Posts tagged with: "financial+services"
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24 Apr 2021, 11:43 am
United Planners Financial Services is a broker-dealer headquartered in Scottsdale, Arizona. [read post]
10 Jun 2021, 2:10 am
If you are a financial service employee, such as a broker, investment advisor, wealth manager, capital acquisition broker, work with funding portals or provide similar services, you are mostly likely subject to rules and regulations governed by the Financial Industry Regulatory Authority (FINRA). [read post]
29 Nov 2021, 6:18 am
The California Department of Financial Protection and Innovation (DFPI) is seeking comments on a proposed rulemaking under the California Consumer Financial Protection Law (CCFPL). [read post]
30 Nov 2020, 4:00 am
For our financial services clients interested in monitoring important federal and state legal developments, Ballard Spahr has launched a comprehensive, national tracking service designed to serve the needs of specific segments of the consumer financial services industry. [read post]
7 Sep 2009, 1:50 pm
As part of its report on the National Consumer Credit Reform Package (also see here), the Senate Economics Committee has reported on the Corporations Legislation Amendment (Financial Services Modernisation) Bill 2009 which regulates margin lending, promissory notes and trustee corporations. [read post]
10 Nov 2021, 8:55 pm
This means that the financial services regulators will take responsibility for setting many of the direct regulatory requirements which are currently set out in retained EU law. [read post]
13 Dec 2021, 8:40 pm
This instrument is made under section 141A(2) of the Financial Services and Markets Act 2000. [read post]
24 Jun 2022, 3:17 am
On 23 June 2022, the House of Commons’ Treasury Committee published a report on future parliamentary scrutiny of financial services regulations. [read post]
4 Aug 2011, 10:36 am
On August 2, chairman of the House Financial Services Committee, Rep. [read post]
30 Oct 2009, 2:24 pm
Geithner's Written Testimony before House Financial Services Committee (October 29) [read post]
4 Jul 2017, 4:30 am
PwC director Steve Murphy will lead the new consultancy offering for financial services clients [read post]
26 Oct 2023, 10:57 pm
September 2023 was a busy month for regulators in the financial services space. [read post]
10 Sep 2007, 5:14 am
Judging by its recent hiring spree, it seems the Carlyle Group sees green in the financial services industry. [read post]
12 Jun 2016, 7:15 pm
Burke, Jeremy and Hung, Angela and Clift, Jack and Garber, Steven and Yoong, Joanne, Impacts of Conflicts of Interest in the Financial Services Industry (February 4, 2015). [read post]
1 Mar 2024, 12:21 am
On 29 February 2024, the Financial Services and Markets Act 2023 (Commencement No. 5) Regulations 2024 were made and published on legislation.gov.uk. [read post]
26 Mar 2015, 7:46 pm
News release: “The use of mobile phones to access bank accounts, credit cards, or other financial accounts continued to increase among adults in the United States last year, according to a Federal Reserve Board report, Consumers and Mobile Financial Services 2015. [read post]
16 Aug 2021, 6:40 am
The Institute is hosted annually by the Consumer Financial Services Committee of the American Bar Association. [read post]
30 Nov 2021, 8:45 pm
On 29 November 2021, the Financial Conduct Authority (FCA) published Policy Statement 21/18 ‘Restricting CMC charges for financial products and services claims’ (PS21/18). [read post]
20 Dec 2023, 12:28 am
The Financial Services and Markets Act 2023 (FSMA 2023) repeals retained EU law (REUL) relating to financial services, to enable the Government to deliver its Smarter Regulatory Framework for financial services. [read post]
17 Jul 2022, 3:16 pm
ASIC released further industry guidance for its expectations regarding sustainability disclosure and has released the remade instruments on disclosure relief for product disclosure statements, Financial Service Guides and superannuation dashboards. [read post]
