Posts tagged with: "financial+services"
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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]
25 Feb 2021, 7:25 am
Glaser, Global Head Jurisdictional Services and Head of Washington, DC Office, K2 Integrity; Dr. [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]
3 Feb 2014, 2:06 pm
On January 27, the European Commission published a report setting out a proposal for a framework for regulatory cooperation in financial services in the context of negotiations for an EU-US trade deal, known as the Transatlantic Trade and Investment Partnership (TTIP). [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]
23 Mar 2009, 4:51 pm
The blunderbuss House bill has any number of bad impacts: failing to recognize the value of good bonuses; driving people out of financial services; driving companies out of government programs. [read post]
15 Apr 2016, 7:12 am
Since inception, the PTAB has issued 345 institution decisions in CBM review proceedings, 283 of which specifically addressed whether the challenged patent was eligible for CBM review as containing at least one claim directed to a financial product or service. [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]
26 Apr 2016, 7:14 am
The Consumer Financial Protection Bureau (CFPB) recently reopened the comment period for its proposed amendments to the mortgage servicing related rules under RESPA and TILA that generally would require servicers to provide modified periodic statements to consumers who have filed for bankruptcy. [read post]
18 Oct 2014, 5:27 pm
The report provides guidance to financial market infrastructures (FMIs) such as central counterparties (CCPs) on how to develop plans to enable them to recover from threats to their viability and financial strength that might prevent them from continuing to provide critical services to their participants and the markets they serve. [read post]
12 Feb 2017, 3:23 pm
According to the National Adult Protective Services Association, 1 in 20 older adults reports some type of financial mistreatment in the recent past. [read post]
13 Apr 2011, 2:39 pm
The Minister for Financial Services & Superannuation has approved a grant of financial assistance under Part 23 of Superannuation Industry (Supervision) Act 1993 to the trustee of an APRA-regulated fund as a result of loss suffered as a result of fraudulent conduct or theft. [read post]
2 Jun 2022, 8:49 am
It also means that advisors should be charging clients fair rates for their services. [read post]
29 Oct 2020, 11:44 pm
View Our Divorce Services- From Just £189 The post Are there any financial implications of committing adultery? [read post]
20 Jun 2018, 9:30 pm
Securities and Exchange Commission—the agency charged with regulating financial services—to modify the criteria for independent review and make exceptions for certain firms. [read post]
15 Jun 2010, 8:33 am
Controversial Senate language that would cap interchange fees that retailers pay to payment card companies for use of their debit cards will likely be included in the final version of financial regulatory reform legislation (H.R. 4173), House Financial Services Committee Chairman Barney Frank (D-Mass.) said June 10… Read this entire article for free, activate your free 15 day trial access to Banking Report now. [read post]
