Posts tagged with: "financial+services"
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12 Jul 2019, 4:39 am
On 11 July 2019, the UK Government (the Government) published its response to the Treasury Committee report, ‘Consumers’ Access to Financial Services’, published on 13 May 2019. [read post]
6 Aug 2014, 4:24 am
The New York Department of Financial Services recently published proposed regulations which would require virtual currency businesses operating in New York State to safeguard data and protect customer privacy. [read post]
26 Jan 2019, 5:49 am
Extract from an article by Daniel Gold E-discovery managed services provide law firms with a competitive and financial advantage—from reducing capital expenditures, removing the need to upgrade software, purchase licenses or add human resources to operate and support software to providing a fixed monthly fee for better budgeting. [read post]
20 Dec 2022, 7:14 am
As we enter a recession against the backdrop of ongoing geopolitical instability, we expect to see significant financial crime enforcement and investigations in 2023, including a focus on emerging areas such as ESG, cryptocurrencies, and significant developments in financial sanctions. [read post]
12 Jul 2018, 11:53 am
The UK would seek a new economic and regulatory arrangement for financial services [chapter 1, para 49]. [read post]
14 Mar 2012, 9:10 am
As a representative of New York City, the financial industry is a very important part of our economy. [read post]
21 Apr 2015, 7:22 pm
A growth in account penetration of 13 percentage points in developing economies and innovations in technology—particularly mobile money, which is helping to rapidly expand access to financial services in Sub-Saharan Africa. [read post]
26 Nov 2020, 9:06 am
Martin – Background In Aegis Defense Services, LLC/Allied World Assurance Co. v. [read post]
17 Jan 2020, 11:14 am
The hefty fine was paid to several federal and state agencies, including DOJ, the Federal Reserve, Treasury’s Office of Foreign Assets Control, and the New York Department of Financial Services. [read post]
3 Nov 2022, 2:33 am
Where financial advisers have committed to providing ongoing services to their consumers, these should be delivered and delivered well. [read post]
6 Sep 2017, 7:50 am
Credit repair services cause significant headache for the financial services industry. [read post]
27 Jan 2011, 3:14 pm
A study by Beltratti and Stulz found no evidence that banks with higher scores on the Institutional Shareholder Services’ Corporate Governance Quotient performed better than lower-scoring firms. [read post]
11 Mar 2022, 9:06 am
On 10 March 2022, the European Commission adopted a Delegated Regulation supplementing the Markets in Financial Instruments Regulation (MiFIR) by specifying fees relating to the supervision by the European Securities and Markets Authority (ESMA) of data reporting service providers (DRSPs). [read post]
27 Feb 2025, 6:20 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Allen was employed by Fidelity Brokerage Services LLC at the time of the activity. [read post]
26 Apr 2025, 6:22 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Hernandez was employed by MML Investors Services, LLC at the time of the activity. [read post]
20 Sep 2021, 3:46 am
Financial Independence President & Ex-Dallas, Texas Financial Advisor Was Barred by FINRA Dana Bruce Vietor, a former CFD Investment Services registered representative is under scrutiny following multiple allegations of broker misconduct that have led to customer losses. [read post]
19 Mar 2010, 12:16 pm
The FTC has recently settled several cases relevant to consumer protection and financial stability. [read post]
24 Jan 2013, 12:00 pm
Two recently released JP Morgan Chase (JPM) reports on the causes of the "London Whale" trading losses raise important questions about whether financial service firms can exorcise the spectral issues which were so central to the financial crisis. [read post]
2 Oct 2024, 9:30 am
Registering as a Virtual Asset Service Provider in Korea Virtual Asset Service Providers are defined broadly in Korea’s Act on Reporting and Using Specified Financial Transaction Information and related acts and regulations as: businesses in Korea providing virtual asset trading services (purchase, sale, exchange, transfer); businesses in Korea providing asset safekeeping, administrative, and storage service services of virtual… [read post]
12 Jan 2011, 2:51 pm
"This strong financial support will allow us to pursue several growth initiatives and further differentiate the Ivize service offerings in our 14 regional markets," said Ron Self, president and CEO. [read post]
