Posts tagged with: "financial+services"
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27 Mar 2020, 9:13 am
In addition, financial institutions that accept deposits or extend credit to MRBs, or provide other financial services, risk violating federal law, such as anti-money laundering regulations. [read post]
30 May 2022, 10:30 am
Among others, the 2022 Act provides for the introduction of a “segregated assets account” (rekening met afgescheiden vermogen) for payment institutions, payment processing service providers, electronic money institutions and investment firms. [read post]
18 Nov 2010, 2:15 pm
November 18, 2010 ...VideosPanels 1 & 2: Panel 3: Congress began hearings into the foreclosure process by big banks effecting millions of American homeowners. [read post]
3 Nov 2020, 9:06 pm
A major insurance and banking regulator—the New York Department of Financial Services—recently sent a letter to all New York-based insurers, directing them to integrate considerations of climate risk into their governance frameworks, risk management processes, and business strategies. [read post]
10 Dec 2008, 12:51 am
The TOFA rules: will not be applied on a mandatory basis to individual and small business taxpayers, except where significant deferral of tax is involved; will apply to: approved deposit-taking institutions; securitisation vehicles; and entities that are required to register under the Financial Services (Collection of Data) Act 2001, if their aggregated annual turnover is $20 million or more. [read post]
6 Jul 2011, 10:45 am
What does the path of financial reform say about legislative and regulatory process? [read post]
15 Sep 2009, 11:03 pm
Who regulates whom in the financial world? [read post]
13 Jan 2023, 3:39 am
Reach technology-averse consumers not only through digital, but also non-digital, channels and teach them how to use digital tools to access financial services safely. [read post]
17 Jun 2018, 9:01 pm
Financial securities are often called “products” and securities servicers are named “industry. [read post]
27 Jan 2016, 1:47 pm
According to a 2015 report on threats to the financial services sector, 41% of financial services organizations polled had experienced a data breach or failed a compliance audit in the previous year, and 57% listed preventing a data breach as their top IT priority. [read post]
22 Feb 2007, 7:19 am
NASD says that it is fining Raymond James Financial Services $2.75 million for not adequately supervising more than 1,000 producing sales managers across the U.S between 2002 to 2004. [read post]
15 Sep 2009, 5:56 am
As President Obama renewed his push for financial services regulatory reform during yesterday’s speech on Wall Street, new reports offered a glimpse of Congress’ potential timeline for action.It is widely expected that the House Financial Services Committee will act first, given that it is farther along in the legislative process than its Senate counterpart – the Banking, Housing and Urban Affairs Committee. [read post]
17 Oct 2024, 5:00 am
Often, once legal department leadership identifies business units with higher needs for legal services, based on expenditures, strategic decisions can be made to embed lawyers or paralegals in the business unit to mitigate risk to the organization. [read post]
25 Sep 2012, 1:01 pm
Financial services firms should consider retaining outside counsel to evaluate their marketing and sales practices of consumer financial products for compliance with the new regulatory framework. [read post]
27 Sep 2016, 12:32 pm
For more information on the services she offers, visit Divorce Money Matters. [read post]
24 Sep 2024, 9:01 pm
The SEC oversees the Financial Industry Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board (MSRB), and the Securities Investor Protection Corporation (SIPC). [read post]
21 Feb 2012, 5:03 pm
Starting April 2, the UK Financial Services Authority will realign into a twin peaks model of regulation paralleling the new financial regulatory system that will take effect next year. [read post]
2 Mar 2007, 3:52 pm
I am happy to report that some financial services companies (all of which are building ad campaigns around Baby Boomers' need for retirement planning) are taking the coming dramatic changes in the work force seriously themselves. [read post]
23 Apr 2020, 5:13 pm
The service of the “Financial Affidavit” shall be as follows: (i) The Petitioner shall serve the completed “Financial Affidavit” not later than thirty (30) days after service of the initial pleading and the Respondent shall serve the completed “Financial Affidavit” not later than thirty (30) days after the filing of the responding party’s appearance; or (ii) Not less than seven (7) business… [read post]
8 Mar 2024, 11:24 am
The CFPB’s latest circular clearly targets lead generators and Operators that connect consumers to consumer financial products and services or operate comparison-shopping tools. [read post]
