Posts tagged with: "financial+issue"
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15 Apr 2020, 7:35 pm
The US anti-money laundering (AML) agency, the Financial Crimes Enforcement Network (FinCEN), has issued guidance regarding AML compliance for financial institutions during the current COVID-19 pandemic. [read post]
23 Jul 2010, 2:03 pm
The BCFP will be able to issue rules or go to court to prevent a “covered person or service provider from committing or engaging in an unfair, deceptive, or abusive act or practice under Federal law in connection with any transaction with a consumer for a consumer financial product or service, or the offering of a consumer financial product or service. [read post]
17 Nov 2021, 5:20 am
Importantly for smaller financial institutions, the Final Rule exempts businesses with fewer than 5,000 customers. [read post]
18 Nov 2016, 3:00 am
What other financial issues do new lawyers docs need to address? [read post]
12 Mar 2015, 9:02 am
Transnational Dispute Management has issued a call for submissions for a TDM special issue on Latin America. [read post]
6 Dec 2022, 8:00 am
In these parts it is important to focus upon the relevant issues to achieve the best financial outcome for you, as the Form E is the cornerstone of your case. [read post]
20 Jan 2012, 12:49 pm
The Consumer Financial Protection Bureau (CFPB) recently published its Examination Procedures for Mortgage Origination, which will serve as a guide for examinations of mortgage loan origination practices by banks and nonbanks. [read post]
7 Jan 2020, 6:56 am
Despite work being undertaken in the market to tackle the issue of non-financial misconduct, it continues to be prevalent and will be a key focus for our supervision of firms and of senior managers. [read post]
3 Mar 2009, 3:31 am
The report makes 31 recommendations, split between supervisory and regulatory issues, for the reform of financial services supervision. [read post]
26 Oct 2015, 4:27 am
In Kolassa the ECJ ruled that an investor suffers direct financial losses as a result of corporate misinformation (i.e. misleading information published by a company issuing (traded) shares or bonds) in the place where he holds his securities account. [read post]
17 Jul 2017, 8:00 am
The rule also makes the individual arbitration process more transparent by requiring companies to submit to the CFPB certain records, including initial claims and counterclaims, answers to these claims and counterclaims, and awards issued in arbitration. [read post]
1 Nov 2018, 7:23 am
They also take into account issues identified by national regulators through their enforcement activities. [read post]
31 Jul 2009, 8:13 am
Specifically, they may need you to get involved in some of their financial issues. [read post]
16 Jun 2016, 4:12 am
– Repeal the SEC’s authority to issue rules on proxy access (Dodd-Frank Section 971). [read post]
30 Mar 2023, 8:30 am
The post SEC Issues Warning Regarding Cryptocurrency appeared first on Securities Arbitration Lawyers Blog. [read post]
31 Jan 2011, 7:05 pm
From the introduction:Last week, the Financial Crisis Inquiry Commission, after reviewing thousands of documents, issued a report, which explained the causes of the financial unraveling, the role of government and the banks, and the aftershocks of the crisis. [read post]
1 Mar 2008, 8:20 am
Across the nation, credit counselors are noticing an unusual trend, as reported by Kathy Chu in a recent issue of USA TODAY. [read post]
11 Feb 2010, 1:23 pm
FINRA (the Financial Industry Regulatory Authority) recently announced new guidance as to the obligations of financial services firms and their brokers related to their use of social networking sites such as Facebook, Twitter, LinkedIn and blogs to communicate with the public. [read post]
2 Nov 2016, 7:58 am
While Cordray recognized that allowing such access can “raise various issues,” he nonetheless expressed that the Bureau is “gravely concerned by reports that some financial institutions are looking for ways to limit, or even shut off, access to financial data rather than exploring ways to make such access, once granted, is safe and secure. [read post]
31 Jul 2018, 2:49 am
The peer review assessed six national competent authorities from Estonia (Finantsinspektsioon), France (Autorité des Marchés Financiers), Germany (BaFin), Ireland (Central Bank of Ireland), Luxembourg (Commission de Surveillance du Secteur Financier) and the UK (FCA). [read post]
