Posts tagged with: "financial+services"
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27 Apr 2015, 1:35 pm
Instructors can include financial institution staff, senior organizations, adult protective services agencies, law enforcement, and others who serve this population. [read post]
6 Apr 2021, 9:02 am
Broker-Dealers Collectively Will Pay $550K Fine and Over $3.3M in Restitution The Financial Industry Regulatory Authority (FINRA) has fined and censured three brokerage firms after finding that they failed to supervise recommendations of the LJM Preservation and Growth Fund (LJMIX, LJMCX, LJMAX) and did not conduct the proper due diligence into the alternative mutual fund: Cambridge Investment Services will pay a $400K fine plus more than $3M in restitution Continue… [read post]
19 Sep 2024, 12:45 pm
Beyond outside counsel in a law firm, some business units may hire independent contractors offering legal services or legal service providers that are not on a preferred vendor list. [read post]
16 Dec 2019, 7:12 am
Our 40 minute briefing on 8 January 2020 will be a webinar and will focus on what 2020 has in store for financial services firms. [read post]
5 Nov 2018, 10:00 am
Sign up for a service that tracks financial activity and notifies you of any unusual withdrawals or changes in spending habits. [read post]
1 Mar 2017, 1:53 pm
View FSB assesses implementation progress and effects of post-crisis financial services reforms, 28 February 2017 [read post]
30 Jun 2016, 5:00 am
Seniors can find themselves the victim of financial exploitation in a number of ways, including: Sales scams, perpetrated over the telephone or in person Being overcharged for services Being charged for services that are not necessary Theft of items from the home Misuse of discretionary funds given to a caregiver Misuse of funds diverted to a payee other than the senior Theft of funds from a bank account Unfortunately, seniors often make excellent victims for the… [read post]
14 Jan 2009, 2:54 pm
News release: "The Federal Financial Institutions Examination Council (FFIEC) issued guidance today for examiners, financial institutions, and technology service providers... [read post]
29 Jun 2018, 8:28 am
Peter Holler was a financial advisor and registered representative of Securities Service Network from November 2001 to August 2017. [read post]
7 Nov 2010, 7:59 am
But it's really one more well-drawn chapter of Fred's "book" on financier etiquette. [read post]
18 Feb 2014, 5:37 am
Merklin, partner in charge of Assurance Services at Bober Markey Fedorovich, an independent CPA firm. [read post]
21 Dec 2022, 4:54 am
The report explains that financial market infrastructure firms (FMIs) supervised by the Bank are essential to the smooth and safe operation of the UK financial system. [read post]
18 Jun 2009, 2:25 am
On June 16, 2009, the United States Financial Services Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises (the “Subcommittee”) held a hearing regarding how to improve oversight of the insurance industry in order to protect insurance consumers and prevent insurance companies from posing a systemic risk to the American financial system.According to Representative Paul E. [read post]
4 Aug 2014, 8:44 am
MishkinLast week, the CFPB announced a new partnership with national and local nonprofit and public social services programs across the country to train staff to provide financial education and tools to clients with low-to-moderate incomes. [read post]
3 Mar 2009, 3:31 am
The high-level group on financial supervision in the EU, chaired by Jacques de Larosière, published an initial report recommending 'repair' of the oversight of financial services across Europe. [read post]
13 Mar 2024, 4:18 am
The Board affirmed a refusal to register the mark HIG for, inter alia, "financial services," finding confusion likely with the registered mark H.I.G., in standard character and design form (below) for "investment services in the nature of venture capital and private equity financing, and investment banking services. [read post]
6 Nov 2011, 8:58 pm
ASIC has released new financial requirements for responsible entities (REs) of managed investment schemes in Class Order (CO 11/1140) and updated versions of Regulatory Guide 166 Licensing: Financial requirements (RG 166) and Pro Forma 209 Australian financial services licence conditions (PF 209). [read post]
9 Feb 2012, 2:40 pm
Ropiequet was a contributor of two articles in the Winter 2011 issue of the ABA Business Law Section’s Consumer Financial Services Newsletter. [read post]
16 May 2022, 9:23 pm
Cash for services rendered to the elderly gives nefarious individuals the opportunity to exploit financially. [read post]
22 Apr 2012, 12:06 pm
The principles are intended to provide minimum acceptable standards to achieve: (i) effective verification of income and other financial information; (ii) reasonable debt service coverage; (iii) appropriate loan-to-value ratios; (iv) effective collateral management; and (v) prudent use of mortgage insurance. [read post]
