Posts tagged with: "financial+services"
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15 Jul 2011, 9:55 am
Army, Navy, Air Force, Marines and Coast Guard to “provide stronger protections for service members and their families in connection with consumer financial products and services. [read post]
31 Aug 2015, 8:11 am
The post Selecting Right Claims Aministration Partner Critical To Sustaining Financial Responsibility appeared first on Work Comp Roundup. [read post]
2 Apr 2019, 11:00 am
” The Judge observed that “no one who works at Morgan Stanley, or any other investment bank, in a position like plaintiff’s makes just over $34,000 a year,” and that “a representation that a highly paid employee in the financial services sector has a very low BEE should set off alarm bells. [read post]
21 Jan 2016, 11:37 am
All lawyers, be it in the practice area of estates, securities, or virtually any other discipline often have to make a capacity determination, while contracting services and sometimes along the way. [read post]
10 May 2016, 4:02 am
Facts In March 2009, the Financial Services Authority stress tested LBG and found that LBG’s CT1 ratio was inadequate. [read post]
2 Dec 2021, 10:18 am
A Notification Incident is a computer security event that results in actual harm to the confidentiality, integrity, or availability of information or an information system, when that occurrence has—or is reasonably likely to—materially disrupt or degrade: a banking organization’s ability to carry out banking operations or deliver banking products and services to a material portion of its customer base; business line(s), that upon failure would result in a… [read post]
1 Mar 2012, 12:42 pm
The Parliamentary Joint Committee on Corporations and Financial Services has published its Report on its review of the Corporations Amendment (Future of Financial Advice) Bill 2011 and Corporations Amendment (Further Future of Financial Advice Measures) Bill 2011. [read post]
11 Oct 2013, 9:13 am
Homeowners should also always confirm service-people are licensed and ask for references. [read post]
25 Jun 2014, 1:42 pm
The GAO has issued a report entitled “Medicaid: Financial Characteristics of Approved Applicants and Methods Used to Reduce Assets to Qualify for Nursing Home Coverage. [read post]
7 Aug 2020, 9:43 am
The OCC and FDIC both continue to demonstrate keen interest in supporting technology and innovation in the delivery of consumer financial services. [read post]
24 Sep 2021, 3:35 am
"Moreover, as to conceptual strength, the use of ASCENT by different financial service providers "indicates that ASCENT in this context suggests increasing, raising, or advancing one’s financial goals. [read post]
12 Apr 2016, 3:43 am
This is a hot topic, as noted in my blog last week entitled “Non-GAAP Financial Measures: Will the SEC Curb Their Use? [read post]
12 Apr 2016, 3:43 am
This is a hot topic, as noted in my blog last week entitled “Non-GAAP Financial Measures: Will the SEC Curb Their Use? [read post]
14 May 2008, 9:51 pm
AUSTRAC's interpretation is that if the holder of an Australian financial services licence provides advice, in the capacity of the holder of a licence, to a person and then arranges for a person to receive a designated service that is not a financial service (as defined in the Corprations Act), such as a loan, then item 54 will not apply. [read post]
18 Feb 2021, 7:55 am
Network 1 is a full-service broker-dealer firm. [read post]
23 Jul 2020, 9:09 am
The guidance highlights the OCC’s recognition that financial markets are becoming increasingly digitized and that banks need to leverage new technology and find innovative ways to serve their customers’ needs. [read post]
14 Jul 2010, 5:01 pm
House of Representatives passes the Wall Street Reform and Consumer Protection Act (HR 4173) to restructure the financial services regulatory system.May 20, 2010: The U.S. [read post]
14 Nov 2012, 9:36 pm
Local Government Financial Services Pty Ltd, the court found that Standard & Poors (S&P) was liable to several local councils in Australia for a AAA rating provided in connection with their investment in complex financial instruments known as constant proportion debt obligations (CPDOs). [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]
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]
