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21 Jan 2020, 10:30 am
Do you conduct business in a foreign jurisdiction or through a joint venture that may be subject to state secrecy or other laws, such as those limiting or prohibiting the export of data or financial documentation? [read post]
19 Jun 2017, 9:48 am
ICOs do not typically exist in financial industry business practices or in security laws and regulations. [read post]
28 Aug 2019, 5:18 am
According to Politico, this was a bid by Trump campaign officials to woo rural voters who have lacked adequate internet service in the absence of financial incentives for wireless companies to offer affordable broadband. [read post]
7 Oct 2015, 8:17 pm
The CFPB’s study – released in March of this year – showed that arbitration clauses restrict consumers’ relief for disputes with financial service providers by allowing companies to block group lawsuits.The study also found that, in the consumer finance markets studied, very few consumers individually seek relief through arbitration or the federal courts, while millions of consumers are eligible for relief each year through group… [read post]
28 Sep 2022, 5:43 am
On 27 September 2022, Sarah Pritchard, FCA Executive Director, Markets, gave a speech at the City and Finance Global’s ‘The future of the UK Financial Services Regulation’ Summit. [read post]
15 Dec 2010, 6:57 pm
Banks’ influence over this market, and over clearinghouses like the one this select group advises, has costly implications for businesses large and small, like Dan Singer’s home heating-oil company in Westchester County, north of New York City.This fall, many of Mr. [read post]
21 Dec 2022, 12:23 pm
Insurance in the cyber and data security market is also evolving. [read post]
24 Apr 2020, 9:31 am
Related Articles and Presentations Regulatory Considerations for Point-of-Sale Financing Consumer Financial Services Outlook 2020 Five Common Consumer Financial Services Legal and Regulatory Due Diligence Mistakes to Avoid in M&A Loan Company Financer Enforcement Action Highlights Consumer Financial Services Law Compliance and Due Diligence Compliance Update: California Consumer Privacy Act and Privacy & Data… [read post]
9 Dec 2020, 2:13 pm
In the following guest post, Jeffrey Lubitz, Executive Director at ISS Securities Class Action Services, and Elisa Mendoza, Vice President of Operations at ISS Securities Class Action Services, take a detailed look at the event driven securities litigation phenomenon, which they describe as a new driver in the growth of securities suit filings. [read post]
11 Sep 2010, 1:42 pm
Paul Kanjorski (D-PA), Chair of the Capital Markets Subcommittee and House Financial Services Committee Ranking Member Spencer Bachus (R-AL). [read post]
15 Nov 2023, 6:26 am
Monetary Relief On the Division’s recommendations, the Commission filed settled charges imposing robust financial remedies against major companies in actions that addressed a wide range of securities law violations. [read post]
7 May 2020, 6:00 am
Emerging Opportunities For many companies, the COVID-19 pandemic has created numerous challenges affecting their business, operations and financial condition. [read post]
15 Feb 2023, 8:18 pm
AUSTRAC also released the first national proliferation financing risk assessment, highlighting the usage of financial services within proliferation financing. [read post]
23 Apr 2009, 4:20 am
Securities and Exchange Commission, the principal laws that protect investors and preserve business integrity are (i) the Securities Act of 1933, (ii) the Securities Act of 1934, (iii) the Trust Indenture Act of 1939, (iv) the Investment Company Act of 1940, (v) the Investment Advisers Act of 1940, and (vi) the Sarbanes-Oxley Act of 2002. [read post]
16 Sep 2014, 11:40 am
To achieve this, the SEC requires public companies to disclose meaningful financial and other information to the public. [read post]
4 Oct 2011, 5:09 am
Subcommittee on TARP, Financial Services and Bailouts of Public and Private Programs. [read post]
11 Aug 2008, 10:51 am
But as noted in an August 8, 2008 CFO.com article (here), at the same time, a number of other leading banks have been hit with regulatory subpoenas as problems surrounding auction rate securities become “the crisis of the day for the large global financial services companies. [read post]
14 Apr 2022, 7:08 am
As just a few of the common benefits you will see from opening a business bank account: Professional Finances — One major perk of business bank accounts is that customers can make payments with credit cards and checks through the bank’s merchant services system. [read post]
11 Dec 2023, 1:18 pm
Entities subject to significant U.S. government regulation, specifically securities reporting issuers; governmental authorities; banks, credit unions, bank holding companies, and money service businesses; securities brokers/dealers, securities exchanges/clearing agencies, other entities registered under the Securities Exchange Act of 1934, investment companies and investment advisors, venture capital fund advisers, and… [read post]
30 Jun 2022, 5:58 am
So, whether as a mere bridge financier of part of the shipbuilding instalments or for those prepared to procure a full term pre-delivery financing of the vessel, how do financiers take comfort when financing the construction instalments of a vessel? [read post]
