Posts tagged with: "financial+services"
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28 Aug 2009, 6:00 am
In 2007, for example, financial institutions became mandatory reporters of suspected financial elder abuse. [read post]
15 Sep 2010, 11:04 am
As a person that is looking out for the consumer interests, I suggest that the Department of Financial Services not abandon their work. [read post]
9 Feb 2023, 8:59 am
The study summarises and discusses recent trends in financial services legislation and regulation in the UK, divergence between the EU and UK and threats from this divergence for financial stability in the EU Some of the key findings are as follows: The UK approach to regulation will lead to the transfer of most rules from statutory level to the regulator’s rulebook, which will fundamentally reinforce the regulatory and supervisory model set by the Financial… [read post]
28 Aug 2022, 9:45 am
Serizawa is currently associated with Woodbury Financial Services, Incorporated out of their Irvine, California office location. [read post]
14 Jul 2022, 2:38 pm
On June 27, the Oregon Department of Consumer and Business Services’ (“Department”) Division of Financial Regulation (“Division”) finalized new regulations implementing Senate Bill 485, which requires companies to obtain a license from the Division in order to service student loans in Oregon, unless an exemption applies. [read post]
26 Apr 2022, 2:43 pm
Following on the heels of the New York Department of Financial Services (“NYDFS”), the National Association of Insurance Commissioners (“NAIC”) and the U.S. [read post]
3 Jan 2017, 6:33 am
With the clock ticking down to the new year, on December 28, 2016, the New York State Department of Financial Services (NYDFS) released highly anticipated revisions to its proposed Cybersecurity Requirements for Financial Services Companies (the “Proposal”). [read post]
15 Feb 2023, 8:18 pm
Additionally, AUSTRAC published guidance addressing greater access to financial services for people from diverse backgrounds and challenging circumstances. [read post]
26 Feb 2025, 6:52 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Kayal (Kayal), currently associated with MML Investors Services, LLC, has at least one disclosable event. [read post]
28 Feb 2025, 7:24 am
Additionally, 21% of DDoS attacks affected governmental financial services, leading to temporary service outages and increased response costs for financial authorities. [read post]
8 Jul 2009, 7:55 am
Usually, adult protective services (APS) caseworkers either are trained as social workers or come from other public service agencies that emphasize the caregiving or social services aspect of elder care. [read post]
11 Jan 2015, 4:59 pm
Mishkin Peggy Twohig, the CFPB’s Assistant Director for Nonbank Supervision, was a member of a panel today on service provider and vendor management compliance issues at this week’s meeting in New Orleans of the American Bar Association Consumer Financial Services Committee. [read post]
19 Sep 2023, 2:00 am
Financial Services Regulations Fundamentals Resource Kit and In-House Business Transactions Resource Kit include practice notes, templates, and checklists that provide key information to in-house lawyers and counsel advising financial services institutions. [read post]
3 Dec 2018, 8:55 am
Under the FCPA, however, that is not enough for banks and financial services companies. [read post]
9 May 2013, 5:00 am
” The CFPB currently oversees student loan servicing at larger banks; this rule would expand that oversight to nonbank servicers. [read post]
Consumer Directed Services Budget Workbook Revisions to Accommodate Rate Changes for the CBA Program
1 Apr 2014, 11:37 am
The purpose of the letter is to provide direction to Financial Management Services Agencies (FMSAs) on updating Consumer Directed Services (CDS) employers’ budgets to accommodate the new payment rate, effective March 1, 2014, for Community Based Alternatives (CBA) Personal Assistance Services (PAS). [read post]
10 Oct 2018, 7:11 am
To sign up for e-mail updates from the NextGen Financial Services Report, Click Here. [read post]
8 Jun 2023, 11:18 am
The report, which is part of a concerted focus by the CFPB on the use of artificial intelligence and machine learning in consumer financial services, comes on the heels of the recent joint agency statement regarding enforcement efforts “to protect the public from bias in automated systems and artificial intelligence. [read post]
6 Dec 2011, 10:42 am
ATC client eVestment Alliance (eVestment), a global provider of institutional investment data intelligence and analytic solutions, was represented by Brad Carr, Eadaoin Waller and Kathleen Hart in the acquisition of ASAP Advisor Services, providers of investment marketing services and database management solutions for institutional money managers, hedge fund managers and other financial advisors. [read post]
29 May 2020, 9:14 am
Alabama Retiree Lost Retirement Savings To Broker Fraud and Negligence An investor in Alabama has filed a Financial Industry Regulatory Authority (FINRA) arbitration complaint against Kestra Investment Services, Inc. for retirement losses that she suffered while working with the now-former broker, James Daughtry. [read post]
