Posts tagged with: "financial+services"
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5 Sep 2012, 1:12 pm
Against the backdrop of radical change in the landscape of hedge funds and risk management, not to mention the advent of derivatives, the Managed Funds Association and BNY Mellon, a global financial services company, have issued a report outlining a number of best practices. [read post]
7 May 2010, 11:37 pm
Employees' Porn Problem, CBS, April 23, 2010 Senate Appropriations Financial Services subcommittee US Securities and Exchange Commission [read post]
9 Aug 2022, 4:00 am
Additionally, by not being obligated to provide a retainer upfront, the client may be in a better financial position to secure legal assistance in respect of unanticipated events or at later stages in their case. [read post]
15 Apr 2016, 9:03 am
Gone in Six Characters: Short URLs Considered Harmful for Cloud Services – Martin Georgiev, Vitaly Shmatikov (Submitted on 10 Apr 2016) “Modern cloud services are designed to encourage and support collaboration. [read post]
1 May 2014, 6:40 am
Promissory Notes (often called up-front forgivable loans) are commonly used as a recruiting tool by many of the major brokerage firms in the securities industry, including Morgan Stanley Smith Barney, Banc of America Investment Services, Wells Fargo, Merrill Lynch, Ameriprise , and UBS Financial Services. [read post]
28 Oct 2021, 8:00 pm
Consent: Marketers should obtain affirmative informed consent before charging consumers for a product or service. [read post]
10 Nov 2023, 3:28 am
Financial terms of the deal were not disclosed. [read post]
13 Nov 2011, 1:13 pm
Arrow Financial Services, LLC v. [read post]
19 Jul 2019, 7:34 am
On 18 July 2019, the Joint Money Laundering Steering Group (JMLSG) announced its plans following the responses to the an earlier consultation on sectors 4 (Credit unions) and 20 (Brokerage services to funds) of Part II of its anti-money laundering (AML) and counter-terrorist financing (CTF) guidance for the financial services sector. [read post]
18 Jun 2020, 4:36 am
Financial institutions that finance economic activities that depend on those ecosystem services are exposed to the physical risks of biodiversity loss. [read post]
30 Nov 2015, 7:50 am
The services offered vary but you might be able to get rent and utility assistance, food vouchers or even discounts on medical care. [read post]
14 Sep 2016, 7:20 am
The Department of Financial Services has published guidance fleshing out each of the foregoing requirements. [read post]
16 Mar 2018, 2:35 pm
Requirements for Educational Institutions: Institutions of higher education are required to send borrower notices regarding financial aid. [read post]
12 May 2013, 8:13 pm
Chairman Emeritus of the House Financial Services Spencer Bachus (R-AL) is very concerned with regulatory arbitrage in the implementation of financial services legislation globally, which is to say that he is concerned that the SEC and CFTC regulations implementing the Dodd-Frank Act will not be equivalent with regulations implementing various pieces of E.U. financial reform regulation, which ultimately is to say he fears that U.s. financial… [read post]
10 Sep 2009, 5:04 am
"http://news.bbc.co.uk/1/hi/scotland/glasgow_and_west/8247114.stmSIC Decision 104/2009 UNISON Scotland and the Scottish Prison Service here. [read post]
3 Aug 2022, 3:02 am
The prohibition The Regulations amongst other things, prohibit the direct or indirect provision of the following services to any “person connected with Russia”: “Accounting services”, which comprise: Accounting review services, which are services involving the review by a person of annual and interim financial statements and other accounting information, but excluding auditing services; compilation of financial… [read post]
12 May 2010, 1:47 pm
The new regulations permit a person providing both financial services and credit products to combine the Financial Services Guide and Credit Guide. [read post]
30 Apr 2018, 2:05 pm
On April 27, 2018, the European Securities and Markets Authority (“ESMA“) published a letter from Steven Maijoor, ESMA Chair, to Oliver Guersent, European Commission Director General, Financial Stability, Financial Services and Capital Markets Union, relating to exemptions from the financial obligations under Articles 41 and 42 of EMIR (the Regulation on OTC derivative transactions, central counterparties and trade repositories) (Regulation… [read post]
15 Jul 2010, 9:53 am
"Just as important, it will provide valuable information about persons who have left the securities industry, often not of their own accord, who have established themselves in other segments of the financial services industry and can still cause great harm to the investing public. [read post]
18 Sep 2017, 12:04 pm
This past January, the CFPB filed a lawsuit against TCF National Bank in Minnesota federal district court that alleged that the bank, in connection with offering overdraft services, violated the Consumer Financial Protection Act’s UDAAP prohibition and Regulation E (which implements the Electronic Funds Transfer Act). [read post]
