Posts tagged with: "financial+services"
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12 Dec 2018, 1:37 pm
It's not easy to distinguish the difference between wealth management, asset management, investment management, financial planning, and estate planning services. [read post]
23 Jan 2014, 9:00 am
Neither a funding portal, nor its officers, directors, partners or persons occupying a similar status with the funding portal, are allowed to: Have any type of financial interest in an issuer (the company raising capital) who is selling securities through the funding portal’s platform; or Receive a financial interest in an issuer as compensation for services provided to or for the benefit of an issuer in connection with the offer and sale of… [read post]
16 Mar 2013, 7:26 am
Plaintiffs alleging injuries by acts of international terrorism have sought to recover treble damages for their injuries from financial institutions on the theory that the financial institutions supplied, directly or indirectly, financial services to the terrorist groups. [read post]
6 Jan 2022, 6:22 am
Professor Zywicki shares his views on the current trend of denying access to financial services to politically-disfavored industries or based on political views, whether through the actions of banking regulators, most notably Operation Choke Point, or actions taken by banks on their own initiative. [read post]
21 May 2010, 7:25 pm
Section 1057: New Whistleblower Protection for Financial Services Employees. [read post]
10 Apr 2017, 12:01 pm
Covered financial institutions must also have policies and procedures that address “due diligence and/or contractual protections” relating to service providers, including a service provider’s use of multifactor authentication, and encryption and notice to the financial institution in the event of certain Cybersecurity Events. [read post]
16 Feb 2011, 8:58 am
(Todd Zywicki) The House Financial Services Committee is holding a hearing tomorrow on the Durbin Amendment price controls on debit card interchange fees. [read post]
4 Nov 2019, 8:47 am
On 31 October 2019, the Council of the EU published a note from the General Secretariat of the Council relating to progress on financial services legislative files. [read post]
2 Aug 2021, 2:08 pm
Most stockbrokers and other financial service representatives genuinely care about their clients. [read post]
4 May 2021, 7:18 am
Alabama Investor Contends The Daughtry Group Owner Unsuitably Invested His Retirement Funds Another investor has stepped forward to file a Financial Industry Regulatory Authority (FINRA) arbitration claim against Kestra Investment Services over financial losses sustained while working with the firm’s former broker, James Blake Daughtry. [read post]
16 Mar 2011, 9:45 am
In a letter to Treasury Secretary Tim Geithner, House Financial Services Chair Spencer Bachus (R-Ala) questioned what role the Consumer Financial Protection Bureau had in drafting the proposals involved with a settlement of allegations of improper mortgage services procedures and what specific legal authority would permit an official associated with the Bureau, which does not have regulatory or enforcement authority, to participate in settlement negotiations. [read post]
25 Jun 2012, 1:06 pm
If it clear that a crime has been committed, it is always important to inform the police and district attorney and file a complaint with the Adult Protective Services Division of the New Mexico Aging and Long Term Services Department. [read post]
10 Nov 2011, 11:04 pm
The Korean securities market regulator Financial Services Commission is lifting a three-year ban on short-selling of non-financial stocks, as reported by the Asian Investor today. [read post]
28 Aug 2012, 8:49 am
His clients included Citigroup, HSBC and JP Morgan Chase, according to the membership directory of the American College of Consumer Financial Services Lawyers. [read post]
3 Nov 2010, 4:22 am
Spencer Bachus (R-AL), who is slated to become the Chair of the House Financial Services Committee. [read post]
10 May 2021, 10:00 pm
The significance of D&I has long been discussed and highlighted by the regulator, but the announcement marks a further shift in the FCA’s level of focus on D&I and should be read alongside the collection of recent FCA speeches on the lack of gender and ethnic diversity at a senior level in financial services. [read post]
16 Nov 2017, 10:12 am
Consumer Financial Project Bureau (CFPB) announced in early November, 2017 that it has filed a lawsuit against Freedom Debt Relief, which is the largest debt settlement services provider in America. [read post]
10 May 2021, 10:00 pm
The significance of D&I has long been discussed and highlighted by the regulator, but the announcement marks a further shift in the FCA’s level of focus on D&I and should be read alongside the collection of recent FCA speeches on the lack of gender and ethnic diversity at a senior level in financial services. [read post]
10 May 2021, 10:00 pm
The significance of D&I has long been discussed and highlighted by the regulator, but the announcement marks a further shift in the FCA’s level of focus on D&I and should be read alongside the collection of recent FCA speeches on the lack of gender and ethnic diversity at a senior level in financial services. [read post]
10 May 2021, 10:00 pm
The significance of D&I has long been discussed and highlighted by the regulator, but the announcement marks a further shift in the FCA’s level of focus on D&I and should be read alongside the collection of recent FCA speeches on the lack of gender and ethnic diversity at a senior level in financial services. [read post]
