022, 5:55 am
Contact the Authorities and Emergency Services Contact the authorities and emergency service providers as soon as you can. [read post]
30 Nov 2023, 9:03 am
On 30 November 2023, the FCA published the latest edition of the Regulatory Initiatives Grid from the Financial Services Regulatory Initiatives Forum. [read post]
30 Jul 2024, 3:52 am
Help financial services firms to succeed. [read post]
28 Aug 2018, 8:15 am
In case you may have missed any key Brexit updates during the summer: European Union (Withdrawal) Act European Withdrawal Bill becomes law HMT paper on financial services legislation under the EU (Withdrawal) Act First SI made under the European Union (Withdrawal) Act 2018 Draft UK statutory instruments Financial Regulators’ Powers (Technical Standards) (Amendment etc) (EU Exit) Regulations 2018: Brexit SI Draft Building Societies Legislation (Amendment) (EU Exit)… [read post]
5 Sep 2018, 1:23 pm
His previous employers include UBS Financial Services Inc. [read post]
20 Sep 2017, 6:03 am
Norton Rose Fulbright New York office’s next financial services briefing is a luncheon seminar set for Thursday, October 5, 2017, at 12:00-1:00 PM EDT. [read post]
8 Jul 2010, 12:00 pm
A colloquy between House Financial Services Chair Barney Frank and Rep. [read post]
20 Aug 2014, 2:14 pm
MishkinThe Financial Services Roundtable has launched as multimedia campaign to challenge the CFPB’s proposal to expand the consumer complaint data that it publicly discloses to include complaint narratives. [read post]
9 Nov 2023, 9:49 am
The PSR has powers under Part 5 of the Financial Services (Banking Reform) Act 2013 (FSBRA) to regulate payment systems designated by HM Treasury. [read post]
5 Apr 2018, 11:22 am
Norton Rose Fulbright New York office’s next financial services briefing is a luncheon seminar set for Tuesday, April 17, 2018, at 12:00-1:00 PM EDT. [read post]
8 Apr 2008, 9:00 am
According to InvestmentNews, five brokers at the center of the collapse of Brookstreet Securities Corp. have filed a $36 million arbitration complaint against Brookstreet's former clearing firm, National Financial Services LLC, alleging that hundreds of millions of dollars that clients lost in highly leveraged collateralized mortgage obligations were directly attributable to National Financial Services'wrongful conduct.According to the article, the… [read post]
19 May 2024, 7:02 pm
Our Broker Fraud Lawyer Are Representing This Claimant and Others Against UBS Financial Services The Shepherd Smith Edwards and Kantas Broker Fraud Lawyer Team (investorlawyers.com) is representing another investor in their UBS Yield Enhancement Strategy (YES) loss lawsuit against UBS Financial Services. [read post]
4 Apr 2022, 1:44 pm
UBS Financial Services of Puerto Rico, et al. [read post]
3 Sep 2020, 8:55 pm
On 2 September 2020, there was published on legislation.gov.uk The Bank of England and Financial Services Act 2016 (Commencement No. 6 and Transitional Provisions) (Amendment) Regulations 2020. [read post]
15 May 2017, 1:00 pm
The New York Department of Financial Services (DFS) announced last week that it is migrating the administration of its non-mortgage related licenses to the Nationwide Multistate Licensing System (NMLS), joining more than 60 other state financial services regulatory agencies that already administer their non-mortgage licenses via the NMLS. [read post]
22 Mar 2022, 10:25 am
What’s on the regulatory horizon for financial services firms? [read post]
15 Aug 2019, 7:50 am
The Norton Rose Fulbright LLP financial services team invite you to their latest breakfast briefings. [read post]
25 Jan 2019, 1:16 pm
(CRD #13318) of Huntsville, AL, Raymond James Financial Services, Inc. [read post]
