Posts tagged with: "financial+services"
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11 May 2021, 7:10 am
Ohio National Financial Services Broker-Dealer Accused of Failing to Properly Supervise The Financial Industry Regulatory Authority (FINRA) announced that brokerage firm O.N. [read post]
28 Jun 2022, 1:18 am
On July 12, 2022 our financial services and risk advisory teams will be holding a panel discussion event on the key financial crime issues facing financial services firms. [read post]
18 Jan 2022, 8:16 am
UBS Financial Services is Also a Defendant in New Class Action Lawsuit If you are a UBS Financial Services customer who invested in the firm’s Yield Enhancement Strategy (UBS YES) at the recommendation of New York financial advisor, William Montgomery Cerf, you are not alone. [read post]
1 Oct 2014, 10:31 am
In California, reports can be made to the local county Adult Protective Services Agency or to local law enforcement. [read post]
3 Sep 2014, 11:09 pm
In California, reports can be made to the local county Adult Protective Services Agency or to local law enforcement. [read post]
14 Jun 2024, 12:01 pm
Recent statistics indicate a concerning trend in the financial services industry. [read post]
15 Jul 2010, 5:48 am
Ethics Inquiry: The Office of Congressional Ethics is looking into fundraisers involving financial services companies that took place near the time of the House vote on financial reform, according to this article in The New York Times. [read post]
9 Mar 2021, 10:00 pm
The UK Financial Conduct Authority (FCA) has published its findings on an extensive review into the factors which determine failure or success when implementing technology change in the financial services sector. [read post]
9 Mar 2021, 10:00 pm
The UK Financial Conduct Authority (FCA) has published its findings on an extensive review into the factors which determine failure or success when implementing technology change in the financial services sector. [read post]
1 Apr 2010, 3:11 pm
Representative Barney Frank, the head of the Financial Services Committee, bans staff contact with a former assistant who left for a firm that stands to benefit from financial legislation he helped write. [read post]
16 Jun 2011, 7:04 pm
Sullivan & Cromwell, Wachtell, Mayer Brown, and Dutch firm Loyens & Loeff are advising on Capital One Financial's acquisition of the U.S. online banking unit of Dutch financial services giant ING Group. [read post]
19 Nov 2017, 12:27 pm
Now that Richard Cordray is on his way out as director of the Consumer Financial Protection Bureau (CFPB), banking and financial services lobbyists are gearing up to attempt to unwind some of the bureau’s regulatory work and to put a... [read post]
6 Jan 2009, 4:33 am
Britain's Financial Services Authority said Monday that it plans to roll back a ban on short-selling financial stocks later this month, but that disclosure requirements enacted in June may remain in place. [read post]
4 Mar 2011, 6:58 am
Kobayashi, a former financial adviser at UBS Financial Services LLC, with misappropriating $3.3 million in a scheme that included bilking investors in a private investment fund he established. [read post]
12 Mar 2010, 3:35 pm
Representative Spencer Bachus, the ranking Republican on the House Financial Services Committee, is calling on Senate Democrats to address the future of government-sponsored enterprises like Fannie Mae and Freddie Mac in the financial regulatory bill. [read post]
9 Mar 2021, 10:00 pm
The UK Financial Conduct Authority (FCA) has published its findings on an extensive review into the factors which determine failure or success when implementing technology change in the financial services sector. [read post]
18 Feb 2010, 4:47 am
From Economix: The head of Britain's Financial Services Authority is sharpening his argument that recent financial deregulation is misguided and that further controls are needed, economist Simon Johnson argues. [read post]
9 Mar 2021, 10:00 pm
The UK Financial Conduct Authority (FCA) has published its findings on an extensive review into the factors which determine failure or success when implementing technology change in the financial services sector. [read post]
9 Mar 2021, 10:00 pm
The UK Financial Conduct Authority (FCA) has published its findings on an extensive review into the factors which determine failure or success when implementing technology change in the financial services sector. [read post]
22 Nov 2011, 8:02 am
British financial regulators have barred a hedge fund compliance officer from working in the country's financial services industry, in connection with deals resulting from the collapse of Lehman Brothers. [read post]
