Posts tagged with: "financial+services"
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12 Apr 2011, 2:28 pm
The Financial Industry Regulatory Authority is fining UBS Financial Services, Inc. $2.5 million and ordering it to pay $8.25 million in restitution for allegedly misleading investors about the "principal protection" feature of 100% Principal-Protection Notes. [read post]
3 Feb 2015, 5:17 pm
News release: “Attorney General Eric Holder announced today that the Department of Justice and 19 states and the District of Columbia have entered into a $1.375 billion settlement agreement with the rating agency Standard & Poor’s Financial Services LLC, along with its parent corporation McGraw Hill Financial Inc., to resolve allegations that S&P had engaged in a scheme to defraud investors in structured financial products known as Residential… [read post]
30 Jan 2023, 9:41 am
His previous employers include MidAmerica Financial Services, Inc. [read post]
27 Apr 2010, 5:52 am
The legislation—the Restoring American Financial Stability Act, championed by Senate Banking Committee Chairman Chris Dodd (D-Conn.) [read post]
11 Feb 2020, 7:16 pm
The months of December 2019 and January 2020 have proven to be a busy time for our Government and regulators, with significant changes and proposals for the funds and financial services sector. [read post]
14 Nov 2011, 10:48 am
When veterans and members of our National Guard, Reserves, and active duty military experience financial trouble, it is often made worse by the rigors of life in the service. [read post]
24 Sep 2020, 3:22 pm
Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5122)), or affects a financial institution. [read post]
16 Dec 2021, 8:55 pm
Specifically the consultation considers three specific exemptions under the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (FPO): Certified high net worth individuals (Article 48 of the FPO). [read post]
18 Jul 2011, 10:11 am
In an alliance with the military Offices of the Judge Advocate Generals, the CFPB entered into an agreement to protect members of the armed services regarding consumer financial products and services. [read post]
13 Aug 2024, 9:01 pm
The FCA emphasised that non-compliance could jeopardise future applications for authorisation under the future financial services regulatory framework for cryptoassets. [read post]
12 Aug 2016, 9:23 am
July 7, 2016, saw the UK’s Financial Conduct Authority (FCA) publish fresh guidance in order to clarify the requirements which apply to the financial services firms it regulates when outsourcing to the cloud. [read post]
12 Aug 2016, 9:23 am
July 7, 2016, saw the UK’s Financial Conduct Authority (FCA) publish fresh guidance in order to clarify the requirements which apply to the financial services firms it regulates when outsourcing to the cloud. [read post]
8 Sep 2019, 7:51 am
Barrios, formerly registered with UBS Financial Services Inc. [read post]
14 Mar 2011, 12:27 pm
Amy is a professional speaker on social media and president of Financial Social Media, an online marketing firm specializing in the financial industry. [read post]
26 Oct 2020, 7:24 am
Our Clean Break Consent Order Services vary from simple divorce settlements to those of a more difficult nature. [read post]
30 Oct 2018, 8:00 am
This service is a little bit extra and costs a little bit more than the standard financial wellness options. [read post]
18 Aug 2021, 6:43 am
Previous employers include Cetera Investment Services LLC (CRD#:15340), also of Tulsa, Bok Financial Securities, Inc. [read post]
14 Nov 2021, 6:40 am
Furthermore, PAF provides copay assistance and other financial services to help patients reduce their medical bills. [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]
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]
