Posts tagged with: "financial+services"
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29 Sep 2010, 2:00 am
Another service you may wish to check out is BridgePoint Financial Services. [read post]
10 Jun 2024, 9:35 am
On 10 June 2024, the Financial Conduct Authority (FCA), Financial Ombudsman Service (FOS), Financial Services Compensation Scheme (FSCS), Pensions Regulator and Money and Pensions Service issued the second Wider Implications Framework Annual Report. [read post]
5 Jun 2019, 11:57 am
The overriding issue we address today—the obligations of financial professionals when they provide investment advice and services to retail customers—has been at the heart of our mission for those 85 years. [read post]
17 Jun 2011, 2:35 pm
The Autorité des marchés financiers last week published for comment draft regulations and a policy statement related to the Money-Services Businesses Act. [read post]
3 Dec 2009, 9:59 am
The House Financial Services Committee completed its work on a large scale financial regulatory overhaul on Wednesday, when the committee voted to approve the final piece of the Administration’s reform proposal – systemic risk legislation. [read post]
4 May 2009, 7:55 pm
Born out of the Civil Rights Movement, Congress adopted the CRA at a time when many low- and moderate-income communities, often communities of color, were denied basic banking services such as home lending and small business investment. [read post]
6 Jul 2015, 12:07 pm
On 2 July 2015, the UK’s financial regulatory, the Financial Conduct Authority (FCA), published its annual report and accounts 2014/15. [read post]
3 Sep 2020, 4:16 pm
PSPs are now obligated to (i) submit quarterly financial reports within a month after each quarter, and (ii) submit audited financials annually within two months after each fiscal year. [read post]
12 Aug 2011, 3:55 pm
In a letter to House Financial Services Oversight and Investigations Subcommittee Chairman Randy Neugebauer (R-TX), the Financial Stability Oversight Council (FSOC) said that it intends to seek public comment on additional guidance on the regulation and supervision of hedge funds and other non-bank financial institutions under Title I of Dodd-Frank. [read post]
26 Jun 2014, 10:19 pm
A letter from House Financial Services Committee Chair Jeb Hensarling (R-TX), and co-signed by his five Subcommittee Chairs asked Treasury Secretary Jacob Lew and SEC Chair Mary Jo White to explain the role of the FSB in FSOC SIFI designations, especially of non-bank firms has apparently gone unanswered. [read post]
27 May 2020, 2:17 am
Robert Korzik was last in the employment of Ameriprise Financial Services, Inc., a FINRA member firm until October 2017. [read post]
27 May 2020, 2:17 am
Robert Korzik was last in the employment of Ameriprise Financial Services, Inc., a FINRA member firm until October 2017. [read post]
11 Oct 2013, 10:05 am
Pending legislation in New York State would provide protection and compensation for whistleblowers who provide original information about violations of banking, insurance, and financial services laws to the New York State Department of Financial Services (“DFS”). [read post]
2 Oct 2017, 4:03 am
Fidelity Brokerage Services and a former Financial Consultant wound up in federal court and eventually resolved their lawsuit in a FINRA arbitration. [read post]
13 Dec 2023, 10:16 am
On December 7, the Federal Trade Commission, the Department of Justice and the Department of Health and Human Services jointly announced an intent to focus on anti-competitive practices in the pharma market and in healthcare service delivery. [read post]
24 May 2019, 7:51 am
The subpoenas were issued by the House Financial Services and Intelligence committees. [read post]
30 Apr 2020, 7:16 am
After looking at how the 2008 financial crisis and its aftermath might inform regulators’ response to the pandemic, we discuss how collections, loss mitigation/hardship programs, and originations of existing products and new programs designed to assist pandemic-impacted consumers (including changes to credit risk/fraud models to address the pandemic’s effects) can create UDAP and fair lending risk. [read post]
4 Mar 2020, 7:06 am
Consumer Financial Protection Bureau and Charles Liu v. [read post]
18 May 2008, 8:26 am
Image via Wikipedia The other day I heard a Feed The Pig public service announcement (”PSA”) on how Americans are generally spending more than they’re making. [read post]
25 Sep 2018, 7:35 am
Such disclosures on a broker’s record can reveal a financial incentive for the broker to recommend high commission products or services. [read post]
