Posts tagged with: "financial+services"
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14 Aug 2019, 5:32 am
In the financial services industry, investigations by the government or self-regulatory organizations are commonplace, and because they inevitably involve employee conduct (or misconduct), there is frequently an internal employment-related investigatory component. [read post]
21 Oct 2016, 5:00 am
Thomas Franchoo, Niels Baeten and Jennifer Baker, all Linklaters explore The Application of European Competition Law in the Financial Services Sector. [read post]
7 Feb 2011, 3:19 pm
The House Financial Services Committee, under the leadership of Representative Bachus, has announced its agenda: During the 112th Congress, the Committee will be at the forefront of an effort to end the bailout of Fannie Mae and Freddie Mac. [read post]
24 Sep 2007, 11:08 am
The UK's financial services regulator has 'roadshows' to help small firms understand common areas which are currently topical in their industry sector.... [read post]
22 Apr 2017, 8:00 am
Securities and Financial Services Regulation, 17 Singapore Academy of L. [read post]
4 Nov 2010, 3:48 pm
The incoming Chair of the House Financial Services Committee urged federal financial regulators to interpret the Volcker provisions of the Dodd-Frank Act in a way that does not disadvantage US financial firms in competition with EU firms. [read post]
19 Apr 2016, 12:22 pm
UBS Financial Services announced that Jonathan P. [read post]
27 Nov 2023, 1:51 pm
Continue reading › The post Slow Progress for Women in the Financial Services Industry appeared first on New York Securities Fraud Lawyers Blog. [read post]
19 May 2023, 8:45 am
The MoU has been made pursuant to the Joint Declaration on Financial Services Regulatory Cooperation between the EU and the UK on 24 December 2020 where the parties would jointly endeavour to pursue robust and ambitious bilateral regulatory cooperation in the area of financial services. [read post]
5 Feb 2008, 11:43 am
The Financial Services Working Group will review the length, complexity and readability of disclosure documentation in financial services. [read post]
9 May 2024, 8:12 am
On 9 May 2024, the Financial Services and Markets Act 2023 (Commencement No.6) Regulations 2024 were published. [read post]
20 Nov 2020, 8:42 am
Hannes had operated out of Hannes Financial Services and he was also a registered Woodbury Financial Services broker for 25 years until 2019. [read post]
27 Oct 2021, 7:03 am
Continue Reading › The post Utah Retirees File Six-Figure GBP Investor Claim Against Woodbury Financial Services appeared first on Investor Lawyers Blog. [read post]
31 Jul 2014, 5:46 pm
To support their efforts, we’ve developed and field-tested a toolkit for financial services programs called Your Money, Your Goals. [read post]
16 Jun 2021, 8:34 am
Continue Reading › The post SSEK Law Firm Continues to Investigate Broker-Dealers That Sold Northstar Financial Services (Bermuda) Products appeared first on Investor Lawyers Blog. [read post]
11 Nov 2008, 7:31 pm
Providers of training for financial advisers and authorised assessors have until 1 December 2008 to re-register their training courses and assessment services on the ASIC Training Register. [read post]
20 Jun 2018, 4:00 am
Here are three initial ideas of how the new tax law could interact with the financial services industry, specifically. [read post]
9 Apr 2009, 1:14 pm
And when they were performed, these financial service audits appear [...] [read post]
10 Feb 2022, 1:46 pm
The post Deloitte Invests $750M In Healthcare, Consumer, And Financial Services Businesses appeared first on Above the Law. [read post]
30 Jun 2023, 7:27 am
In this article, we share a round-up of the key developments from a regulatory perspective for HR Professionals in UK financial services firms. [read post]
