Posts tagged with: "financial+services"
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27 May 2020, 6:31 am
Previous employers include Suntrust Investment Services, Inc. [read post]
6 Apr 2025, 6:20 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Grober (Grober), previously associated with Dreyfus Service Corporation, has at least one disclosable event. [read post]
28 Sep 2022, 12:27 am
The DSA imposes new rules on providers of intermediary services (e.g., cloud services, file-sharing services, search engines, social networks and online marketplaces). [read post]
2 Mar 2012, 2:56 am
Lehman Brothers International (Europe) (in Administration) v CRC Credit Fund Ltd and Others (Financial Services Authority intervening): [2012] UKSC 6: [2012] WLR (D) 53 “The ‘client money pool’ to be distributed among former clients of Lehman Brothers’ London affiliate was not limited to money which had been placed in segregated client accounts, as required by the Financial Services Authority, but extended to… [read post]
13 Aug 2010, 2:59 am
On 10 August 2010, the Financial Services Authority published a Policy Statement confirming its package of measures to protect consumers of payment protection insurance (PPI).The Policy Statement follows the Consultation Paper issued in March 2010 (CP10/6)(see our blog here). [read post]
4 Mar 2019, 9:26 am
As previously advertised, the monthly financial services breakfast briefing on Wednesday 6 March will take the form of a webinar rather than a seminar. [read post]
3 Mar 2022, 10:00 pm
The Bank of England (Bank) and the UK Financial Conduct Authority (FCA) published their final report of discussions from the UK Artificial Intelligence Public-Private Forum on February 17. [read post]
3 Mar 2022, 10:00 pm
The Bank of England (Bank) and the UK Financial Conduct Authority (FCA) published their final report of discussions from the UK Artificial Intelligence Public-Private Forum on February 17. [read post]
3 Mar 2022, 10:00 pm
The Bank of England (Bank) and the UK Financial Conduct Authority (FCA) published their final report of discussions from the UK Artificial Intelligence Public-Private Forum on February 17. [read post]
3 Mar 2022, 10:00 pm
The Bank of England (Bank) and the UK Financial Conduct Authority (FCA) published their final report of discussions from the UK Artificial Intelligence Public-Private Forum on February 17. [read post]
3 Mar 2022, 10:00 pm
The Bank of England (Bank) and the UK Financial Conduct Authority (FCA) published their final report of discussions from the UK Artificial Intelligence Public-Private Forum on February 17. [read post]
3 Mar 2022, 10:00 pm
The Bank of England (Bank) and the UK Financial Conduct Authority (FCA) published their final report of discussions from the UK Artificial Intelligence Public-Private Forum on February 17. [read post]
15 Feb 2008, 9:45 pm
Summary Report of the 2007 Financial Report: A Citizen's Guide to the 2007 Financial Report of the Government.... [read post]
12 Mar 2020, 10:05 am
To sign up for e-mail updates from the NextGen Financial Services Report, Click Here. [read post]
15 Sep 2016, 3:15 am
As noted in this Reuters article, the House Financial Services Committee has passed the “Financial CHOICE Act of 2016” (which I’ve blogged about several times before – remember my reference to choking a horse; see this MarketWatch article). [read post]
15 Jul 2015, 11:07 am
On July 6, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC (collectively, “Wells Fargo”), Raymond James & Associates, Inc., Raymond James Financial Services, Inc. [read post]
2 Jun 2022, 12:15 am
The subject line should include “Invitation for Comments – Crypto Asset-Related Financial Products and Services ”. [read post]
17 Jul 2024, 7:46 am
Further information For further information on the new Labour Government’s plans for financial services, please see its Financing Growth paper, published in February 2024. [read post]
13 Jul 2018, 4:28 am
As granting equivalence to third countries in the financial services sector requires balancing policy aims, it is proposed that equivalence decisions are given appropriate scrutiny by the European Parliament and Council. [read post]
22 Jan 2012, 1:31 pm
Treasury has released draft A New Tax System (Goods and Services Tax) Amendment Regulations 2012 implementing measures to amend the financial supply provisions of the GST law. [read post]
