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21 Apr 2007, 2:58 am
Representative Doolittle's wife, Julie, runs Sierra Dominion Financial Services, which was paid over... [read post]
28 Jun 2016, 1:20 pm
Reid brings more than 30 years of varied and successful financial management experience, including 20 years as the CFO and treasurer of information technology firms servicing government and commercial clients. [read post]
FSA “did not establish misconduct” from alleged CEO compliance failures, tribunal says – OUT-LAW.com
26 Apr 2012, 7:23 am
“The financial services regulator ‘did not establish its case’ that the former chief executive of a large investment bank had committed misconduct through his alleged failure to adequately supervise compliance issues. [read post]
17 Jun 2020, 5:27 pm
Sector leaders, as well as those delivering front line services, see the need for big changes ahead, especially in the... [read post]
26 Nov 2019, 9:29 am
In this briefing members from our Financial Services team and Government Relations team will discuss the EU legislative measures on sustainable finance and the latest green communications from the PRA and FCA. [read post]
8 Nov 2009, 10:31 am
This week the House Financial Services Committee, in the now somewhat ironically called "Investor Protection Act of 2009," added an amendment that would permanently exempt companies with $75 million or less market capitalization from the SOX 404(b) certification requirement, despite... [read post]
14 Feb 2008, 1:29 am
“An unauthorised stockbroker who stole more than £350,000 from his family and friends has been jailed for 15 months after a rare criminal prosecution by the Financial Services Authority (FSA). [read post]
30 Mar 2009, 1:25 am
“A solicitor and his father-in-law were convicted yesterday of exploiting secret information to buy shares before a company takeover in the Financial Services Authority’s (FSA) first criminal prosecution for insider dealing. [read post]
16 Jun 2023, 4:00 am
Barney Frank, the influential former chairman of the House Financial Services Committee, as well as other prominent congressional... [read post]
15 Apr 2010, 9:00 pm
A financial services company employee alleged that... [read post]
1 Dec 2010, 7:44 pm
Goldie Blumenstyk, Chronicle of Higher Education, Criminal Trial of Former Dean Could Be a Preview of Fraud Case Against Kaplan Harvey Silverglate, Forbes, When ‘Honest Services’ Prosecution Turns into Persecution DOJ Press Release, Former Employee of a Financial Institution Subsidiary... [read post]
6 Jun 2007, 2:06 am
“The Financial Services Authority (FSA) is locked in a court battle with a prominent firm of solicitors that it wants to fine £150,000 for alleged offences involving overseas "boiler rooms". [read post]
16 Feb 2010, 10:19 am
FBL Financial Services applies to... [read post]
23 Feb 2008, 1:01 am
If you google "australian financial services compliance" it is the number 1 website. [read post]
11 Aug 2022, 11:34 am
On July 29, 2022, the New York Department of Financial Services published pre-proposal draft amendments to its Cybersecurity Regulations, 23 NYCRR 500.00, et seq. [read post]
2 Sep 2009, 9:04 am
In this article from Banking and Financial Services Policy Report, Arnstein & Lehr Consumer Finance attorneys John Ropiequet and Chris Naveja explore fair lending litigation following the subprime mortgage meltdown. [read post]
The Application of Chinese Competition Law to Foreign Mergers: Lessons from the Draft New Guidelines
24 Oct 2011, 11:30 am
Daniel Sokol Markus Masseli (Volkswagen Financial Services AG) has authored The Application of Chinese Competition Law to Foreign Mergers: Lessons from the Draft New Guidelines. [read post]
11 Feb 2009, 1:04 pm
In a letter to Barney Frank, Chairman of the House Committee on Financial Services, New York State Attorney General Andrew Cuomo states that, "in a surprising fit of corporate irresponsibility," Merrill Lynch decided secretly to move up the planned date... [read post]
5 Nov 2009, 1:15 pm
Earlier today I blogged on the proposed Investor Protection Act that the House Financial Services Committee passed earlier this week. [read post]
7 Mar 2022, 10:00 pm
Q4 2021 alone saw $824 million across 23 deals, indicating a strong opportunity for startups to sell products and services into the global financial ecosystem. [read post]
