Posts tagged with: "financial+services"
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9 Dec 2009, 11:38 am
It can include all sorts of schemes to sell something to an elder or failing to provide agreed services such as caregiving, home repair, or financial services. [read post]
17 Feb 2017, 7:19 am
View PSR receives first application under section 57 of Financial Services (Banking Reform) Act 2013, 16 February 2017 [read post]
15 Mar 2013, 5:46 pm
Section 509 defines a financial institution to mean any institution the business of which is engaging in financial activities as described in Section 4(k) of the Bank Holding Company Act, which includes, in addition to banks, securities underwriting, dealing and market making, as well as providing financial, investment or economic advisory services and advising an investment company. [read post]
26 Jun 2022, 5:13 am
The Advisory observes that financial institutions may be required under state law to report suspected EFE to law enforcement and/or Adult Protective Services. [read post]
19 Oct 2017, 1:45 pm
The CFPB has released a set of “Consumer Protection Principles” for participants “in the developing market for services based on the consumer-authorized use of financial data. [read post]
1 Nov 2022, 2:20 pm
Financial Criteria: Income, Assets & Home Ownership IncomeThe applicant income limit is equivalent to 138% of the Federal Poverty Level (FPL), which increases annually in January. [read post]
2 Mar 2020, 3:23 pm
It is also proposed that a new financial service will be created of ‘providing a superannuation trustee service’ as well as requiring all APRA-regulated trustees to hold an AFSL to operate a superannuation fund (by removing exemptions for non-public offer trustees). [read post]
20 Jan 2017, 9:44 am
[JURIST] The Consumer Financial Protection Bureau [official website] is suing Navient [corporate website], the largest servicer of US student loans. [read post]
15 Feb 2014, 8:14 am
[JURIST] The Financial Crimes Enforcement Network (FinCEN) [official website] issued guidelines [text, PDF] on Friday for banks to provide services to legal marijuana-related businesses. [read post]
25 Dec 2009, 8:00 am
President Obama has taken the "fat cats" in the financial sector to task. [read post]
13 Feb 2017, 5:48 am
Fordham University School of Law hosts Artificial Intelligence, Machine Learning, and Law in the Financial Services Sector February 28, 2017. [read post]
26 Feb 2022, 2:27 pm
If you own “specified foreign financial assets” as defined by the Foreign Account Tax Compliance Act (FATCA), you may have an obligation to report these assets to the Internal Revenue Service (IRS) using Form 8938. [read post]
2 May 2008, 10:56 am
The FSA's financial crime and intelligence sector has carried out a review of data security systems and controls in place in 39 UK companies operating across all of the different financial services sectors. [read post]
30 Jul 2013, 8:45 am
Since September 2012, in particular, details concerning the existence of and access to the relevant mediator are included in all letters relating to service providers who refuse to satisfy a customer's complaint.Related posts: AMF Ombuds Resolves Conflicts in the French Financial Sector. [read post]
27 Sep 2021, 4:30 am
Gill's legal career has focused on the financial services industry for the past two decades. [read post]
29 Oct 2020, 4:30 am
Some travel (up to 20%) is required.Applicants must have a college degree (or equivalent work experience) and at least eight years of experience, preferably in a regulatory environment; five years direct supervisory experience; extensive knowledge of financial services and securities industry and of relevant rules applicable to FINRA and FINRA’s organizational structure, policies, and procedures. [read post]
24 Jul 2009, 11:16 am
It also would address another gap by giving the CFPA authority to examine non-bank financial service providers that are not currently examined by the federal banking agencies. [read post]
15 Jun 2009, 6:55 am
The SEC recently charged Alabama broker-dealer Aura Financial Services, Inc., and six registered representatives with churning of customer accounts, supervisory failures, and other securities violations that resulted in significant harm to clients and substantial profit to the firm. [read post]
21 May 2013, 9:33 am
Please join us for a complimentary webinar entitled Protecting Confidential Information and Client Relationships in the Financial Services Industry on May 23rd at 12:00 p.m. [read post]
21 Sep 2021, 8:55 pm
The EU financial services rules that were on-shored during Brexit should be moved onto the regulator’s rulebooks. [read post]
