Posts tagged with: "financial+services"
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31 Jan 2017, 12:47 pm
Is Ditech Financial, formerly known as Green Tree Servicing, failing to accurately update the payments you’ve made on your mortgage? [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]
12 Nov 2024, 3:02 am
In February this year the FCA sent a survey to over 1,000 regulated wholesale financial services firms asking a series of questions about incidents of non-financial misconduct recorded by the firms in the years 2021, 2022 and 2023. [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]
8 Feb 2022, 4:39 am
In addition, they further note the growing digitalisation of financial services activities has contributed to the fragmentation of the value chain for financial services. [read post]
22 Jul 2016, 9:48 am
Abrams is currently employed and registered with Ameriprise Financial Services, Inc., and works at the broker-dealer’s Marlton, New Jersey office, according to his publicly available BrokerCheck records maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
15 Jan 2011, 7:01 am
On 17 December 2010, the UK’s Financial Services Authority (“FSA”) issued the final form of the revised Remuneration Code (the “Code”). [1] The Code introduces significant restrictions on the way in which remuneration policies and structures are operated within financial institutions in the UK and beyond. [read post]
7 Nov 2010, 5:34 pm
If no service connected condition, if you have a financial need, then you may obtain aid and attendance. [read post]
10 May 2019, 1:19 pm
The former AXA Financial adviser was previously a registered broker with Cambridge Investment Research and CCO Investment Services. [read post]
8 Sep 2020, 1:16 pm
AB-1864 is one of three recently passed California bills that will impact consumer financial services providers in California. [read post]
26 Nov 2019, 6:19 am
Alberto Sanchez (CRD#: 4577983) is a now-bared broker formerly with SagePoint Financial (CRD#: 133763), MML Investors Services (CRD#: 10409), and Principal Securities (CRD#: 1137), all at Fort Lauderdale branch locations. [read post]
6 Feb 2018, 5:03 am
View The Financial Services and Markets Act 2000 (Benchmarks) Regulations 2018, 5 February 2018 [read post]
3 Jan 2017, 11:05 am
The New York Department of Financial Services (NYDFS) just issued major revisions to the cybersecurity regulations for financial institutions that were due to come into effect on January 1, 2017. [read post]
4 Jun 2019, 6:51 am
The May issue of the financial services monthly wrap up is now available. [read post]
27 Apr 2020, 5:41 am
Citing a “significant increase in cybercrime” during the COVID-19 pandemic, the New York Department of Financial Services (DFS) issued guidance to all New York State regulated entities identifying areas of heightened cybersecurity risks. [read post]
22 Jan 2019, 2:53 am
These amendments are made undersection 2(2) of the European Communities Act 1972, section 349 of the Financial Services and Markets Act 2000 (FSMA) and section 92 of the Financial Services (Banking Reform) Act 2013 (FSBRA 2013). [read post]
26 Jan 2021, 1:55 pm
Maryland Volunteer Lawyers Service (MVLS), the largest provider of pro bono civil legal services to Marylanders facing financial hardships, Tuesday announced it is celebrating the profound work the organization has accomplished in the past 40 years and the 100,000 Marylanders it assisted with free civil legal services. [read post]
14 Jul 2022, 7:55 am
The purpose of the alert is to provide information from law enforcement and the legal and financial services sectors as to some common techniques designated persons and their UK enablers are suspected to be using to evade financial sanctions. [read post]
20 May 2016, 2:10 pm
Fintech, which refers to the use of new technologies in the financial services industry to improve operational and customer engagement capabilities by leveraging analytics, data management and digital functions, is disrupting traditional financial services and creating opportunities to tackle problems such as financial inclusion, poverty and access to capital at an accelerated speed. [read post]
15 Feb 2023, 10:00 pm
Please join us on Thursday, February 23, 2023, from 12:00 pm to 1:00 pm ET, as Morgan Lewis partners Barbara Murphy Melby and Mike Pierides and associate Charlotte Roxon provide insights into the issues and trends impacting technology and outsourcing in finance services. [read post]
