Posts tagged with: "financial+services"
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5 Feb 2021, 6:49 am
Given the CCFPL’s significance for the consumer financial services industry, we will soon be launching the California Consumer Financial Protection Law Resource Center on Consumer Finance Monitor. [read post]
3 Aug 2020, 1:07 pm
Equity Sales Company (CRD# 2936), Park Avenue Securities LLC (CRD# 46173), NY Life Securities LLC (CRD# 5167), and Mutual of Omaha Investor Services, Inc. [read post]
21 Sep 2018, 7:52 am
Our latest Brexit video on Financial market infrastructure is available here. [read post]
11 Jun 2009, 7:33 am
This morning, we’re listening in on the House Financial Services Committee hearing on Compensation Structure and Systemic Risk. [read post]
24 May 2022, 11:36 am
Farias in Honolulu, Hawaii, over Northstar Financial Services (Bermuda) losses. [read post]
29 Mar 2012, 11:21 am
Dayton, Ohio- ITS Financial LLC an Instant Tax Service Franchiser and Franchisee is the recipient of federal lawsuits where the US Justice Department is accusing them of fraud. [read post]
10 Dec 2009, 10:31 pm
The WSJ Blog asks - "If Honest-Services Law is Struck, Will an "Earthquake Ensue? [read post]
3 Jan 2011, 1:37 pm
Financier Worldwide Magazine Barry A. [read post]
2 Nov 2010, 12:43 am
In particular the Regulations: • defer the application of the tax agent services regime to holders of Australian Financial Services Licenses (registered financial planners); and • exclude certain services that are effectively internal, between connected entities or provided between closely related parties, from the tax agent services regime. [read post]
5 Jul 2021, 3:37 pm
Cecilia Marogna, who provided intelligence services to the Secretariat of State, was charged with embezzlement. [read post]
5 Oct 2012, 12:52 pm
Sorry to dodge a more definite answer here, but I am not running for office, and spouting a bottom line when one is unsure can turn into mere spitballing.OK, what I probably would do if less constrained is (a) address income tax (and, outside the U.S., VAT) under-taxation of financial services, (b) adopt the “FAT-2” version of the financial activities tax, in response to apparently durable rents in the financial sector that make me very suspicious of… [read post]
27 Jun 2019, 12:42 pm
The law completely exempts from its coverage supervised financial organizations, financial institution holding companies, mutual holding companies, and their wholly- owned subsidiaries. [read post]
7 Jun 2025, 6:17 am
Previously financial advisor Brian Dunn (Dunn), previously employed by brokerage firm Mercury Investment Services LLC has been subject to at least one disclosable event. [read post]
7 Feb 2023, 9:20 am
(Nationwide), an Ohio mortgage services company. [read post]
27 Nov 2012, 7:58 am
Nelson is a senior associate in the Financial Services Regulatory Group at Reed Smith LLP, resident in the Princeton and Washington, D.C. offices, and a co-leader of the firm’s Financial Institutions Enforcement & Investigations Task Force. [read post]
4 May 2018, 1:39 am
On 1 May 2018, a legislative proposal was published for consultation to amend the Decree on Conduct of business supervision financial undertakings (Besluit Gedragstoezicht financiële ondernemingen,) to incorporate recommendations made by the College Expertise Financial Services (College Deskundigheid Financiële Dienstverlening) on the basis of its analysis of the professional competence framework laid down in the Act on the Financial Supervision (Wet op… [read post]
9 Jul 2009, 3:05 am
" The case is Bank of America Investments Services, Inc. v. [read post]
11 May 2016, 7:08 am
Since inception, the PTAB has issued 324 decisions addressing whether at least one claim of the challenged patent is directed to a financial product or service as required for CBM review. [read post]
18 May 2010, 8:50 am
This was left as a comment on an article here about United First Financial (UFF) and their Money Merge Account (MMA). [read post]
24 Feb 2010, 12:09 pm
You can usually get a free copy once a year from a service like www.freecreditreport.com. [read post]
