Posts tagged with: "financial+services"
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7 Jul 2023, 1:24 pm
The SEC charged Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network with failure to supervise and train investment advisors and registered representatives recommending single-inverse ETF investments to retail investors. [read post]
15 Feb 2019, 3:50 am
You can track the financial services Brexit EU Exit statutory instruments (as well as gain access to our Brexit resources) on our Brexit Pathfinder hub. [read post]
18 Dec 2013, 6:42 am
Duff announces the filing of a lawsuit against debt collector American Financial Credit Services, Inc. and the law firm of Bleecker, Brodey & Andrews. [read post]
14 Mar 2024, 6:19 pm
According to the New Hampshire order, Kulch allegedly overcharged clients through fees known as “consulting service agreements” (CSAs). [read post]
15 Oct 2013, 4:02 pm
Financial terms of the merger were not disclosed. [read post]
15 Sep 2016, 3:15 am
As noted in this Reuters article, the House Financial Services Committee has passed the “Financial CHOICE Act of 2016” (which I’ve blogged about several times before – remember my reference to choking a horse; see this MarketWatch article). [read post]
12 Sep 2011, 6:11 pm
ASIC has released a report Review of financial advice industry practice based on the information it received in 2010 from the top 20 financial services licensees that provide financial product advice to retail clients on their practices. [read post]
25 Oct 2018, 2:04 am
Relevant to the financial services sector are: a new boost for jobs, growth and investment: this includes leveraging the resources of the EU and focussing on strengthening the ‘Juncker Plan’ of investment, which is expected to grow EU GDP by 1.3% by 2020; a connected Digital Single Market: 18 out of 30 legislative initiatives that the Commission has made for the Digital Single Market have been adopted into law – the Commission intends to swiftly conclude the… [read post]
8 Jul 2011, 8:15 am
As we've discussed in the past, the UK financial regulatory universe is undergoing, in the words of Financial Services Authority Chairman Adair Turner, a "major shift in philosophy". [read post]
2 Dec 2010, 3:42 am
You can complete the survey anonymously if you wish, but please give your name and contact details at the end, if you would like your name included in the prize draw.The Membership Services Committee (MSC) of BIALL encourage members to make a response even if they have never used any of the services currently offered by the MSC, because we value your views on potential new services for BIALL members.The BIALL Membership Services Committee aims to provide and… [read post]
26 Jan 2016, 9:29 am
VFG maintained a website which claimed that Voyager “is a national distributor, broker, and consulting firm for a diverse array of products, services, and contracts in the financial services arena. [read post]
24 May 2017, 11:20 am
On May 4, 2017, the Financial Services Committee passed the Act and it is now slated to be introduced to the House in the coming weeks. [read post]
15 Feb 2008, 3:32 am
Sam Conforti is a Chicago lawyer, and the bulk of his experience is in the software industry and the financial services industry for the procurement of high technology. [read post]
3 Mar 2022, 10:00 pm
The Bank of England (Bank) and the UK Financial Conduct Authority (FCA) published their final report of discussions from the UK Artificial Intelligence Public-Private Forum on February 17. [read post]
3 Mar 2022, 10:00 pm
The Bank of England (Bank) and the UK Financial Conduct Authority (FCA) published their final report of discussions from the UK Artificial Intelligence Public-Private Forum on February 17. [read post]
3 Mar 2022, 10:00 pm
The Bank of England (Bank) and the UK Financial Conduct Authority (FCA) published their final report of discussions from the UK Artificial Intelligence Public-Private Forum on February 17. [read post]
3 Mar 2022, 10:00 pm
The Bank of England (Bank) and the UK Financial Conduct Authority (FCA) published their final report of discussions from the UK Artificial Intelligence Public-Private Forum on February 17. [read post]
3 Mar 2022, 10:00 pm
The Bank of England (Bank) and the UK Financial Conduct Authority (FCA) published their final report of discussions from the UK Artificial Intelligence Public-Private Forum on February 17. [read post]
3 Mar 2022, 10:00 pm
The Bank of England (Bank) and the UK Financial Conduct Authority (FCA) published their final report of discussions from the UK Artificial Intelligence Public-Private Forum on February 17. [read post]
19 Jan 2024, 5:55 am
In such cases, it might be prudent to engage the services of professionals such as forensic accountants, vocational experts, or other professionals to ensure a fair outcome. [read post]
