Posts tagged with: "financial+services"
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4 Sep 2015, 11:34 am
FINRA is dedicated to investor protection and market integrity through effective regulation and compliance and technology-based services. [read post]
25 May 2011, 12:59 pm
UBS Financial Services Inc. has agreed to pay $160 million to settle claims regarding their anticompetitive actions in the municipal bond market. [read post]
11 Dec 2020, 8:50 pm
On 10 December 2020, the Council of the Islamic Financial Services Board (IFSB) adopted the following new standards: IFSB-24: Guiding Principles on Investor Protection in Islamic Capital Markets. [read post]
5 May 2016, 1:47 pm
We are pleased to announce the webinar “Protecting Confidential Information and Client Relationships in the Financial Services Industry” is now available as a podcast and webinar recording. [read post]
30 Mar 2015, 12:01 pm
We are pleased to announce the webinar “Protecting Confidential Information and Client Relationships in the Financial Services Industry” is now available as a podcast and webinar recording. [read post]
3 Mar 2011, 9:14 am
Kobayashi, a financial advisor working in the Walnut Creek, California, office of UBS Financial Services LLC. [read post]
25 Sep 2014, 6:45 am
The Internal Revenue Service issued a fraud alert for international financial institutions complying with the Foreign Account Tax Compliance Act (FATCA). [read post]
10 Aug 2017, 12:44 pm
Those with financial means can afford the best representation. [read post]
18 Jul 2012, 7:07 am
In addition to the takeaways in the slides, some financial advisors have added language along the lines of the underlined last sentence below following more typical language in their engagement letters to emphasize that their financial advisory services do not include performing financial diligence on behalf of their clients: "[Financial advisor] will rely upon and assume the accuracy and completeness of all financial and other information… [read post]
20 Jan 2022, 6:23 am
The wide range of hard and soft skills you acquired through service can be transferred with great success to the private sector. [read post]
28 Apr 2010, 10:32 am
All physicians and medical groups that have in-house MRI, CT, or PET imaging services (or that refer to an outside entity in which they have a financial interest) will need to make written financial disclosures to patients to comply with the new law in order to qualify for Medicare reimbursement. [read post]
5 Nov 2024, 4:00 am
The upshot was that smaller size firms with WIP and financially structured for contingency were in danger of outright collapse. [read post]
14 Jan 2013, 4:18 pm
Access Family Services, headquartered in Charlotte, N.C., is a provider of community-based outpatient behavioral health services Financial terms were not disclosed. [read post]
4 Jun 2024, 9:30 am
At the product level, institutions should establish and report clear criteria, definitions and indicators for products and/or services labelled as green or sustainable. [read post]
27 Nov 2013, 9:39 am
As long as the advise is appropriate within the financial service industry’s very loose suitability requirements, it’s very difficult to hold your financial adviser liable for mismanaging your money based on his or her recommendations. [read post]
17 May 2017, 5:13 pm
” Revenue per lawyer is a key indicator of financial health. [read post]
3 Jul 2011, 5:53 am
Bank of America $2,135.30 19.9% Wells Fargo $1,811.97 16.9% JPMorgan Chase & Co $1,353.60 12.6% Citigroup Inc $677.81 6.3% GMAC/Ally Financial $349.08 3.2% US Bancorp $189.85 1.8% SunTrust Banks Inc $175.93 1.6% PHH Mortgage $155.97 1.4% OneWest Bank, CA (IndyMac) $155.00 1.4% PNC Financial Services $149.94 1.4% HSBC ? [read post]
3 Jul 2011, 5:53 am
Bank of America $2,135.30 19.9% Wells Fargo $1,811.97 16.9% JPMorgan Chase & Co $1,353.60 12.6% Citigroup Inc $677.81 6.3% GMAC/Ally Financial $349.08 3.2% US Bancorp $189.85 1.8% SunTrust Banks Inc $175.93 1.6% PHH Mortgage $155.97 1.4% OneWest Bank, CA (IndyMac) $155.00 1.4% PNC Financial Services $149.94 1.4% HSBC ? [read post]
23 Nov 2010, 4:33 am
Hart was let go as the chief financial officer for Am Vets, a nonprofit Maryland-based veteran services organization. [read post]
16 Sep 2008, 10:00 am
The FSMT has handed down its decision in the case of Asgar Ali Ravjani (trading as Astrad Finance) v Financial Services Authority, which involved the failure to disclose a discharged bankruptcy to the FSA.The action was an application by Mr Ravjani to suspend the effect of the FSA's removal of his permission to carry on any regulated activities. [read post]
