Posts tagged with: "financial+services"
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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]
30 Oct 2009, 2:24 pm
Geithner's Written Testimony before House Financial Services Committee (October 29) [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]
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]
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]
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]
8 Aug 2022, 9:45 am
In the latest episodes of our Regulation Tomorrow podcasts: Jonathan Herbst and Hannah Meakin provide a high-level overview of the Financial Services and Markets Bill which was introduced on the 20 July 2022 (Apple podcasts / Spotify). [read post]
19 Oct 2012, 7:00 am
FINRA regulators have entered into a settlement with EKN Financial Services, Anthony Ottimo, Sr. and Thomas Giugliano resulting in the expulsion of EKN from FINRA. [read post]
19 Oct 2012, 7:00 am
FINRA regulators have entered into a settlement with EKN Financial Services, Anthony Ottimo, Sr. and Thomas Giugliano resulting in the expulsion of EKN from FINRA. [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]
19 Feb 2010, 11:10 am
I agree with the WTO Secretariat that WTO financial services commitments played little, if any, role in the financial crisis. [read post]
30 Apr 2015, 3:23 pm
An employee of a financial services firm, whose compensation consists of fees and commissions, asks whether it is legal for his employer to require him to reimburse a client directly for any losses the client suffers because of a trading error. [read post]
5 Sep 2023, 9:26 am
On 5 September 2023, the Financial Services Consumer Panel (FSCP) published a final report on financial services firms’ personal data use, in which it considers whether that use is leading to bias and detriment for consumers with protected characteristics. [read post]
28 Feb 2019, 7:44 am
The US Securities and Exchange Commission (SEC) has filed fraud charges against Castleberry Financial Services, its president T. [read post]
4 Nov 2024, 10:00 pm
Trends & Insights provides the latest in news articles and insight documents on trending areas for financial service organizations. [read post]
6 Nov 2019, 9:24 am
The named plaintiff is a 54-year-old woman living in Washington D.C. who alleges that Facebook and associated financial services companies prevented her and other similarly situated individuals from viewing advertising and information about financial services opportunities by targeting advertisements to men and those under 40. [read post]
