Posts tagged with: "financial+services"
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21 Dec 2017, 12:40 pm
Travers was a financial advisor affiliated with Lincoln Financial Advisors Corporation (“Lincoln Financial”) (CRD# 3978). [read post]
11 Mar 2019, 4:58 am
On 8 March 2019, the FCA published final rules on the Directory – a new public register that enables consumers, firms and other stakeholders to find information on key individuals working in financial services. [read post]
8 Jul 2015, 7:50 am
But we uphold convictions for structuring financial transactions not dependent on the honest-services convictions. [read post]
6 Aug 2024, 10:28 am
You can contact your local long-term care ombudsman or Adult Protective Services (APS) to make a report. [read post]
27 Jul 2010, 5:17 pm
A new Consumer Protection and Markets Authority (CPMA) would have responsibility for consumer protection in financial services and for regulating conduct in financial services. [read post]
1 May 2023, 9:51 am
FINRA Dispute Resolution is an arbitration venue for investors with claims against their brokerage firm or financial professional. [read post]
30 Aug 2023, 7:25 am
The White Law Group Files another FINRA Claim against Concorde Investment Services The White Law Group announces the filing of a FINRA arbitration claim against Concorde Investment Services for investment losses involving complex alternative investments. [read post]
11 Oct 2007, 8:04 am
Treasury today has begun the long anticipated review of the regulation of financial services in the United States. [read post]
29 Jan 2010, 4:23 am
While enthusiasm for the promotion of cross-border retail financial services may have waned in the wake of the financial crisis, it clearly remains on the Commission's agenda. [read post]
7 Sep 2015, 7:37 am
The purpose of the information letter (IL) is to inform Home and Community-based Services (HCS) and Texas Home Living (TxHmL) program providers, local intellectual and developmental disability authorities (LIDDAs) and Financial Management Services Agencies (FMSAs) about changes related to providing transportation to an individual in the HCS or TxHmL Program. [read post]
21 Mar 2012, 7:37 pm
From a public policy perspective, the specific level of profitability is irrelevant, as long as there is enough profit potential there for private risk capital to step up and provide financial services to society. [read post]
8 May 2022, 12:15 pm
Notably, the Skilling decision withdrew from the reach of Section 1346 a significant category of cases that had been prosecuted as honest services fraud up to that point: cases involving more general financial self-dealing or conflicts of interest, where no bribes or kickbacks are given. [read post]
24 Jan 2020, 9:58 am
On December 18, 2019, the New York Department of Financial Services (DFS) issued its Final Regulations detailing the business conduct rules for mortgage loan servicers. [read post]
6 Dec 2021, 8:25 am
For example, recently, representatives from the Office of the Comptroller of the Currency and the New York State Department of Financial Services discussed the need for developing additional AI guidance. [read post]
12 Jul 2023, 1:33 am
The draft SI is part of HM Treasury’s programme to deliver a Smarter Regulatory Framework for financial services, tailored to the UK. [read post]
24 Mar 2017, 3:00 am
Please join us for a 40-minute briefing on the latest developments in cybersecurity and what the financial services sector needs to know in order to comply. [read post]
9 Oct 2007, 12:40 pm
The NASD imposed a $200,000 fine against EKN Financial Services Inc. and levied sanctions against the firm's CEO, President, Head Trader and Financial and Operations Principal for improper short selling in connection with three unregistered PIPE securities offerings. [read post]
18 Mar 2019, 4:19 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]
24 Sep 2009, 8:44 am
According to the Chairman, the Financial Services Committee will mark up legislation in October, with floor consideration in November.We will continue to monitor this important process and will provide updates on InsureReinsure.com. [read post]
29 Dec 2023, 12:11 pm
Report abuse: Notify local law enforcement, adult protective services agencies, and any relevant financial institutions of the suspected financial abuse. 2. [read post]
