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6 Feb 2008, 12:31 pm
Financial Services Event: The Securities Industry and Finance Markets Association (SIFMA) is hosting a half-day patent law symposium for the financial industry on March 11 in New York City. [read post]
1 Oct 2009, 1:45 pm
Securities and Exchange Commission's (SEC) power and budget, require private advisers to hedge funds to register with the SEC, and create a Federal Insurance Office to assist policy makers in analyzing the insurance industry, according to today's press release by the House Financial Services Committee's Capital Markets Subcommittee Chairman Paul Kanjorski. [read post]
10 Sep 2013, 11:32 am
On September 5, the Joint Committee of the European Supervisory Authorities (ESAs) published its second twice yearly report on the vulnerabilities of the financial system of the EU. [read post]
23 Apr 2009, 7:27 am
Press release from The House Financial Services Committee: “The House Financial Services Committee today approved legislation that would provide credit card customers crucial protections against unfair, deceptive, and anti-competitive credit card practices, which include double-cycle billing, due-date gimmicks, and retroactive interest rate hikes. [read post]
2 Oct 2018, 5:44 am
According to FINRA Disciplinary actions for September 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Heath Bowen Allegis Investment Services, LLC Signator Financial Services, Inc William Eaton LPL Financial, LLC Wells Fargo Advisors, LLC Yosef Fox Ditto Trade, Inc … [read post]
11 Jun 2019, 4:22 am
Key takeaways from the communique as regards financial services include: G20 members should consider assisting financial institutions to make any needed adjustments to their business models and services in light of an ageing population globally; the G20 reiterates the importance of joint efforts undertaken by borrowers and creditors, both official and private, to improve debt transparency and secure debt sustainability; the G20 remain committed to the… [read post]
13 Jun 2024, 6:32 am
It would allow the citizen to ask or answer questions regarding their intent to be a financial supporter for parole applicants. [read post]
23 May 2007, 6:53 pm
Financial Services Regulation 1.2 Scope of financial services advice â€â [read post]
24 Nov 2016, 6:33 am
Ontario’s Fall 2016 Economic Statement announced that government’s intention to introduce a new financial services regulator which will be known by the acronym FSRA (Financial Services Regulatory Authority). [read post]
8 Feb 2021, 7:46 am
According to Matheson, the financial services industry is perhaps the most globally integrated of all service industries, yet it is still typically subject to regulation at the national level. [read post]
1 Dec 2014, 3:04 pm
U.S. banks should also determine whether they are providing financial services to relocated clients in countries that would either prohibit such services or require some form of notification or registration. [read post]
21 Jan 2016, 5:05 pm
But it accomplishes this in a quite interesting way--by seeking to deputize financial institutions--and their institutional organs--in the service of a rule based system that cannot be transposed into the domestic legal orders of either host or home states. [read post]
16 Feb 2023, 6:12 am
“Big Law Operating Model Threatened in Baker McKenzie Mine Case” — “A Swiss structure that lets law firms affiliate to jointly market services is facing a second legal test in less than a year that threatens the viability of the model. [read post]
15 Dec 2014, 8:01 am
Cox’s disclosures also reveal that he works for a DBA Investment and Retirement Services Group in Knoxville, TN. [read post]
9 Apr 2009, 2:25 pm
Page Perry also represents investment advisors, issuers of private securities, and others involved in the securities and financial services industry. [read post]
8 Nov 2016, 4:15 am
The rules bar discrimination on the basis of gender identity in the delivery of medical services by, among others, health facilities receiving federal financial assistance. [read post]
4 Mar 2013, 5:01 am
” Though I could not find this language in the report, I did find this proposition: “This directly addresses the previously mentioned idea that the responsibility of addressing college student financial literacy cannot just fall in the lap of a financial aid department—it is the responsibility of the entire institution, which includes student affairs, counseling and psychological services, and academic affairs. [read post]
25 Nov 2015, 9:44 am
Morgan, but of several other financial service companies and media outlets. [read post]
27 Nov 2011, 12:18 pm
LPL Financial LLC has been fined $100,000 for failing to supervise Jack Kleck, a broker who sold unsuitably risky investments to clients in their 80s, the Oregon Department of Consumer and Business Services announced on Nov. 22. [read post]
17 Nov 2020, 8:27 am
This approach forces financial institutions to accept that disruptions to business services are inevitable and need to be actively managed. [read post]
