Posts tagged with: "financial+issue"
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19 Apr 2018, 11:43 am
” The post SEC proposal leaves big gaps in broker, advisor standards, Financial Planning, ft. [read post]
10 Nov 2021, 8:55 pm
This means that the financial services regulators will take responsibility for setting many of the direct regulatory requirements which are currently set out in retained EU law. [read post]
19 Aug 2013, 2:22 pm
On August 16, the Fed issued a final rule establishing annual assessment fees for its supervision and regulation of large financial companies (with $50 billion or more in total consolidated assets). [read post]
24 Mar 2011, 4:45 pm
Shenkman’s project, fittingly called RV4TheCause, aims to build awareness about chronic illness issues and to teach financial professionals how to better “address the unique needs of this large base of potential clients. [read post]
7 Nov 2010, 5:34 pm
We also have a Blog on Elder Issues and Veteran's Benefits. [read post]
28 Feb 2019, 3:12 pm
In June 2015, the CFPB and the other federal financial regulatory agencies jointly issued a final policy statement establishing such standards (Final Standards). [read post]
4 Jan 2023, 12:15 am
Shortly after Christmas, the California Department of Financial Protection & Innovation began issuing consumer alerts with respect to possible cryptocurrency broker frauds. [read post]
12 Apr 2019, 2:57 pm
On April 5, 2019, the Financial Industry Regulatory Authority (“FINRA”) issued Regulatory Notice 19-10, which clarifies conduct regarding how brokerage firms and brokers should communicate with clients in the event a broker transitions to a new firm. [read post]
8 Jun 2009, 2:53 pm
The Supreme Court issued a landmark 5-4 decision today in Caperton v. [read post]
1 Dec 2008, 9:52 am
Last month, the United States Securities and Exchange Commission (“SEC”) issued a release (“Release”) setting forth a roadmap (“Roadmap”) for the potential use by U.S. issuers of financial statements prepared in accordance with International Financial Reporting Standards (“IFRS”), as issued by the International Accounting Standards Board, rather than statements prepared in accordance… [read post]
13 Nov 2023, 9:01 pm
” The Climate Principles reference the “Report on Climate-Related Financial Risk” issued by the Financial Stability Oversight Council in 2021. [read post]
29 May 2023, 9:05 pm
We propose six regulations to address the financialization of crypto and the bespoke issues that are relevant to the partial decentralization of crypto. [read post]
31 Aug 2020, 9:30 am
Coupled with the FTC’s ongoing investigation, this suit brings up many interesting issues regarding consumer data collection. [read post]
25 Sep 2019, 12:45 pm
Three members of Ballard Spahr’s Consumer Financial Services Group with extensive experience negotiating complex payments transactions for some of the world’s largest retailers and financial institutions have authored an article in which they discuss the expanding adoption of RTP as a standard for payments transactions, including the commercial and contractual issues that may arise as a result. [read post]
12 Feb 2009, 9:00 am
Labor - On January 23, 2009, in response to the international financial crisis, four Chinese agencies jointly issued guiding opinions on stabilizing labor relations (the Opinions). [read post]
17 Mar 2015, 11:30 am
The post 5 Key Retirement Plan Issues in a Texas Divorce appeared first on The Kielich Law Firm - Bedford, Texas. [read post]
25 Oct 2017, 8:28 am
The Financial Ombudsman Service (FOS) has published the latest issue of its newsletter – Ombudsman news issue 142. [read post]
17 Nov 2011, 1:45 pm
On November 17, 2011, five federal banking agencies issued a Supervisory Ruling explaining how asset size for financial institutions would be determined for purposes of determining an institution’s primary regulator for federal consumer financial law. [read post]
27 Jun 2006, 7:39 am
Risk Factors: Contingent Financial Advisory Fees and Prior/Potential Future Relationships of Fairness Opinion Providers It's likely that the SEC Staff is issuing some comments suggesting - or insisting - on the inclusion of a risk factor regarding contingent financial advisory... [read post]
The DOJ Announces Largest Elder Fraud Sweep After Reports of Increasing Elder Financial Exploitation
8 Mar 2019, 1:54 pm
The Consumer Financial Bureau analyzed data from Suspicious Activity Reports filed between April 2013 and December 2017 to shed more awareness on the issues of elder financial exploitation. [read post]
