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9 May 2010, 2:05 pm
Under the new laws, traditional trustee company services provided by licensed trustee companies will now be regarded as financial services under Chapter 7 of the Corporations Act 2001 and Part 2, Division 2 of the Australian Securities and Investments Commission Act 2001. [read post]
30 Apr 2014, 7:04 am
Yesterday, Will Wade-Gery (who is managing the study for the CFPB) spoke at the 19th Annual Consumer Financial Services Institute (which I co-chair) in Chicago. [read post]
9 Apr 2021, 2:49 pm
These are just a few of the changes financial institutions have launched — or dramatically boosted — since COVID-19 made in-person banking a fond memory. [read post]
5 Nov 2020, 3:40 pm
In response to the recommendations stemming from the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry, ASIC noted in 2019 to 2020, there was: An 11 per cent increase in the number of investigations. [read post]
4 Oct 2020, 12:46 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) Hannes was employed by his prior employer Woodbury Financial Services, Inc. [read post]
20 Apr 2020, 1:59 pm
By Chuck Talley and Gabe Silva On April 16, 2020, the Offshore Marine Service Association (OMSA) issued a memorandum providing guidance for the protection of maritime personnel on vessels during the COVID-19 pandemic. [read post]
12 Nov 2012, 9:14 am
The protections provided to those utilizing mainstream financial services do not extend, however, to people using alternative financial services (AFS). [read post]
19 Jun 2007, 11:10 pm
"Many businesses, especially in the heavily regulated financial services industry, are still running legacy email archiving products that were installed to meet regulations five years ago or longer," said Eric Goodwin, CEO, Fortiva, Inc. [read post]
29 Apr 2010, 11:28 pm
We are excited about extending the range of affordable services to include Ancillary Relief at a fixed price, which will provide clients with a professional legal service and peace of mind about the costs. [read post]
22 Feb 2009, 6:16 am
Although "stress testing" is a term of art in the financial services and risk management realm and is an element of the risk-based approach taken by Basel II, the sense in which it will be applied by Treasury is unclear. [read post]
25 Sep 2023, 3:02 am
Since the Chancellor’s announcement the Government has published various papers and the Financial Services and Markets Act 2023 which provides for the review, repeal, reform and replacement of EU-derived financial services legislation has been published. [read post]
23 Sep 2015, 6:40 am
Belenis of KMS Financial Services, Inc., based out of Davis, CA. and previously of Raymond James Financial. [read post]
24 Aug 2009, 9:40 pm
Our legal referral service is absolutely free! [read post]
24 Nov 2020, 9:30 am
He was previously employed by Ameriprise Advisor Services, Inc. [read post]
10 Nov 2022, 5:19 am
Author information: James Ritter is a digital consultant with a particular interest in financial services and has advocated for content about digital equality. [read post]
25 Jan 2011, 3:49 pm
There are many tax resolution firms that try to rip off their clients but we understand that our clients are already facing financial problems. [read post]
13 Mar 2009, 3:21 am
I was donating my time entirely free of charge but the Legal Services Commission's expectations were wholly unreasonable. [read post]
12 Mar 2015, 6:45 am
From July 2008 until December 2009, Fackrell was registered with SunTrust Investment Services, Inc. [read post]
13 Jun 2012, 12:29 pm
Nelson is a senior associate in the Financial Services Regulatory Group at Reed Smith LLP, resident in the Princeton and New York offices. [read post]
11 Jan 2021, 4:05 am
As a result, UK financial institutions in the banking and insurance sectors can no longer benefit from the freedom of services (FoS) and/or freedom of establishment (FoE) regimes in accordance with their passporting permissions to offer and provide their services in France. [read post]
