Posts tagged with: "financial+services"
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7 May 2025, 8:00 am
For those with very low income, legal aid organizations or pro bono services provide free or low-cost assistance. [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]
29 Jan 2015, 7:08 am
" The Money Suite Company v. 21st Century Insurance and Financial Services Inc., et al, 1-13-cv-00984 (DED January 27, 2015, Order) (Sleet, J.) 33% Success Rate for §101 Motions to DismissPrior to 2010, §101 invalidity defenses were not asserted at the pleading stage via a Rule 12(b)(6) motion. [read post]
9 Jun 2020, 8:42 am
Weakened KYC procedures make financial services more vulnerable to use for various criminal activities, including online banking fraud. [read post]
9 Jun 2020, 8:42 am
Weakened KYC procedures make financial services more vulnerable to use for various criminal activities, including online banking fraud. [read post]
1 Jun 2011, 7:42 am
Michel Barnier, the European commissioner for the internal market and services, calls for trans-Atlantic unity on financial regulation ahead of a meeting with Treasury Secretary Timothy F. [read post]
28 Mar 2022, 1:09 pm
Community Service Project: This month’s service project is a suggested donation to Ukraine through the Ukrainian Cultural Center of New Jersey. [read post]
6 Feb 2015, 9:07 am
Reuters reported on February 6, 2015 that UBS in Puerto Rico held a meeting during which executives of the firm, including Miguel Ferrer, then the Chairman of UBS Financial Services Inc. of Puerto Rico, threatened financial advisors to sell UBS originated Puerto Rico closed-end bond funds despite the brokers’ and their customers’ growing concerns about “low liquidity, excessive leverage, oversupply and instability. [read post]
1 May 2015, 5:58 am
Amazon (NASDAQ:AMZN) has just cleared up the picture over its cloud computing business, Amazon Web Services (AWS) and the company’s forecast looks sunny. [read post]
13 Nov 2015, 8:05 pm
Financial Audit: Bureau of the Fiscal Service’s Fiscal Years 2015 and 2014 Schedules of Federal Debt, GAO-16-160: Published: Nov 13, 2015. [read post]
21 Apr 2023, 6:20 am
Turner was employed by UBS Financial Services Inc. from March 1996 through October 2021, then employed by Stifel Nicolaus & Co, Inc. from October 2021 to February 2022. [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]
5 Nov 2009, 10:48 am
Stifel Financial Corp., which has been expanding its Stifel Nicolaus & Co. retail-brokerage business, is about to make a push into serving registered investment advisers. [read post]
7 Dec 2023, 8:33 am
The key aim of the proposed requirements and expectations in the CP is to manage potential risks to the stability of, or confidence in, the UK financial system that may arise due to a failure in, or disruption to, the services that a CTP provides to one or more authorised persons, relevant service providers, and/or financial market infrastructure entities (FMIs) (either individually or, where more than one service is provided, taken together). [read post]
8 Mar 2016, 10:12 am
The bill proposes expanded protections for individuals who blow the whistle on financial fraud and securities violations and, if enacted, could have significant implications for financial services employees and employers alike. [read post]
20 May 2016, 9:57 am
Brian Slagle On Wednesday May 18, 2016, the House Financial Services Committee’s Subcommittee on Financial Institutions and Consumer Credit held a hearing entitled “Examining the CFPB’s Proposed Rulemaking on Arbitration: Is it in the Public Interest and for the Protection of Consumers? [read post]
20 May 2015, 6:51 am
The House Financial Services Committee’s Subcommittee on Financial Institutions and Consumer Credit heard from representatives of the financial services industry today regarding cybersecurity preparedness. [read post]
20 Jul 2011, 4:17 pm
HR 1315 is an omnibus piece of legislation that includes three bills approved by the House Financial Services Committee. [read post]
3 Jul 2018, 8:00 am
We streamline our administration to better respond to requests and Countrywide financial wellness plan members get priority service. [read post]
3 Jul 2018, 8:00 am
We streamline our administration to better respond to requests and Countrywide financial wellness plan members get priority service. [read post]
