Posts tagged with: "financial+services"
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16 Jun 2011, 9:11 am
Herbert Smith targets growth in regulatory advisory work following hire of Taylor Wessing's financial services regulatory head Clive Cunningham, who will join the firm this fall. [read post]
6 Jan 2022, 7:55 am
The list includes laws related to mortgage servicing, debt collection, bankruptcy, student loans, and medical debt. [read post]
27 Sep 2017, 9:08 am
View IRSG report on new basis for access to EU-UK financial services post-Brexit, 26 September 2017 [read post]
20 Jun 2019, 7:43 am
On 18 June 2019, the Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) (Amendment) Regulations 2019 were published on legislation.gov.uk, together with an explanatory memorandum. [read post]
18 Oct 2018, 12:20 pm
Former Financial Adviser Now Facing Years in Prison for $20M Investor Fraud Dawn Bennett, an ex-financial adviser and the operator of Bennett Financial Group Services, has been convicted of 17 criminal charges, including securities fraud, conspiracy, bank fraud, wire fraud, and making false statements on a loan application. [read post]
13 Jun 2019, 11:44 am
Simpson examine just what those standards might be in “The Fed May Increase Cybersecurity Standards for Large Financial Institutions and their Service Providers. [read post]
26 Mar 2020, 3:31 pm
In response to New York Governor Cuomo’s Executive Order 202.9 issued on March 21, the New York Department of Financial Services (DFS) has adopted new regulations to provide emergency relief to individuals who can demonstrate financial hardship as a result of COVID-19. [read post]
27 Jul 2022, 6:31 am
Clearing members are financial institutions that access clearing services. [read post]
27 Jul 2022, 6:31 am
Clearing members are financial institutions that access clearing services. [read post]
11 May 2018, 7:22 am
As you review these slides, consider your experiences with your own financial advisers. [read post]
25 Dec 2019, 11:00 pm
The justices have agreed to consider the following question: Whether the Committee on Financial Services and the Intelligence Committee of the U.S. [read post]
18 Jul 2014, 5:23 pm
These new deficiencies in Fiscal Service’s information systems controls, along with unresolved control deficiencies from prior audits, collectively represent a significant deficiency in Fiscal Service’s internal control over financial reporting. [read post]
Testimony at the Committee on Financial Services hearing: “Oversight of the Proxy Advisory Industry”
20 Jul 2023, 6:31 am
In order to do so both effectively and efficiently, institutional investors often leverage their resources by using the services of a proxy advisor. [read post]
Testimony at the Committee on Financial Services hearing: “Oversight of the Proxy Advisory Industry”
20 Jul 2023, 6:31 am
In order to do so both effectively and efficiently, institutional investors often leverage their resources by using the services of a proxy advisor. [read post]
31 May 2021, 7:38 am
New York Financial Adviser Has Multiple Customer Disputes on Record The Financial Industry Regulatory Authority (FINRA) has suspended ex-MML Investors Services LLC broker Adam Gerard Belardino. [read post]
29 Jun 2017, 9:56 am
Macro-financial risks to the financial system could also result from increased interconnectedness and dependence on third-party service providers, the FSB states. [read post]
7 Dec 2022, 9:51 am
The FCA is consulting on the following In order to operationalise the new gateway: how the FCA will assess applicants at the gateway; the basis for the FCA granting or refusing an application; a bi-annual reporting requirement for firms that are given permission to approve financial promotions; a requirement that firms that are granted permission to approve financial promotions must notify the FCA when they approve, or amend or withdraw approval of, a financial… [read post]
15 Sep 2024, 1:13 pm
The immediate financial impact of an accident can include: Medical Expenses Short-term medical expenses can include emergency services, doctors’ visits, hospital stays, surgery, medication, and rehabilitation. [read post]
After the Dust Settles on Gross v. FBL Financial Services, When Does Burden Shift on Discrimination?
4 Aug 2009, 8:12 am
FBL Financial Services, that the burden of proof in age discrimination cases. [read post]
1 Oct 2019, 6:53 am
As previously advertised, this month’s financial services breakfast briefing will take place tomorrow in the form of a webinar rather than a seminar. [read post]
