Posts tagged with: "financial+services"
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4 Jan 2013, 9:53 pm
Telemarketing fraud is the fraudulent sale of products and services over the phone. [read post]
10 May 2019, 2:34 am
On 7 May 2019, the Courts and Tribunals Judiciary published a speech by Sir Geoffrey Vos, Chancellor of the High Court, on the effect of Brexit on financial services disputes in London. [read post]
11 Jul 2017, 7:52 am
View G20 leaders’ communique and action plan from July 2017 summit: financial services aspects, 8 July 2017 [read post]
6 Oct 2008, 11:10 am
The Financial Services Authority (FSA) has published a consultation paper discussing revisions to the maximum limits of compensation payable by the Financial Services Compensation Scheme (FSCS). [read post]
5 Mar 2020, 12:10 pm
The post Alzheimer’s Can Have a Financial Impact appeared first on Estate Planning Services in Rochester, New York and the Finger Lakes Area. [read post]
18 Jun 2010, 2:43 am
The Financial Ombudsman Service (the FOS) has recently published eight short case studies to help firms understand how complaints about sales of payment protection insurance (PPI) will be assessed. [read post]
28 Oct 2009, 12:15 pm
House Committee on Financial Services announced yesterday that it had passed draft legislation (available here in its initial form as introduced in the House of Representatives) that would require the registration of advisers to private pools of capital. [read post]
22 Feb 2013, 10:22 am
On Monday, 11 February, Greg Clark, Financial Secretary to the UK Treasury, announced in the House of Commons that the Financial Services Authority (“FSA”) will head up a new government benchmarking scheme regarding cybersecurity for the UK financial services sector. [read post]
22 Apr 2009, 2:31 am
In light of the current financial crisis, the CEA, the European Insurance and Reinsurance federation, has stressed the importance of reforming the regulation and supervision of the financial services industry. [read post]
26 Jul 2021, 3:00 am
Continue Reading › The post UBS Financial Services Settles SEC Charges Over Exchange-Traded Products Compliance Lapses for $8M appeared first on Investor Lawyers Blog. [read post]
5 Aug 2022, 7:00 am
Former New Port Richey, FL broker is also accused of selling away Francis Joseph Velten, most recently an Ameriprise Financial Services broker, is now barred by the Financial Industry Regulatory Authority (FINRA). [read post]
17 Jun 2009, 10:08 am
The proposal raises a number of privacy and data security questions, such as the role of the new financial services consumer protection agency in protecting privacy and data security and the continued role of the Federal Trade Commission as the lead agency in this area. [read post]
14 Apr 2011, 1:44 pm
The 2011 Public Service Conference will focus attention on consumer financial regulatory change, with a particular emphasis on the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
11 Jul 2019, 8:56 am
”But it would exclude, inter alia, digital interfaces that provide users with digital content, communications services, and payment services (e.g., Youtube, Netflix, and the financial intermediation industry). [read post]
21 May 2009, 2:42 am
In a letter to the leaders of the House Financial Services Committee, groups ranging from the American Bankers Association to the Financial Services Roundtable said that FASB's emphasis on mark-to-market not only results in misleading information in a distressed market, but can also result in misleading information in a typical market. [read post]
27 Jun 2017, 8:50 am
It is a Valued Part of Financial Planning Smart financial planning considers an end game. [read post]
4 Sep 2018, 2:22 pm
The investment fraud attorneys at Gana Weinstein LLP are currently investigating Chelsea Financial Services (Chelsea Financial) broker George Warner (Warner). [read post]
13 Jan 2020, 11:28 am
The governors of California and New York have both proposed to expand the authority of their respective state’s consumer financial services regulator. [read post]
2 Nov 2023, 10:00 pm
In a joint statement on 24 October 2023, the UK Prudential Regulation Authority (PRA) and UK Financial Conduct Authority (FCA) announced the removal of the cap on bonuses that can be paid to material risk takers at banks, building societies, and PRA-designated investment firms. [read post]
2 Nov 2023, 10:00 pm
In a joint statement on 24 October 2023, the UK Prudential Regulation Authority (PRA) and UK Financial Conduct Authority (FCA) announced the removal of the cap on bonuses that can be paid to material risk takers at banks, building societies, and PRA-designated investment firms. [read post]
