Posts tagged with: "financial+services"
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24 Jul 2009, 1:36 am
The proposed legislation would create an eight-member Financial Services Oversight Council [text, PDF] to pinpoint risks in financial markets and would establish a National [read post]
7 Sep 2022, 8:57 am
Furthermore, the FCA wants to test how financial services and other sectors can share data and analytics in real time, and how to spot fraud at source. [read post]
14 Jan 2020, 10:38 am
Our colleague Janene Marasciullo, a Member of the Firm at Epstein Becker Green, has a November 2019 post on the Trade Secrets & Employee Mobility blog that will be of interest to many of our readers in the financial services industry: “Enforcing Non-Solicitation Agreements Against Financial Professionals: A Court Finds Financial Professionals Have a Duty to Notify Clients About a Change of Employment. [read post]
25 Oct 2011, 12:55 am
On 20 October 2011, Mark Hobson, the Financial Secretary to the Treasury, announced the establishment of a new steering group whose aim is to develop a new, simple suite of financial products to help consumers navigate the financial services market. [read post]
7 Nov 2011, 11:47 am
The Consumer Financial Protection Bureau "CFPB" recently released the Supervision and Examination Manual--Version 1.0 which is the Manual the CFPB will use to supervise and examine consumer financial service providers under its authority. [read post]
4 Mar 2013, 8:26 am
On February 26, the Fed issued a proposed rule that would amend Regulation HH to set out the conditions and requirements for a Federal Reserve Bank to open and maintain accounts for and provide financial services to financial market utilities designated as systemically important by the FSOC. [read post]
21 Dec 2010, 9:47 pm
Discover Financial Services... [read post]
28 Jul 2020, 6:09 am
The Securities and Exchange Commission today charged Houston-based VALIC Financial Advisors Inc. [read post]
25 Aug 2022, 12:15 am
The bill defines a "digital financial asset, with certain exceptions, as a "digital representation of value that is used as a medium of exchange, unit of account, or store of value, and that is not legal tender, whether or not denominated in legal tender" and "digital financial asset business activity" as any of the following: Exchanging, transferring, or storing a digital financial asset or engaging in digital financial… [read post]
28 Feb 2023, 2:09 am
Additionally, unlike older generations, Gen Z and millennial employees are seeking other types of investments, including investing in cryptocurrency, real estate, annuities and small businesses, according to Schwab Retirement Plan Services’ annual survey of 401(k) plan participants. [read post]
16 Aug 2022, 3:31 pm
The Korean Financial Services Commission presented its intentions to enhance the rules governing cloud computing and network separation in the Korean financial industry on April 14, 2022. [read post]
23 Apr 2020, 5:13 pm
The service of the “Financial Affidavit” shall be as follows: (i) The Petitioner shall serve the completed “Financial Affidavit” not later than thirty (30) days after service of the initial pleading and the Respondent shall serve the completed “Financial Affidavit” not later than thirty (30) days after the filing of the responding party’s appearance; or (ii) Not less than seven (7) business… [read post]
27 Jun 2011, 10:22 am
Noting that the Basel Committee is contemplating raising the capital level for global systemically important financial firms, three members of the House Financial Services Committee urged US regulators to carefully consider the impact of any Basel actions on the US economy. [read post]
1 Aug 2013, 6:38 am
Kruse, Jacksonville, FL, and his brother had apparently been providing financial advisory services for decades; however, starting in 2010, the two brothers, now unlicensed advisors, conspired to recruit and defraud a number of their clients. [read post]
24 Sep 2021, 8:40 pm
Decision of the EEA Joint Committee No 250/2018 of 5 December 2018 amending Annex IX (Financial services) to the EEA Agreement, which incorporates the revised Wire Transfer Regulation. [read post]
18 Mar 2024, 10:00 pm
Financial Services Regulations Fundamentals Resource Kit and In-House Banking and Financial Services Resource Kit provide links to practice notes, checklists, articles, and guidance on key issues, laws, and regulations applicable to in-house lawyers and counsel advising on risk management for bank and non-bank financial institutions. [read post]
18 Mar 2008, 8:17 am
Here are the details on the Student Financial Services website. [read post]
27 Mar 2013, 10:20 am
The Consumer Financial Protection Bureau (CFPB) recently proposed a rule that would allow the agency to manage the oversight of nonbank student loan servicers. [read post]
10 Jun 2021, 6:13 am
These are, in our view, the impact on the financial sector, which will indirectly impact other sectors, the impact on environmental, social or governance (ESG) investing and the impact on those who sell goods and services to the federal government via government procurement. [read post]
20 Oct 2022, 1:16 am
With the declaration of crypto assets as a financial product, providers of crypto assets are left wondering whether they need to register as a financial service provider under the Financial Advisory and Intermediary Services Act, 2002. [read post]
