Posts tagged with: "financial+services"
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27 Mar 2014, 5:40 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and fined Hantz Financial Services, Inc. [read post]
29 Apr 2021, 7:19 am
Tony Kaye, a partner in Ballard Spahr’s Consumer Financial Services Group, hosts the conversation, joined by Dan McKenna, Practice Group Leader of the firm’s Consumer Financial Services Litigation Group. [read post]
4 Mar 2009, 10:27 am
When they were put to a test, corporate governance routines did not serve their purpose to safeguard against excessive risk taking in a number of financial services companies. [read post]
17 Dec 2013, 2:53 pm
Read More >The post California AB 140 of 2013 Expands Elder Financial Abuse Protection appeared first on Legislative Intent Service, Inc.. [read post]
24 Jun 2010, 12:41 am
The financial services sector is too important to be governed by one-sided expertise. [read post]
16 Jun 2010, 2:40 pm
Huston High School Economic Education and Access to Financial Services Paul W. [read post]
14 Apr 2020, 7:03 am
” In a release expanding on the definition of “Essential Businesses” for the purposes of Executive Order 202.6, such essential financial institutions include “services related to financial markets. [read post]
28 Nov 2023, 10:00 am
Trends & Insights provides the latest in news articles and insights documents on trending areas for financial service organizations. [read post]
6 Oct 2006, 2:59 pm
Financial details of the transaction are not being disclosed. [read post]
21 Dec 2022, 10:00 pm
The UK Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) on December 20, 2022, announced fines totaling £48.65 million ($59 million) on TSB Bank plc (TSB) for operational resiliency failures, after an IT upgrade led to customers being unable to access core banking services. [read post]
21 Dec 2022, 10:00 pm
The UK Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) on December 20, 2022, announced fines totaling £48.65 million ($59 million) on TSB Bank plc (TSB) for operational resiliency failures, after an IT upgrade led to customers being unable to access core banking services. [read post]
21 Dec 2022, 10:00 pm
The UK Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) on December 20, 2022, announced fines totaling £48.65 million ($59 million) on TSB Bank plc (TSB) for operational resiliency failures, after an IT upgrade led to customers being unable to access core banking services. [read post]
11 Apr 2011, 11:37 am
FINRA announced that it fined UBS Financial Services, Inc., $2.5 million, and required UBS to pay $8.25 million in restitution for omissions and statements made that effectively misled investors regarding the "principal protection" feature of 100% Principal-Protection Notes (PPNs) Lehman... [read post]
21 Dec 2022, 10:00 pm
The UK Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) on December 20, 2022, announced fines totaling £48.65 million ($59 million) on TSB Bank plc (TSB) for operational resiliency failures, after an IT upgrade led to customers being unable to access core banking services. [read post]
21 Dec 2022, 10:00 pm
The UK Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) on December 20, 2022, announced fines totaling £48.65 million ($59 million) on TSB Bank plc (TSB) for operational resiliency failures, after an IT upgrade led to customers being unable to access core banking services. [read post]
21 Dec 2022, 10:00 pm
The UK Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) on December 20, 2022, announced fines totaling £48.65 million ($59 million) on TSB Bank plc (TSB) for operational resiliency failures, after an IT upgrade led to customers being unable to access core banking services. [read post]
29 Jan 2015, 6:04 am
Continued improvement in the economy brought new opportunities into sight and ramped up private equity activity in the financial services sector. [read post]
16 May 2024, 9:22 am
On 16 May 2024, the Financial Conduct Authority (FCA) published six ‘Dear CEO’ letters, setting out information to support firms in their final preparations for implementing the Consumer Duty for closed products and services. [read post]
8 Feb 2023, 5:57 pm
Department of the Treasury today released a report, The Financial Sector’s Adoption of Cloud Services, on the potential benefits and challenges associated with the increasing trend of financial sector firms adopting cloud services technology. [read post]
14 Feb 2024, 8:07 am
The FCA notes that this is underpinned by the Consumer Duty, which entered into force in July 2023 and requires firms to demonstrate that consumers are receiving information that helps them make effective and informed decisions about financial products and services. [read post]
