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4 Mar 2018, 10:09 am
Elder abuse includes physical, emotional, sexual and financial abuse, neglect and self-neglect, according to the Georgia Division of Aging Services. [read post]
28 Mar 2024, 5:30 am
Considering whether to set impact tolerances for additional vital services beyond payments. [read post]
28 Jul 2017, 9:21 am
On 24 July, the German Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) has published updated drafts of the Ordinance on the Examination of Investment Services Enterprises (Wertpapierdienstleistungs-Prüfungsverordnung – WpDPV) and of the Securities Trading Act Employee Notification Regulation (WpHG-Mitarbeiteranzeigeverordnung – WpHGMaAnzV). [read post]
1 Jun 2017, 12:50 am
On 30 May, the German Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) has published the drafts of the Ordinance on the Examination of Investment Services Enterprises (Wertpapierdienstleistungs-Prüfungsverordnung – WpDPV) and of the Securities Trading Act Employee Notification Regulation (WpHG-Mitarbeiteranzeigeverordnung – WpHGMaAnzV). [read post]
10 Apr 2018, 7:18 am
On 4 April 2018, the European Parliament’s Economic and Monetary Affairs Committee published a draft report on relationships between the EU and third countries concerning financial services regulation and supervision. [read post]
1 Mar 2017, 1:49 pm
If the borrower does so without regulatory permission to accept deposits, this would involve a breach of the Financial Services and Markets Act 2000 and may be a criminal offence. [read post]
20 Nov 2015, 10:02 am
The meetings will explore technology-related risk and compliance issues in the financial services space, such as in mobile banking, online brokerage, automated (“robo”) investment advisers, P2P lending, to name a few. [read post]
10 Dec 2018, 4:20 am
On 7 December 2018, the European Commission published an evaluation roadmap for the Distance Marketing of Financial Services Directive. [read post]
8 Nov 2023, 1:58 pm
The financial services and payments firm was penalized by OFAC for enabling prepaid reward cards to be redeemed by persons who purchased the cards from sanctioned jurisdictions. [read post]
1 Nov 2017, 5:59 am
” In 2012, he was terminated from his position at Raymond James Financial Services “due to client complaint and settlement relating to unauthorized discretion. [read post]
13 Jan 2023, 1:40 pm
The Proposed Rule excludes from the registration requirements nonbanks having annual receipts less than $1 million from offering or providing certain consumer financial products or services. [read post]
23 Apr 2023, 6:59 am
Second Requests often require a broader range of information, encompassing various aspects of the merging parties’ businesses, including internal communications, strategic plans, and financial data. [read post]
1 Jul 2020, 3:22 pm
Formal and substantive neutrality both suggest equal treatment of religious and secular schools with respect to eligibility for financial aid, because money has the same value for everyone. [read post]
8 May 2019, 7:55 am
The application of GN7 can be extended to other deposit-taking institutions that offer Islamic financial services, subject to the relevant CB’s discretion. [read post]
20 Jan 2020, 1:23 pm
English served as Director of Financial Services Advocacy for the Consumer Federation of America. [read post]
5 Nov 2018, 2:35 pm
He worked with Capital Financial Services from August 2012 to August 2017 in Marietta, Georgia. [read post]
19 Oct 2017, 2:15 pm
” The Task Force consists of regulators from ten states, including the Superintendent of the New York Department of Financial Services. [read post]
2 Mar 2009, 4:59 am
The UK Treasury has proposed opening a new information gateway between the Financial Services Authority (FSA) and the Claims Management Regulator (CMR) so the two regulatory bodies can share information of mutual interest. [read post]
23 Jan 2015, 11:52 am
Prosecutions of employees taking proprietary software with them when they leave financial services firms is on an upswing. [read post]
21 Mar 2013, 8:08 am
In a reprise of their debate at the January 2013 meeting of the American Bar Association’s Consumer Financial Services Committee, C. [read post]
