Posts tagged with: "financial+services"
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10 Nov 2023, 8:25 am
His prior employer was Wells Fargo Clearing Services, LLC (CRD#:19616), also of Tucson. [read post]
10 Nov 2023, 7:44 am
(CRD#:15699) FINRA expelled the firm on 06/01/2017, SMITHTOWN, NY B, 06/22/2012 – 06/06/2013, COLORADO FINANCIAL SERVICE CORPORATION (CRD#:104343), SMITHTOWN, NY B, 12/11/2008 – 06/21/2012, BROOKSTONE SECURITIES, INC. [read post]
10 Nov 2023, 7:29 am
(CRD#:14416), also of Skokie, Raymond James Financial Services, Inc. [read post]
10 Nov 2023, 7:01 am
Previous employers include Ameriprise Financial Services, Inc. [read post]
10 Nov 2023, 6:06 am
In this episode, Senior Knowledge Lawyer Catherine Pluck talks to Financial Services Partner Katie Stephen about the recent FCA Final Notice concerning ADM Investor Services International Limited, which has been fined £6,470,600 for inadequate anti-money laundering systems and controls. [read post]
10 Nov 2023, 6:00 am
After moving through the proverbial revolving door to the private sector, he worked on policy for the broadcasting, financial services, and computer industries, culminating in a nine-year stint as senior vice president for global policy at the Software & Information Industry Association. [read post]
10 Nov 2023, 6:00 am
Legal and Regulatory Developments SPOTLIGHT: US Consumer Watchdog Proposes Rules for Big Tech Payments, Digital WalletsReuters – November 7, 2023 The top U.S. consumer financial watchdog on Tuesday proposed to regulate tech giants’ digital payments and smartphone wallet services, saying they rival traditional payment methods in scale and scope but lack consumer safeguards. [read post]
10 Nov 2023, 5:49 am
The financial benefit and business usefulness of our personal data often outweighs our privacy and anonymity. [read post]
10 Nov 2023, 3:28 am
Financial terms of the deal were not disclosed. [read post]
10 Nov 2023, 3:00 am
Congress Urges Judiciary to Take Final Steps to Clamp Down on Amicus Brief Lobbying Courthouse News Service – Benjamin Weiss | Published: 11/3/2023 Lawmakers who for years have demanded the federal judiciary prevent organizations from swaying judges by gaming a common court practice urged the U.S. [read post]
10 Nov 2023, 2:45 am
On November 7, 2023, the Consumer Financial Protection Bureau issued a proposed rule to supervise larger nonbank companies that offer services like digital wallets and payment apps. [read post]
10 Nov 2023, 2:00 am
No. 969-A, which requires the Department of Small Business Services to provide information on local community development financial institutions on the city’s one-stop shop business services portal. [read post]
9 Nov 2023, 10:08 pm
Aryans Plaza Services (P) Ltd.[3] In this instance, the plaintiff, “Millennium & Copthorne,” was a London-based company without a physical office in India. [read post]
9 Nov 2023, 9:05 pm
The Financial Stability Oversight Council approved new guidance that makes it easier to designate nonbanks, such as hedge funds and asset managers, as “systemically important financial institutions,” or SIFIs. [read post]
9 Nov 2023, 9:05 pm
The leading forces behind this trend are institutional investors, major shareholders, and influential proxy advisers such as Institutional Shareholder Services and Glass Lewis. [read post]
9 Nov 2023, 9:01 pm
For individuals, the compliance costs could be disproportionately large relative to their financial activity. [read post]
9 Nov 2023, 7:29 pm
A Z-score below 1.8 indicates a high risk of financial distress or bankruptcy. [read post]
9 Nov 2023, 2:44 pm
* * *The Anti-Kickback Statute prohibits offering, paying, soliciting or receiving remuneration to induce referrals of items or services covered by Medicare, Medicaid and other federally funded healthcare programs. [read post]
9 Nov 2023, 2:37 pm
Key Takeaways The Financial Crimes Enforcement Network (FinCEN) issued a proposal to amend the beneficial ownership information (BOI) reporting rule, which would extend the deadline for certain reporting companies to file their BOI reports. [read post]
9 Nov 2023, 1:48 pm
Stamer’s work throughout her 30 plus year career has focused heavily on working with health care and managed care, health and other employee benefit plan, insurance and financial services and other public and private organizations and their technology, data, and other service providers and advisors domestically and internationally with legal and operational compliance and risk management, performance and workforce management, regulatory and public policy and other… [read post]
