Posts tagged with: "financial+services"
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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]
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]
23 Mar 2020, 7:58 am
These could include, among others: financial contingency planning based on the possible duration of the pandemic and stay-at-home or similar orders; negotiations with lenders for short or near-term debt service extensions, additional liquidity, or a restructuring of loan facilities; and potential changes in customer preferences or supplier availability once the pandemic eases. [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]
7 Apr 2015, 9:45 am
” Cohen "said he was offended by the suggestion that their endorsements had been made in return for the financial help. [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]
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]
27 Jul 2022, 10:52 am
The claim further alleges that Ausdal Financial Partners Inc. unsuitably invested its clients in the high-risk GWG Series L Bond, securities sponsored by GWG Holdings, a Dallas-based financial services firm. [read post]
19 Feb 2024, 10:00 pm
Trends & Insights provides the latest in news articles and insights documents on trending areas for financial service organizations. [read post]
31 Oct 2024, 1:05 pm
Declaration confirming service of the preliminary (and final or a waiver of the final) financial disclosures. [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]
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]
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]
24 May 2019, 7:51 am
The subpoenas were issued by the House Financial Services and Intelligence committees. [read post]
13 Jun 2018, 6:47 am
American simultaneously entered into a participation agreement with Maryland Financial Bank (“MFB”) entitling MFB to an undivided 50% interest in everything arising from or out of the Loan and Loan documents. [read post]
Pa. Supreme Court Holds No Fiduciary Duty Created By Purchase of Insurance From Ameriprise Financial
2 Aug 2017, 6:41 am
Yenchi sued Ameriprise, American Express Financial Services Corporation, American Express Financial Advisors Corporation, IDS Life Insurance Company, and an agent, Holland, after having their purchases independently reviewed. [read post]
16 Jun 2020, 8:00 am
Countrywide Pre-Paid Legal Services has a program that offers substantial help. [read post]
