Posts tagged with: "financial+services"
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26 Jun 2020, 6:01 am
House Committee on Financial Services. [read post]
7 Nov 2017, 3:21 am
The German Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) has published guidance regarding supervisory requirements on IT-infrastructure (Bankaufsichtliche Anforderungen an die IT (BAIT)). [read post]
22 May 2008, 12:50 pm
As Portfolio.com reports, the action was brought on behalf of female financial advisers who had worked in Smith Barney retail brokerage branches. [read post]
15 Jul 2022, 7:01 am
Court of Appeals for the Second Circuit that had upheld similar subpoenas issued by the House Financial Services and Intelligence committees for Trump-related financial documents held by Deutsche Bank and Capital One. [read post]
15 Apr 2010, 8:36 am
The IMSO LRIT Audit Procedures provide that the LRIT Data Centre Operator should sign an LRIT Services Agreement/Contractual Arrangements with IMSO before the Audit takes place, and settle its financial obligations with IMSO before the final audit report is submitted to the IMO Maritime Safety Committee. [read post]
10 May 2018, 7:37 am
This responsibility would be consistent with the rule-making responsibility already delegated to UK regulators by Parliament under the Financial Services and Markets Act 2000; the UK Government and the Commission both recognise that Brexit has the potential to impact the continuity of service provision. [read post]
2 Apr 2009, 4:29 am
PNC Financial Services Group said this week that it will raise $1 billion through the sale of floating rate senior notes under a federally guaranteed program. [read post]
12 Mar 2020, 9:56 am
The Government is of the view that the institutional architecture for UK financial services regulation remains appropriate. [read post]
6 Feb 2013, 11:20 am
A Kelowna, B.C. criminal law practice faces a tax bill of $200,00 after failing in its latest attempt to have GST on criminal defence legal services declared unconstitutional.Stanley J. [read post]
9 May 2016, 5:01 am
So there’s still much to be accomplished.That much more needs to be accomplished is evidenced by yet another report, from the Educational Testing Service. [read post]
24 May 2021, 2:40 am
Following a 3-month consultation on the proposal to introduce a licensing regime for virtual assets services providers (VASPs) in Hong Kong under the amended Anti-Money Laundering and Counter-Terrorist Financing Ordinance (the AMLO) (see our previous blog here), the Financial Services and the Treasury Bureau (FSTB) has now issued its consultation conclusions in a paper published on 21 May 2021. [read post]
21 Nov 2011, 1:08 pm
Some financial affadavit? [read post]
6 Jan 2020, 1:32 pm
He and his associate Christopher Parris solicited investments in their companies, which were supposedly involved in financial services, insurance, and real estate, including First Nationle Solution LLC, Percipience Global Corp., and United RL Capital Services. [read post]
18 Feb 2021, 7:55 am
Network 1 is a full-service broker-dealer firm. [read post]
11 May 2011, 5:35 pm
” First, the GOP pushed several bills in the House Financial Services Committee meant to smother the CFPB in its crib. [read post]
9 Jan 2024, 7:02 am
This approach contrasts with the prevailing shareholder-value model in the legal industry, often criticized for prioritizing financial gains over client service. [read post]
22 Jun 2023, 11:26 am
Relevant Requirements Section 87A(1) of the Financial Services and Markets Act 2000 (FSMA) provides that the FCA may not approve a prospectus unless it is satisfied that it contains the information required by the UK retained version of Regulation (EU) 2017/1129 (the UK Prospectus Regulation). [read post]
9 Jul 2020, 10:28 am
Deutsche Bank (argued and decided together with Mazars), arose after the House Committee on Financial Services and the House Permanent Select Committee on Intelligence issued subpoenas to Deutsche Bank and Capitol One seeking records relating to the president, his family and the Trump Organization as part of an investigation into possible foreign influence in U.S. elections. [read post]
29 Jun 2017, 1:36 pm
Treasury Department recently issued a report titled “A Financial System That Creates Economic Opportunities-Banks and Credit Unions. [read post]
8 Dec 2022, 7:29 am
The Act has the support of a broad coalition of financial services and consumer organizations that includes Americans for Financial Reform, Bank Policy Institute, Center for Responsible Lending, Consumer Federation of America, Credit Union National Association, Independent Community Bankers of America, and the National Consumer Law Center (on behalf of its low-income clients). [read post]
