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3 Sep 2020, 8:57 pm
ASIC released guidance on 25 August 2020 to assist innovative financial businesses to test their products and services under the ERS, which replaces ASIC’s sandbox created in December 2016. [read post]
7 Sep 2015, 7:37 am
The purpose of the information letter (IL) is to inform Home and Community-based Services (HCS) and Texas Home Living (TxHmL) program providers, local intellectual and developmental disability authorities (LIDDAs) and Financial Management Services Agencies (FMSAs) about changes related to providing transportation to an individual in the HCS or TxHmL Program. [read post]
13 Aug 2015, 11:17 am
From the Desk of Jim Eccleston at Eccleston Law LLC: Original post can be found here.MetLife Inc. and LPL Financial, two large financial services firms, have entered a heated dispute over the poaching of 60 brokers. [read post]
20 Dec 2019, 9:06 am
On an international level, the Financial Stability Board published two reports on financial stability risks stemming from BigTechs and cloud services providers in December 2019. [read post]
11 May 2022, 12:13 am
APRA also launched the second phase of its project deepening the collection of superannuation data from across the industry, issued a letter with its initial risk management expectations and policy roadmap for crypto-assets, published updated FAQs on the Financial Claims Scheme for general insurance, issued a letter to general insurers proposing amendments to the prudential framework to support the Government’s cyclone and cyclone related flood damage reinsurance pool and… [read post]
25 Oct 2012, 8:56 am
The speakers are Gene Berger (Manager of Financial Planning & Analysis, Dechert), David B. [read post]
26 Dec 2007, 12:39 am
The proposals contain an updated definition of the exempt financial and insurance services. [read post]
11 Sep 2009, 8:44 am
Nanda is asking them about the impact of the financial crisis on the marketplace for global legal services. [read post]
New York Department of Financial Services Previews Rigorous Cybersecurity Rules for Financial Sector
19 Nov 2015, 12:17 pm
On November 9, 2015, Anthony Albanese, Acting Superintendent of the New York State Department of Financial Services (NYDFS), issued a letter to a wide array of federal and state financial services regulators that are part of the Financial and Banking Information Infrastructure Committee (FBIIC). [read post]
30 May 2012, 6:22 am
Systematic indicators of the use of different financial services had been lacking for most economies. [read post]
15 Jan 2021, 8:54 pm
On 13 January 2021, the Financial Markets Law Committee (FMLC) published a letter it had sent to HM Treasury concerning the Financial Services Bill (Bill). [read post]
16 Sep 2012, 7:46 pm
Those banks, asset managers and other types of financial services firms that put internal controls in place and regularly measure and monitor their exposures are in a much better position to attract and retain new clients. [read post]
31 Aug 2023, 4:51 am
The company specializes in a range of services, including attorney engagements, secondment, staff augmentation, managed review, project management, legal operations, contract management, and regulatory compliance. [read post]
2 Nov 2010, 11:55 am
According to the legislation, these requirements apply to the following service providers: • financial institutions; • investment banking firms; • mortgage banking firms; • asset management firms; • brokers; • dealers; • financial services entities; • underwriters; • accountants; • investment consultants; and • providers of legal services. [read post]
6 Oct 2020, 8:00 am
We center our services on a nationwide network of certified counselors experienced in dealing with ordinary financial situations. [read post]
30 Apr 2019, 5:00 am
Maller Wealth Advisors, a full-service financial planning and investment management company, named Brian Zabora director of financial planning and investment management. [read post]
21 Jul 2022, 9:00 am
The Financial Services and Markets Bill (FSM Bill) provides for a proposed statutory framework for managing systemic risks posed by third parties designated as CTPs by HM Treasury. [read post]
9 May 2016, 10:30 am
The position reports to Cindy Foster, VP and Ombudsperson, and provides confidential, neutral, and informal dispute resolution services to FINRA constituents. [read post]
26 Jan 2018, 9:41 am
With effect from July 2016 the German legislator has introduced a regulation to protect whistleblowers within the financial services sector, i.e. companies under the supervision of the German Federal Financial Supervisory Authority (BaFin). [read post]
4 Oct 2012, 12:57 pm
As a matter of fact, each member of our customer service team is a Certified Personal Financial Counselor®, which insures that they have been trained and tested in counseling skills and the fundamentals of personal financial management. [read post]
