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7 Dec 2022, 9:49 am
The second set tackles the issues of effective management of ML/TF risks by financial institutions when providing access to financial services. [read post]
10 Nov 2021, 10:53 pm
The Code of Conduct for Authorised Financial Services Providers and Representative’s requires a financial services provider at all times to render financial services honestly, fairly, with due skill and diligence in the interest of client and the integrity of the financial services industry. [read post]
12 Dec 2010, 11:45 pm
However, they now say that the 2007 deleveraging proved insufficient to solve their financial woes as demand for the companies' services has continued to decline since emergence from those cases. [read post]
9 Jul 2010, 10:03 am
Call for Papers Announcement AALS Section on Financial Institutions and Consumer Financial Protection Beyond Financial Reform: Mapping Regulatory Objectives, Institutional Forms, and Accountability in the Post-Crisis Landscape Friday, January 7, 4–5:45 pm 2011 AALS Annual Meeting San Francisco, California The AALS Section on Financial Institutions and Consumer Financial Services will hold a panel presentation of… [read post]
26 Jan 2017, 5:00 am
A comprehensive look at the cumulative regulatory burden is needed to determine where reform or repeal is appropriate, he said.The letter was sent to President Trump, SEC and CFTC commissioners, and leaders of the House and Senate Agriculture, Senate Banking, and House Financial Services committees.Wholesale review of regulation. [read post]
25 Apr 2014, 6:30 am
The other ther firms included Ameriprise Financial Inc., Lincoln National, Commonwealth Financial Network, Royal Alliance Associates, and Securities America. [read post]
19 Feb 2020, 4:26 pm
One of the primary purposes of the FSOC, established pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act, and composed of federal and state financial services agencies (financial regulators), was: “to identify risks to the financial stability of the United States that could arise from the material financial distress or failure, or ongoing activities, of large, interconnected bank holding companies or nonbank financial… [read post]
20 Dec 2023, 9:42 pm
What Are The Legal Options For Latin American Investors Who Suffered Losses in Northstar Financial Services (Bermuda)? [read post]
16 Jun 2009, 5:39 am
However, Chairman Frank and other Financial Services Democrats (who have already been active on the issue of financial regulation, as discussed here and here) have been quick to indicate that what the White House sends them will not automatically be what is included in their final legislation. [read post]
2 Apr 2020, 7:08 am
These announcements set some important pointers to the financial services industry and we expect further communications from the FCA on these specific areas. [read post]
16 Jan 2015, 5:57 am
After all, a cop’s years of good service matter enormously, while others’ years of good service are dismissed out of hand. [read post]
31 May 2011, 4:21 am
Isabel Verlinden, Eric Bonneaud, Ionut Simion, Hugo Vollebregt and Jonas Van de Gucht, PricewaterhouseCoopersDuring the ECOFIN meeting held in Brussels on May 17, 2011, the EU Economic and Financial Affairs Council has endorsed the Guidelines drafted by the EU Joint Transfer Pricing Forum (‘JTPF’) on low value adding intra group services (‘Guidelines’). [read post]
8 Apr 2013, 9:34 am
Alan S. [read post]
28 Jun 2024, 6:34 am
In the first episode of our podcast series, Risks Redefined, brought to you by the Risk Advisory team, Hannah Meakin and Haney Saadah discuss the upcoming UK general election and what this will mean for firms with regards to compliance, in both the lead up to the election and the implications of the various potential outcomes. [read post]
27 Sep 2016, 2:42 pm
Details available here. [read post]
2 Jan 2019, 10:49 am
The CFPB and the federal banking agencies—the FDIC, Fed, and OCC— remain open during the government shutdown as their funding does not come from congressional appropriations. [read post]
1 Nov 2023, 9:02 am
On October 29, the Biden Administration issued a broad Executive Order (Order) on artificial intelligence (AI). [read post]
5 Apr 2017, 2:32 am
On appeal from: [2015] EWCA Civ 832 This appeal considered, under the ‘partial exempt special method’ agreed by the parties (‘PESM’), what a fair and reasonable apportionment is of residual input tax on costs incurred by VWFS in its retail sector in relation to general overheads in respect of hire purchase transactions which include a mixture of VAT taxable and VAT exempt supply (taxable supply of the vehicle being finance and exempt supply of finance for that… [read post]
16 May 2014, 2:04 pm
The testimony is available here. [read post]
20 Aug 2021, 5:31 am
Real property — Deed of trust — Enforceability For more than a decade, Valedia Gross has been arguing that a deed of trust encumbering her property and its associated note are unenforceable. [read post]
