Posts tagged with: "financial+services"
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12 Apr 2011, 4:17 am
The Superintendent of Financial Services is granted enforcement and regulatory authority over financial products and services. [read post]
18 Sep 2022, 4:31 pm
Currently, the digital asset ecosystem does not provide significant financial services outside the ecosystem, and it exhibits limited interconnections with the traditional financial system. [read post]
20 Dec 2024, 6:06 am
The Securities and Exchange Commission today announced settled charges against Wells Fargo Clearing Services LLC and LPL Financial LLC for failing to provide complete and accurate securities trading information, known as blue sheet data, to the SEC. [read post]
24 Jan 2022, 2:45 pm
The Securities and Exchange Commission charged German Nino, a former securities broker and investment adviser representative for UBS Financial Services Inc., with stealing $5.8 million from a long-standing client. [read post]
3 May 2016, 7:34 am
The service promises to reduce costs and enable new product opportunities by enabling institutions to securely issue, transact, and store financial assets digitally.Blockchain technology was invented by the creator of Bitcoin, who used the pseudonym Satoshi Nakamoto. [read post]
13 Mar 2019, 10:24 am
The Norton Rose Fulbright LLP financial services team invite you to their latest webinar. [read post]
2 Jun 2017, 5:52 am
View ECON draft report on retail financial services action plan, 30 May 2017 [read post]
28 Apr 2010, 1:35 pm
Another argument in favor of retaining special treatment, even made by those who work for the financial regulators, is that the move to central clearing requires special treatment. [read post]
2 Feb 2021, 1:00 am
FINRA Bars Former Charlotte, North Carolina Financial Advisor The Financial Industry Regulatory Authority (FINRA) arbitration has permanently barred Gary Wayne Hammond, an ex-North Carolina broker, following allegations that he took part in more than $1.6M in private securities transactions without having given written notice to his then-firm. [read post]
20 Aug 2012, 9:06 pm
Bank is trustee for mortgage holders, says loan servicers are responsible: “LA Files Big-Bucks Suit Against ‘Slumlord’ US Bank, Blames Lender for Condition of Foreclosed Homes” [ABA Journal] “Swiss Banks Face ‘Slow Death’ As Foreign Powers Chase Undeclared Assets” [Giles Broom, Bloomberg/Business Insider] “A comprehensive list of hyperinflations in history” [Steve Hanke/Nicholas Krus, PDF, via Ian Vasquez, Cato] Warning:… [read post]
4 Feb 2021, 6:22 am
Ballard Spahr attorney Alan Kaplinsky hosts the conversation with Chris Willis, Co-Chair of Ballard Spahr’s Consumer Financial Services Practice Group, and Dan McKenna, Practice Leader of Consumer Financial Services Litigation at the firm. [read post]
5 Jun 2010, 8:57 am
Sales of private placements in Provident Royalties LLC have come back to haunt broker/dealer Okoboji Financial Services. [read post]
2 Jun 2015, 4:51 pm
On May 14, 2015, the Department of Enforcement for the Financial Industry Regulatory Authority (“FINRA”) filed a complaint (the “Complaint”) against ARI Financial Services, Inc. [read post]
14 Mar 2022, 9:28 am
In the statement the UK financial regulatory authorities reiterate that all UK financial services firms, including the cryptoasset sector, are expected to play their part in ensuring that sanctions are complied with. [read post]
2 Oct 2011, 12:06 pm
According to the Commission the new tax will have progressive distributional effects, i.e. its impact will increase proportionately with income, as higher income groups benefit more from the services provided by the financial sector. [read post]
31 Aug 2023, 7:53 am
To offer your clients financial wellness plans, you do not need to look further than Countrywide Pre-Paid Legal Services. [read post]
18 Jan 2023, 11:38 am
On September 9, 2022, the California Department of Financial Protection and Innovation (DFPI) proposed to amend its student loan servicing regulations, which we previously covered here. [read post]
4 Jul 2007, 6:29 am
Fidelity National Information Services, a financial processing company, said Tuesday that a worker at one of its subsidiaries stole 2.3 million consumer records containing credit card, bank account and other personal information. [read post]
17 Apr 2025, 5:49 am
USAspending.gov allows users to contact the Treasury’s Bureau of the Fiscal Service, request new features, and join a community of engaged citizens pushing for stronger financial transparency. [read post]
31 May 2016, 3:43 pm
The second, quantitative, measurement attaches a weighting to take account of the jurisdiction’s size and overall importance the global market for offshore financial services. [read post]
