Posts tagged with: "financial+services"
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1 Mar 2022, 2:56 am
In the absence of specific guidance on the circumstances in which Crypto-related Services are deemed to be provided in Italy, interpretative criteria can be drawn from the guidelines of the financial services sector. [read post]
New York DFS Consumer Protection and Financial Enforcement Division: New Name, New Look, Old Mandate
29 May 2019, 12:08 pm
On April 29, 2019, just months into her new job at the New York State Department of Financial Services (“DFS”), acting DFS Superintendent Linda Lacewell announced a significant reorganization within the financial and insurance regulator. [read post]
11 Nov 2022, 2:01 pm
The UK Office of Financial Sanctions Implementation (OFSI) Thursday published their most recent report on the UK’s financial sanctions, revealing that £18.39 billion worth of Russian assets have been frozen. [read post]
28 Feb 2017, 12:42 pm
” The CFPB should prescribe rules to ensure that the features of data aggregation products and services are adequately disclosed by using its authority under Dodd-Frank Act Section 1032 to “prescribe rules to ensure that the features of any consumer financial product or service…are fully, accurately, and effectively disclosed to consumers in a manner that permits consumers to understand the costs, benefits, and risks associated with the product or… [read post]
8 Feb 2007, 11:39 am
Thompson & Knight LLP, Kestrel Management Services, and Frank Crystal & Company jointly sponsored a seminar on Wednesday, February 7, 2007 "Environmental Compliance and Financial Disclosure: Managing Internal Controls and Information Flow. [read post]
16 Jul 2012, 4:58 pm
This is where the services of a Professional Financial Advisor are needed. [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]
10 Nov 2011, 1:13 pm
For financial abuse questions: (888-303-3297) Callers to this number will speak with an adult protective services professional about elder financial abuse and strategies for keeping themselves or older loved ones independent. [read post]
23 Sep 2011, 9:36 am
The Second Circuit recently held that an issuer of auction rate securities (ARS) could arbitrate claims against the financial services firm that advised the issuer on the offerings and acted as the lead underwriter and the main broker-dealer responsible for... [read post]
26 Apr 2017, 12:36 pm
For $199/month (or $239/month if billed annually), Gust Launch provides startups with ongoing legal, financial, accounting and back-end services all through one convenient cloud-based platform. [read post]
31 Oct 2016, 6:00 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including compliance with federal and state laws and rules. [read post]
24 Oct 2024, 5:00 am
The general counsel may choose to embed in-house lawyers in various business units with high demand for legal services. [read post]
23 Sep 2013, 3:03 pm
Bautista has been associated with seven FINRA member firms including his most recent employer, CUSO Financial Services, L.P. [read post]
2 Feb 2023, 6:56 pm
Our Skilled Annuity Fraud Lawyers Represent Northstar Financial Services (Bermuda) Investors Mexico Investors File FINRA Lawsuit Accusing Truist Investment Services of Overconcentration Once again, Shepherd Smith Edwards and Kantas (investorlawyers.com) have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Truist Investment Services over losses suffered by investors in Northstar Financial Services… [read post]
21 Mar 2024, 11:46 am
The regime is designed to be proportionate to the risk it seeks to mitigate, and is targeted at services provided by CTPs to the UK financial services sector. [read post]
6 Aug 2024, 11:55 am
The arrangement between BCEP and the TCD company involved paying the company for test interpretations while also billing for those services, creating a financial incentive for unnecessary tests and billings. [read post]
10 Nov 2016, 4:55 am
In this case, Volkswagen Financial Services (UK) Limited (VWFS) is an ultimately wholly owned subsidiary of the Volkswagen Group. [read post]
18 Jun 2020, 10:37 am
The Airport’s Financial Interests Must Come First Grant Assurance 24 requires airport sponsors to maintain a fee and rental structure for the facilities and services at the airport that will make the airport “as self-sustaining as possible under the circumstances. [read post]
28 Sep 2011, 1:28 pm
Blum & Silver, LLP is pursuing claims against National Financial Services, LLC (“NFS”) for investors who lost money investing over $100 million in more than 20 unregistered debt offerings sold by McGinn, Smith & Co., Inc., (“McGinn Smith”) and other entities under its ownership or control. [read post]
22 Sep 2016, 7:04 am
The investment fraud lawyers of Gana LLP are investigating the employment termination filed with The Financial Industry Regulatory Authority (FINRA) by Woodbury Financial Services, Inc. [read post]
