Posts tagged with: "financial+issue"
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6 Mar 2013, 3:17 pm
From house valuations to the splitting of assets and potential child support payments, it’s no surprise that financial issues sometimes trump the emotional aspects of the relationship. [read post]
11 May 2021, 8:40 pm
On 7 May 2021, the Financial Markets Law Committee (FMLC) published its responses to: European Commission review of the Financial Collateral Arrangements Directive. [read post]
26 Jun 2018, 10:49 am
The International Swaps and Derivatives Association (“ISDA“), the Association of Financial Markets in Europe (“AFME“), International Capital Market Association (“ICMA“) and the Securities Industry and Financial Markets Association (“SIFMA“) and its asset management group (SIFMA AMG) have published a new report that assesses the issues involved with benchmark reform, and makes recommendations on steps firms can take to… [read post]
27 Nov 2006, 8:05 pm
Financial Foundry, LLC of Princeton announced on Nov. 27 that the U.S. [read post]
24 Feb 2017, 6:17 am
As Hogan Lovells previously reported, the New York State Department of Financial Services (NYDFS) has launched a significant initiative to impose detailed cybersecurity requirements on covered financial institutions. [read post]
2 May 2012, 6:22 am
According to NASAA, "This year's conference is designed to bring together securities regulators, securities law professionals, financial industry representatives, consumer advocates and legislative and regulatory policymakers for an in-depth look at key financial services policy issues. [read post]
2 Feb 2023, 6:02 am
” The post US financial watchdog orders $1.5M fine in first action under health privacy law appeared first on JURIST - News. [read post]
18 Jun 2012, 3:01 pm
Surveys into the issue found that nearly 86% of victims reported shame at being taken advantage of in this way. [read post]
6 Dec 2011, 2:50 pm
Fieldstone has written an article titled “Prospects For Development Of EB-5 Regional Centre To Sponsor Foreign Investment” that appeared in the December issue of Financier Worldwide. [read post]
CFPB Issues Interpretative Rule on Screening and Training Requirements for Mortgage Loan Originators
25 Nov 2019, 3:03 pm
On November 15, the Consumer Financial Protection Bureau (CFPB) implemented an interpretive rule that clarifies that financial institutions that employ loan originators are not obligated to screen and train loan originators with temporary authority. [read post]
2 Mar 2020, 3:23 pm
ASIC and APRA issue letter to RSE Licensees as co-regulators of the superannuation industry ASIC and APRA issued a joint letter on 14 February 2020 to all registrable superannuation entities (RSE) licensees welcoming proposals to increase ASIC’s role within the superannuation sector. [read post]
12 Mar 2008, 2:45 pm
On Thursday, the Congressional issued a report stating that the three men earned $460 million between 2002 and 2006. [read post]
21 Aug 2023, 10:00 am
Although the Departments have issued a fair amount of sub-regulatory guidance regarding the NQTL comparative analysis requirement, the proposed regulations are the first formal regulatory guidance they have issued in about ten years. [read post]
6 Sep 2022, 3:50 pm
Malecki is scheduled to speak at 2:45 p.m. on Discovery Issues in FINRA arbitration. [read post]
21 Feb 2010, 5:51 am
February 18, 2010Advisory to Financial Institutions on Filing Suspicious Activity Reports regarding Trade-Based Money Laundering" The Financial Crimes Enforcement Network (FinCEN) is issuing this advisory to inform and assist the financial industry in reporting suspected instances of trade-based money laundering.1 This advisory contains examples of "red flags" based on activity observed in Suspicious Activity Reports (SARs) that may indicate… [read post]
ESAs to run voluntary dry run exercise to prepare industry for the next stage of DORA implementation
11 Apr 2024, 9:32 am
Address data quality issues. [read post]
2 Feb 2021, 9:18 am
LPL Financial, LLC (FINRA AWC 2018059192701) (Dec. 31, 2020). [read post]
18 Oct 2013, 6:17 am
FINRA alleged that through at least October 4, 2011, McGlothlin continued to participate in private securities transactions with IBLS Online by re-issuing and replacing stock certificates for investors and responding to investor questions and concerns about their investments. [read post]
22 Mar 2018, 7:14 am
Mulvaney observed that in 2017 debt collection was “one of the most prevalent topics of complaints about consumer financial products or services received by the Bureau. [read post]
3 May 2016, 8:37 am
Mishkin The CFPB has issued a report covering its fair lending activities during 2015. [read post]
