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10 Feb 2010, 5:00 am
House of Representatives, H.R. 4173, the CFPA would have authority to regulate and in certain circumstances examine and enforce standards in the offering of financial products and services to consumers. [read post]
2 Apr 2008, 12:53 pm
ASIC has released a Consultation Paper (pdf) proposing to facilitate disclosure of financial services information through email and the internet as part of the Retail Investor Taskforce work to improve access to such information. [read post]
28 Mar 2018, 12:33 pm
In Seyfarth’s second installment in its 2018 Trade Secrets Webinar Series, Seyfarth attorneys Scott Humphrey, Erik Weibust, and Marcus Mintz focused on trade secret and client relationship considerations in the banking and financial services industry, with a particular focus on a firm’s relationship with its FINRA members. [read post]
10 Aug 2017, 9:26 am
FINRA Sanctions MSI Financial Services for Customer Overcharges According to FINRA, on May 12, 2017, MSI Financial Services Inc. [read post]
31 Jul 2012, 1:15 pm
Call for Papers AALS Joint Program of the Securities Regulation Section and Financial Institutions & Consumer Financial Services Section The Regulation of Financial Market Intermediaries: The Making and Un-Making of Markets AALS Annual Meeting, January 4, 2013 New Orleans The AALS Section on Securities Regulation and the Section of Financial Institutions & Consumer Financial Services are pleased to announce that they are… [read post]
6 Jun 2023, 6:56 pm
Why Colorado Bankers Life Insurance And Bankers Life Insurance Investors Should Continue To Explore Their Legal Options Greg Lindberg’s Proposal To Buy Policies From Investors Is Not A Guarantee of Financial Recovery Beleaguered insurer Greg Lindberg—the owner of Colorado Bankers Life Insurance, Bankers Life Insurance Company (BLIC), Northstar Financial Services (Bermuda), and a number of other insurance companies—is now asking a… [read post]
29 Mar 2023, 5:40 pm
The analysis of the financial services industry comes as other recent news on ransomware has been positive. [read post]
5 Sep 2016, 8:53 am
On August 31, 2016, the House of Lords EU Sub-Committee on Financial Affairs published a webpage announcing the launch of an inquiry into Brexit and financial services in the UK. [read post]
5 Oct 2023, 11:32 am
The Financial Services Leadership Councill works to identify competitiveness issues impacting the Greater Boston financial services industry and formulates policies to address those issues. [read post]
16 May 2012, 4:03 pm
Designating Systemically Important Financial Institutions: Balancing Costs and Benefits, Testimony before the House Financial Services Subcommittee on Financial Institutions and... [read post]
12 Feb 2018, 3:31 am
There have been recent discussions around the lack of transformation in the financial services industry in South Africa. [read post]
15 Feb 2012, 7:09 am
If you are in need or if you are a lawyer with a service member who has financial difficulties, USAcares.org provides grants, not loans, to service members. [read post]
6 Apr 2009, 6:27 pm
If you are financially not well, you can get some free help at your local library: The Utah State Law Library and Salt Lake County Library Service have partnered with local experts to present a series of financial wellness programs. [read post]
11 Dec 2020, 11:16 am
FINRA Sanctions Infinity Financial Services for Supervisory Issues According to a Letter of Acceptance Waiver and Consent (AWC) signed December 8, The Financial Industry Regulatory Authority (FINRA) has censured and fined Infinity Financial Services (CRD No. 144302) after it allegedly failed to investigate its new hires’ backgrounds. [read post]
1 Nov 2009, 4:14 pm
Council, this one the Financial Services Oversight Council, which first identifies financial companies and activities that pose a threat to systemic stability, and then monitors them. [read post]
11 Jun 2019, 8:11 am
Thomas Morante, KDV partner, and Yani Contreras from the KDV Florida offices, were featured in the Financial Services Advisor, a publication of The Dialogue, in the May 23-June 5, 2019 issue. [read post]
8 Nov 2022, 8:01 pm
SSEK Broker Dealer Negligence Attorneys Helping Northstar Financial Services Investors Are You A Japanese Investor Whose US-Based Broker Sold You Northstar Financial Services (Bermuda) Products? [read post]
5 May 2017, 3:25 pm
The House Financial Services Committee has just passed the Financial Choice Act, which reworks major parts of Dodd-Frank and other recent financial services bills and rules. [read post]
1 Dec 2022, 5:14 am
If the idea of death’s legal and financial aspects sounds overwhelming, then it’s time you looked into quality estate planning services. [read post]
7 Apr 2015, 2:06 pm
Tasca Key members of the CFPB’s enforcement, regulatory and supervision offices spoke yesterday at PLI’s 20th Annual Consumer Financial Services Institute in New York City. [read post]
