Posts tagged with: "financial+services"
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16 Sep 2021, 6:50 am
We discuss recent and ongoing enforcement activity of the PA AG involving consumer financial services. [read post]
29 Sep 2017, 1:34 pm
After reading the article, I am more optimistic that the rule may yet … Continue reading CPR Article Provides Useful Analysis of CFPB Ban on Class Action Waivers in Arbitration Agreements involving Consumer Financial Services Products → [read post]
3 Apr 2018, 8:44 am
The Financial Services Compensation Scheme (FSCS) is the compensation fund of last resort for customers of failed authorised financial services firms across the PRA’s and the FCA’s regulatory remit. [read post]
7 Aug 2022, 7:00 am
Antonio Reyna is now a Securities America broker in Texas, and Edward Bruce Miller is currently registered with Financial Resources Group Investment Services in South Carolina. [read post]
19 Sep 2008, 10:38 am
In an effort to aggressively counter the recent market crisis, the United States Securities & Exchange Commission and United Kingdom's Financial Services Authority announced today that they have temporarily banned all short-selling in financial companies. [read post]
29 Feb 2016, 7:47 am
A Financial Management Services Agency (FMSA) must inform a Consumer Directed Services employer about the information provided in this information letter (IL). [read post]
14 Apr 2021, 2:14 pm
Previously, he was affiliated with Fusion Analytics Securities LLC, from 2015 until 2018, and Ameriprise Financial Services, Inc, from 2010 to 2015. [read post]
16 Jul 2017, 12:48 pm
Did the lenders have a financial incentive not to notify borrowers and thereby reduce their profitable loan portfolio? [read post]
7 Mar 2023, 5:56 am
While the report finds that many BNPL borrowers who the CFPB observed used the product without any noticeable indications of financial stress, BNPL borrowers were, on average, much more likely to be highly indebted, revolve on their credit cards, have delinquencies in traditional credit products, and use high-interest financial services such as payday, pawn, and overdraft compared to non-BNPL borrowers. [read post]
24 Oct 2006, 4:02 pm
The Department of the Treasury Financial Crimes Enforcement Network (Fincen) recently published Frequently Asked Questions (FAQs) providing guidance for money service businesses (MSBs) in connection with their anti-money laundering (AML) programs. [read post]
20 Sep 2018, 2:27 pm
Most recently, she was affiliated with broker-dealer Comprehensive Asset Management and Servicing, Inc. [read post]
1 Sep 2020, 9:59 am
“The United States Postal Service (USPS) is an essential service,” wrote Sen. [read post]
7 Nov 2022, 3:41 pm
However, all banks, fintechs and other financial services providers are now on notice that more intense supervision and examination of their financial technology activities will be forthcoming from both the OCC and the CFPB. [read post]
1 Apr 2021, 6:32 am
For other firms, customer demand flatlined, because the firm’s goods and/or services entailed exposure to COVID-19. [read post]
24 Jan 2011, 9:13 pm
Rhode Island Department of Human Services (RIDHS) must change its policies and procedures to improve language access services for clients with limited English proficiency (LEP) under a resolution agreement (Resolution Agreement) with the Department of Health & Human Services Office for Civil Rights (OCR). [read post]
15 Feb 2022, 10:12 am
More and more, banks are seeking ways to enter the space and offer crypto products and services in order to meet all of their customers financial and banking needs. [read post]
30 Mar 2012, 2:58 pm
That bill creates a mortgage and financial fraud unit within the state’s Attorney General’s office. [read post]
28 Oct 2020, 6:45 am
Florida Financial Advisor is Named in at Least 10 FINRA Cases, Including One $25 Million Claim If you suffered losses while working with UBS Financial Services (UBS) stockbroker, Jose Manuel Cornide, Jr., you may be able to file a Financial Industry Regulatory Authority (FINRA) arbitration claim for your losses. [read post]
28 Jan 2007, 2:15 pm
The rendering of such services in environmentally friendly or ecologically efficient facilities does not affect the basic principles of the financial and banking business. [read post]
17 Feb 2012, 8:19 pm
“Consumer financial products and services have become more complex over the years and they have expanded well beyond traditional banks,” noted CFPB Director Richard Cordray.The CFPB has until July 21, 2012 to issue an initial rule defining larger market participants that could come under CFPB supervision. [read post]
