Posts tagged with: "financial+services"
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4 Mar 2011, 11:22 am
Pahl, Assistant Director, Division of Financial Services, Federal Trade Commission, Bureau of Consumer Protection; Travis Plunkett, Legislative Director, Consumer Federation of America Moderator: Manley Williams, Partner, Buckley Sandler LLP mw [read post]
14 Mar 2023, 6:58 am
In the UK, there are a number of regulators active in this space, including not only the financial services regulators such as the Financial Conduct Authority, but also the Advertising Standards Authority, the Competition and Markets Authority and the Financial Reporting Council. [read post]
10 Nov 2009, 4:02 am
Barney Frank, chairman of the House Financial Services Committee, said he will defeat a controversial measure that would expand the Financial Industry Regulatory Authority's power over financial advisers. [read post]
10 Jul 2010, 9:05 pm
The Minister for Financial Services, Superannuation and Corporate Law, Chris Bowen MP, has announced that the transfer of supervisory responsibility for Australia’s domestic licensed financial markets from ASX to ASIC will take place on 1 August 2010 with the commencement of the Corporations Amendment (Financial Market Supervision) Act 2010 and new market integrity rules. [read post]
18 Feb 2024, 6:38 pm
Are You Someone Who Suffered Losses While Working With Ex-American Portfolios Financial Services Broker Mark Hopkins? [read post]
21 Feb 2017, 3:08 pm
Norton Rose Fulbright New York office’s next financial services briefing is a breakfast seminar set for Thursday, March 2, 2017, at 8:30 AM EST. [read post]
12 Jan 2023, 9:12 am
Introduction Under section 233 (1) of the Financial Services and Markets Act 2000 (FSMA), a limit must be set for the total management expenses that the FSCS can levy on financial services firms. [read post]
16 May 2011, 5:50 pm
The financial system is built on trust. [read post]
10 Nov 2022, 3:42 pm
Announces Second Quarter 2022 Financial Results Strong Growth? [read post]
21 Nov 2009, 11:05 pm
Upon the filing of any family law matter referred to in Rule 6(A), the Clerk shall provide to the moving party upon filing and to the non-moving party by service a Notice of the requirement of this Rule. [read post]
12 Jan 2021, 7:18 am
The Insurer of the annuity makes their money on annuity fees and management services. [read post]
11 Dec 2015, 2:23 pm
The Financial Industry Regulatory Authority (FINRA) has accused Comprehensive Asset Management and Servicing Inc (CAMS) of failing to meet its supervisory obligations in a numerous areas, including variable annuities. [read post]
15 Oct 2020, 11:00 am
Background: When does an acquisition or disposition trigger financial disclosures? [read post]
30 Jul 2024, 10:00 pm
Beginning January 17, 2025, financial entities based in the European Union must have in place processes and policies, and mandatory contract provisions with their third-party technology vendors, that comply with the EU Digital Operational Resilience Act (DORA). [read post]
30 Jul 2024, 10:00 pm
Beginning January 17, 2025, financial entities based in the European Union must have in place processes and policies, and mandatory contract provisions with their third-party technology vendors, that comply with the EU Digital Operational Resilience Act (DORA). [read post]
30 Jul 2024, 10:00 pm
Beginning January 17, 2025, financial entities based in the European Union must have in place processes and policies, and mandatory contract provisions with their third-party technology vendors, that comply with the EU Digital Operational Resilience Act (DORA). [read post]
30 Jul 2024, 10:00 pm
Beginning January 17, 2025, financial entities based in the European Union must have in place processes and policies, and mandatory contract provisions with their third-party technology vendors, that comply with the EU Digital Operational Resilience Act (DORA). [read post]
30 Jul 2024, 10:00 pm
Beginning January 17, 2025, financial entities based in the European Union must have in place processes and policies, and mandatory contract provisions with their third-party technology vendors, that comply with the EU Digital Operational Resilience Act (DORA). [read post]
30 Jul 2024, 10:00 pm
Beginning January 17, 2025, financial entities based in the European Union must have in place processes and policies, and mandatory contract provisions with their third-party technology vendors, that comply with the EU Digital Operational Resilience Act (DORA). [read post]
23 Sep 2021, 8:40 pm
In the newsletter the Basel Committee reminds firms and institutions that remote working arrangements and increased provision of financial services using digital channels have enlarged banks’ attack surfaces. [read post]
