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14 Mar 2014, 12:24 pm
Q: We are a self managed association and members often ask for copies of records such as financial data and minutes of meetings. [read post]
18 Feb 2022, 7:52 pm
One of Prodigy’s bulletin boards was called Money Talk, a popular forum where members would post and discuss financial matters. [read post]
31 Mar 2014, 8:07 am
Olander (Olander) of Centaurus Financial, Inc. [read post]
5 Aug 2020, 3:55 am
While complicated, the process of obtaining your correct service rating can bring about significant financial security for you and your family. [read post]
20 Nov 2007, 12:05 pm
From 12 December 2007, businesses which deliver services outlined under the Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (including financial services), need to have in place an anti-money laundering and counter-terrorism financing program. [read post]
30 Jan 2014, 7:22 am
KPMG is one of the largest public services companies in the world, and financial auditing is one of the services they provide. [read post]
30 Jan 2019, 4:03 am
The decision states that Annex IX (Financial Services) to the EEA Agreement should be amended to incorporate the Central Securities Depositories Regulation in accordance with the draft decision of the EEA Joint Committee that is attached to the Council decision. [read post]
13 Apr 2007, 9:55 am
This is a class action against a financial services firm. [read post]
12 May 2020, 8:29 am
Issues affecting asset and fund managers – part 3: fundraising and investor risks Over the coming weeks, partners and members of our financial services team will be sharing with clients and contacts a series of video diaries setting out their views on the latest developments in respect of COVID 19 impacts in the various areas of financial services. [read post]
31 Mar 2009, 3:00 am
Carter Phillips of Sidley Austin in Washington will argue for FBL Financial Services. [read post]
9 May 2012, 6:25 am
Members also provide audit, tax, retirement consulting, plan administration and financial planning services to their clients. [read post]
21 Jan 2017, 6:51 am
According to the Bureau, the upcoming workshop will examine the intersection of competition, innovation and regulation in Canada’s financial services sector. [read post]
22 Jan 2018, 1:27 pm
As DFS continues to implement its landmark cybersecurity regulation, we will take proactive steps to protect our financial services industry from cyber criminals. [read post]
19 Sep 2016, 11:43 am
Elements of particular interest to financial services practitioners include: The Commission will support the co-legislators in reaching an agreement by the end of 2016 on the modernization of the prospectus rules; The Commission calls on both the European Parliament and the European Council to finalize the Regulation amending the European Social Entrepreneurship Funds Regulation (Regulation 346/2013) (EuSEF Regulation) and the European Venture Capital Funds Regulation (Regulation… [read post]
25 Apr 2017, 9:31 am
Our webinar and video series provides you with insight into the practical compliance challenges facing financial services providers today. [read post]
24 Apr 2012, 10:48 am
- Posted by Janet Phipps Burkhead On April 13, 2012, the Consumer Financial Protection Bureau (“CFPB”) issued a bulletin advising of its expectations for oversight of business relationships with service providers, as defined in Section 1002(26) of the Dodd-Frank Act. [read post]
7 Dec 2009, 7:30 pm
It is therefore fitting that Weyhrauch arises from the most prominent public corruption investigation in recent memory: the investigation by the Department of Justice of financial ties between VECO (an Alaskan oil services company) and several Alaskan legislators, including Senator Ted Stevens. [read post]
29 Nov 2016, 9:00 am
The CFPB is warning financial services companies to carefully evaluate their employee incentive programs. [read post]
31 Aug 2009, 12:05 am
The second conviction stems from Khan's losing his temper at a civil court judge presiding over a financial management hearing. [read post]
9 Jul 2009, 7:32 am
The Obama administration has asked Congress to create a Consumer Financial Protection Agency that would increase access to financial services markets while protecting consumers from unfair and deceptive practices. [read post]
