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9 May 2022, 7:47 am
In particular, CONC 3.3.3R states ‘a firm must not in a financial promotion or a communication to a customer state or imply that credit is available regardless of the customer’s financial circumstances or status’. [read post]
27 Apr 2017, 12:18 pm
Debt collection continued to be the most-complained-about financial product or service in March 2017, representing about 31 percent of complaints submitted. [read post]
24 May 2014, 11:17 am
Especially ironic, of course, is that while the DOJ and bank regulators are choking off financial services to legal industries, they are also encouraging banks to provide banking services to illegal marijuana sales. [read post]
2 Oct 2008, 10:56 pm
According to other sources and recruiters, the Financial Services Network of San Mateo, California, which is one of the largest advisor groups affiliated with FSC Securities, could end up with LPL or one of its subsidiaries. [read post]
7 Aug 2017, 3:30 am
They painstakingly document (and illustrate in simple graphics for those of us whose banking savvy is confined to remembering their ATM PIN number) the state’s role in the provision of financial products and services ranging from plain-vanilla loans to digital currencies. [read post]
29 Sep 2023, 3:21 am
On 25 September 2023, the Council of the European Union (Council) Working Group on Financial Services held a discussion on the European Commission (Commission) proposal on the establishment of a digital euro. [read post]
29 Mar 2007, 12:18 pm
He said: "A human influenza pandemic would have a significant effect on the financial sector: both, directly, in terms of reduced delivery of financial services; and, indirectly, in terms of the potential financial impacts on banks (and other deposit-takers) and insurance companies. [read post]
25 Jan 2024, 3:07 am
This inquiry is examining the barriers faced by women in financial services and the progress made in removing gender pay gaps. [read post]
20 May 2012, 7:11 am
House Committee on Financial Services, which is available (including footnotes) here. [read post]
5 Feb 2019, 10:46 am
Issuers have remediated such material weaknesses by, among other things, engaging third-party service providers to assist with financial reporting, hiring staff with appropriate accounting and financial reporting knowledge and conducting training related to key accounting policies, internal controls and SEC compliance. [read post]
2 Feb 2021, 9:18 am
LPL Financial, LLC (FINRA AWC 2018059192701) (Dec. 31, 2020). [read post]
5 Apr 2011, 11:56 am
Image via Wikipedia The Centers for Medicare & Medicaid Services recently added Hospital Acquired Conditions (HAC) Measures to their compare website. [read post]
5 Aug 2009, 2:44 am
The breadth and depth of the Bloomberg services may be matched by other similar financial information and news services (like Thompson/Reuters), but managers and traders seem to drawn to the Bloomber services nonetheless. [read post]
26 Mar 2020, 7:18 am
A long list of essential goods and services is included as Annexure B to the regulations, and includes the production, transport and sale of food, cleaning products, medical supplies, pharmaceuticals, airtime & electricity, and other essential items, as well as financial services like banking and insurance. [read post]
1 Dec 2022, 7:55 am
While most attention is focused on the CFPB, state attorneys general are very active in investigating and enforcing state laws relating to consumer financial services (and often federal laws when incorporated into state law or when using their Dodd-Frank authority). [read post]
13 Jan 2020, 12:31 pm
The New York Department of Financial Services has announced the creation of a new Consumer Protection Task Force within the NYDFS. [read post]
7 Nov 2019, 7:26 am
Our Brexit Pathfinder hub is a repository of all the Brexit-related thought leadership materials published by our financial services regulatory team. [read post]
5 Apr 2017, 5:30 am
The Plan covers how financial services regulators are adapting and encouraging new technologies and disruptive business models, and better utilising new technologies to reduce regulatory burdens on business. [read post]
14 Nov 2016, 6:26 am
Institutional Shareholder Services Inc. [read post]
16 Oct 2014, 1:09 am
The complexities involved in copyright coupled with the legal requirements of independent artist services to detail at length their terms of service can lead to artists facing a difficult choice between independent distribution and a loss of control of their rights. [read post]
