Posts tagged with: "financial+issue"
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30 May 2024, 10:00 pm
Acknowledging that high-quality, easily available investment research supports deep capital markets, listed companies, and economic growth, the UK Financial Conduct Authority (FCA) recently issued a consultation paper proposing to give UK buyside firms an additional option for how to pay for investment research. [read post]
27 Jul 2023, 10:00 pm
The Federal Deposit Insurance Corporation (FDIC) continued the focus shown over the last several months, and especially since the March 2023 failure of Silicon Valley Bank (SVB) and associated events, by the federal banking agencies on uninsured deposits when it issued a Financial Institution Letter (FIL), Estimated Uninsured Deposits Reporting Expectations, on July 24, 2023. [read post]
5 Nov 2008, 6:36 am
President-elect Barack Obama has won the election and now will focus on organizing his cabinet and determining what issues will be at the forefront for his administration. [read post]
11 Feb 2021, 10:00 pm
Consumer Financial Protection Bureau (CFPB) Acting Director David Uejio has put a special focus on the manner in which responses are made to the CFPB’s consumer complaint system. [read post]
21 Aug 2024, 7:15 am
With a practice encompassing adoption, custody cases, child support, divorce and complex financial issues, Pinnock brings a wealth of experience to her clients. [read post]
5 Sep 2024, 1:31 pm
John, Director of Federal Compliance at America’s Credit Unions, as our guest speaker in this podcast on the Notice of Proposed Rulemaking issued by the Financial Crimes Enforcement Network and federal banking regulators regarding the enhancement and modernization of anti-money laundering/countering the financing of terrorism (“AML/CFT”) compliance programs under the Bank Secrecy Act (“BSA”).... [read post]
27 Mar 2014, 5:54 am
The Financial Industry Regulatory Authority (FINRA) recently issued a Regulatory Notice requesting comment on a Proposed Rule Set for Limited Corporate Financing Brokers (LCFBs). [read post]
11 Feb 2021, 10:00 pm
Consumer Financial Protection Bureau (CFPB) Acting Director David Uejio has put a special focus on the manner in which responses are made to the CFPB’s consumer complaint system. [read post]
2 Dec 2009, 5:44 am
Do bonds provide adequate protection from scams to financial institutions? [read post]
29 May 2023, 1:26 pm
SEC Orders FINRA to Raise Its Arbitration Forum Gate For Expungements (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
9 Feb 2023, 9:52 am
If finalized, the proposal would impact nearly all nonbanks in the consumer financial services industry. [read post]
5 Feb 2016, 2:18 pm
The Human Rights Council‘s Working Group on Arbitrary Detention recommended Assange’s release, along with possible financial compensation, and you can read their full opinion below. [read post]
19 Feb 2024, 10:00 pm
The Consumer Financial Protection Bureau (CFPB) on February 16 issued an internal process regulation—effective immediately upon publication in the Federal Register—updating and formalizing the steps that supervised institutions may take to appeal certain adverse supervisory findings and ratings. [read post]
21 Jun 2020, 10:00 pm
On June 18, 2020, the Consumer Financial Protection Bureau (CFPB or Bureau) issued a procedural rule to launch a new pilot advisory opinion (AO) program to publicly address regulatory uncertainty in the Bureau’s existing regulations. [read post]
7 Sep 2006, 11:10 am
Check this advertsing for an ABT seminar on Compliance Issues for Advertising and Marketing. [read post]
30 Apr 2016, 1:39 pm
According to GDB's statement the private exchange was originally established to address the "unique financial considerations" of the credit unions, and apart from this agreement, GDB was still negotiating... [read post]
18 Jan 2012, 1:54 pm
Unsophisticated state and local government officials have been sold billions of dollars of flawed financial products by Wall Street banks, leaving taxpayers on the hook for even more. [read post]
10 Jun 2023, 11:40 am
Source: Kokhanchikov / Shutterstock.com More than three months after the Financial Industry Regulatory Authority (FINRA) halted trading on MMTLP, the agency has finally issued a statement. [read post]
3 Apr 2011, 8:46 pm
Frequent falls Unexplained bruises Unexplained weight loss Medication mistakes – forgetting to take, overdosing, abusing Behavior issues Getting lost while driving or walking Social isolation Financial management – not paying bills, making gifts to strangers Nutrition – nothing in the refrigerator or cupboards etc. [read post]
21 Jun 2022, 10:00 pm
A new Morgan Lewis White Paper, Bipartisan Proposal Attempts to Provide Solutions for Comprehensive Regulation of Digital Assets , analyzes the proposed Responsible Financial Innovation Act ( RFIA ) in the United States from several different angles, including with respect to issues such as key definitions in this emerging space, jurisdiction, ancillary assets (which are not fully decentralized), stablecoin issuance, taxes, disclosures, and money transmission. [read post]
