Posts tagged with: "financial+services"
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6 Dec 2010, 12:37 pm
The House Financial Services Committee will hold a hearing on “A Proposal to Increase the Offering Limit under SEC Regulation A” on Wednesday, December 8, 2010. [read post]
18 Apr 2011, 3:01 pm
., a financial services holding company for three broker-dealers and an investment adviser based in Richmond, Virginia, and its President and CEO, Nicholas D. [read post]
31 Jan 2017, 3:00 pm
PSA Insurance & Financial Services Vice President and Senior Risk Adviser Valerie Corekin, CPCU, ARM was appointed to the board of directors of the Cybersecurity Association of Maryland, Inc. [read post]
13 Jan 2021, 2:33 pm
In a development welcomed by industry members, the CFPB published today a “Statement Regarding the Provision of Financial Products and Services to Consumers with Limited English Proficiency. [read post]
24 Jun 2022, 5:00 am
The FSCA took the decision to debar a representative of a financial service provider (FSP), where clear evidence illustrated non-compliance with the Fit and Proper requirements under the Financial Advisory and Intermediary Services Act, 2002 and followed the required debarment process. [read post]
28 Jul 2008, 8:45 am
Shore v Sedgwick Financial Services Ltd and another [2008] EWCA Civ 863; [2008] WLR (D) 255 “Where a client, on the advice of a financial adviser, shifted his pension investment from a relatively safe occupational final salary pension scheme to a new more risky personal pension income withdrawal scheme, which later suffered in value owing to falling annuity rates, the client's right to sue the adviser in negligence accrued on the date when the transfer was… [read post]
20 Sep 2023, 7:23 am
The SI extends, by twelve months, the transitional arrangements under Parts 2 and 3 of the Financial Services (Gibraltar) (Amendment) (EU Exit) Regulations 2019 (SI 2019/589) which enable specified categories of Gibraltar-based firms to provide financial services in the UK and facilitate the access by similar types of UK-based firms to Gibraltar’s financial services market. [read post]
22 Jul 2022, 7:54 am
On 22 July 2022, there was published The Financial Services and Markets Act 2000 (Consequential Amendments of References to Rules and Miscellaneous Amendments) Regulations 2022. [read post]
23 Mar 2020, 12:15 pm
Ballard Spahr’s Consumer Financial Services, Banking & Financial Institutions, and Mortgage Banking Groups are closely monitoring regulatory developments in connection with the coronavirus (COVID-19) crisis. [read post]
18 Apr 2022, 8:49 am
What Is The Current Status Of Northstar Financial Services (Bermuda)? [read post]
11 Jul 2016, 9:03 am
Mishkin Tomorrow, July 11, the House Financial Services Committee’s Subcommittee on Financial Institutions and Consumer Credit will hold a hearing titled: “Examining the Opportunities and Challenges with Financial Technology (“FinTech”): The Development of Online Marketplace Lending. [read post]
17 Nov 2022, 9:50 am
The post Dubai Financial Services Authority Issues New Regime to Regulate Crypto Tokens appeared first on Al-Mirsal. [read post]
24 Mar 2021, 11:45 am
Continue Reading › The post Ex-Ocean Financial Services Broker Maria Calcena Named In Customer’s Northstar Financial Services (Bermuda) Fraud Claim appeared first on Investor Lawyers Blog. [read post]
14 Aug 2019, 5:32 am
In the financial services industry, investigations by the government or self-regulatory organizations are commonplace, and because they inevitably involve employee conduct (or misconduct), there is frequently an internal employment-related investigatory component. [read post]
18 Aug 2013, 6:39 am
The post then considers the additional requirements on remuneration that the UK is planning to impose in relation to the financial services industry. [read post]
3 Sep 2019, 6:36 am
This map provides a catalogue to help the financial services industry navigate these changing laws. [read post]
18 Sep 2019, 1:09 pm
M&T Bank was chosen to be a financial services provider to University of Maryland, College Park in a deal announced Wednesday, partnering on a wide-range of initiatives to serve the campus through personal banking services, financial literacy programs and community involvement. [read post]
5 May 2016, 1:40 pm
Mishkin On April 20, 2016, Congressman Sean Duffy sent a letter to Director Cordray indicating that the House Financial Services Committee is investigating “the examination and possible regulation by the [CFPB] of pre-dispute arbitration agreements in contracts for consumer financial products and services. [read post]
7 Nov 2023, 10:00 am
FSMA 2023 repeals retained EU law relating to financial services, which will be replaced with rules set by the financial services regulators, operating within a framework set by government and Parliament. [read post]
23 Apr 2010, 10:42 am
The AALS Section on Financial Institutions and Consumer Financial Services is posting a call for papers for the AALS Annual Meeting in San Francisco in January. [read post]
