Posts tagged with: "financial+services"
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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]
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]
28 Dec 2018, 1:20 pm
Michigan Governor-elect Gretchen Whitmer has appointed Anita Fox as Director of the Department of Insurance and Financial Services. [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]
8 Jun 2023, 1:53 pm
PRESS RELEASEPublished June 8, 2023DALLAS, TX -- June 8th, 2023 -- Eagle Financial Services, Inc (OTCQX:EFSI): Stonegate Capital Partners updates coverage on Eagle Financial Services, Inc (OTCQX:EFSI). [read post]
28 Apr 2021, 4:56 am
IBN Financial Services, Inc. is a broker-dealer based in Liverpool, New York. [read post]
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]
5 Jun 2024, 8:36 am
On June 4, 2024, the Consumer Financial Protection Bureau (“CFPB”) issued a Consumer Financial Protection Circular 2024-03 (“Circular”) warning that the use of unlawful or unenforceable terms and conditions in contracts for consumer financial products or services may violate the prohibition on deceptive acts or practices in the Consumer Financial Protection Act (“CFPA”).... [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]
13 Dec 2021, 8:40 pm
This instrument is made under section 141A(2) of the Financial Services and Markets Act 2000. [read post]
4 Aug 2011, 10:36 am
On August 2, chairman of the House Financial Services Committee, Rep. [read post]
19 Sep 2024, 5:00 pm
These laws generally contain broad carve-outs for employers or positions where background checks are required, including within the financial services industry. [read post]
