Posts tagged with: "financial+services"
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6 Mar 2008, 2:33 pm
R&G Financial Corp. [read post]
15 Nov 2016, 7:08 am
Synergy Financial Group is acquiring 1st Mariner Bank’s investment services division in a deal announced this week. [read post]
23 Oct 2009, 6:32 am
Businesses that offer financial services such as car and home mortgage loans would be monitored by agency [read post]
2 May 2013, 8:00 am
We fully agree with Director Cordray’s observations on the need for young Americans to receive effective financial education and expect that the financial services industry will be supportive of the CFPB’s very worthwhile efforts. [read post]
9 May 2013, 8:56 am
While noting that consumers should take personal responsibility for decisions, the FCA CEO said that buyer beware becomes hard to defend when customers are buying seriously complicated derivatives and other complex financial products.The senior official said that the FCA will not be afraid to shine a light on the murkier psychological enticements and entrapments that exist in financial services. [read post]
12 Oct 2009, 7:43 am
Stephen Lynch (D., Mass.), a member of the House Financial Services Committee. [read post]
7 Sep 2023, 8:57 am
Firms were not sufficiently considering how certain rules apply to the specifics of the cryptoasset services they provide – in particular, how their risk summaries and appropriateness assessments should be tailored to the specific cryptoassets being promoted. [read post]
20 May 2010, 2:36 pm
The Minister for Financial Services, Superannuation and Corporate Law, has released an exposure draft of regulations which support the Corporations Amendment (Financial Market Supervision) Act 2010 which transfers responsibility for supervision of Australia’s financial markets to the Australian Securities and Investments Commission (ASIC). [read post]
21 May 2024, 9:04 am
Mr Kroszner also notes that in the financial services sector there is already widespread adoption of financial technology. [read post]
29 May 2024, 12:15 am
The bill would establish a registration, not licensing, program under the California Consumer Financial Protection Law for purposes offering "commercial financing" or "commercial financing brokerage services", in each case as defined. [read post]
9 Apr 2024, 6:30 am
By ensuring that your financial situation is properly managed, you maintain control over your end-of-life decisions and legacy. [read post]
25 Feb 2021, 7:25 am
Glaser, Global Head Jurisdictional Services and Head of Washington, DC Office, K2 Integrity; Dr. [read post]
18 Oct 2021, 4:02 am
These investment advisors have a fiduciary responsibility to give the best financial advice possible and work full-time in the financial services and wealth management in [read post]
16 Feb 2023, 12:56 pm
The financial services self-regulator, The Financial Industry Regulatory Authority (FINRA), provides regulatory services to the financial industry by licensing and regulating brokerage firms. [read post]
27 Mar 2024, 3:11 am
Background The FCA consulted in 2023 on updated guidance for financial promotions on social media, following concerns that poor quality promotions through these channels can lead to significant consumer harm due to their wide reach and the complex nature of many financial products and services. [read post]
24 Feb 2012, 4:49 am
House Financial Services Committee: New Bill Would Exempt Newly Public Companies from Say-on-Pay for 5 Years Earlier this week, I blogged about a quartet of bills that the House Financial Services Committee approved. [read post]
21 Jun 2020, 9:03 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Kennedy was employed by his prior employer Woodbury Financial Services, Inc. [read post]
13 Aug 2024, 10:00 pm
The use of AI in financial services is quickly evolving. [read post]
17 Feb 2011, 3:05 am
Levine served as senior counsel and agency hearing officer in the office of chief of staff of the Florida Department of Insurance and Treasury (now the Florida Office of Insurance Regulation and the Florida Department of Financial Services) in Tallahassee. [read post]
25 Oct 2022, 11:08 am
Following up on a threat it made back in 2018, the New York State Department of Financial Services (DFS) announced on October 6, 2022 that it entered into a consent order with Rhinebeck Bank (“Rhinebeck”) to settle discrimination claims involving discretionary dealer markups on retail installment contracts with minority borrowers. [read post]
