Posts tagged with: "financial+services"
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10 Feb 2010, 1:53 am
The State of Nevada alleged that Focus 2000 Financial Corporation operated a loan modification service without the proper licensing by the Nevada Mortgage Lending Division and took payment for services prior to the completion of the loan modification in violation of Nevada deceptive trade law. [read post]
17 Mar 2023, 4:57 pm
Wolters Kluwer Launches Due Diligence Resource Checklist for Corporate Counsel to Mitigate Financial Risk appeared first on ComplexDiscovery. [read post]
8 Jun 2025, 7:32 pm
Northstar Financial Services (Bermuda) Investor Sues Cetera For Up to $5M. [read post]
12 Mar 2012, 6:09 pm
A new service, Expert Witness Profiler, helps you do exactly that. [read post]
14 Jun 2019, 5:22 am
As compared to 2018, notable amendments in relation to the AFM supervisory fees are: an increase in fees for trading venues, data reporting service providers and benchmark administrators, primarily as a result of additional supervisory tasks of the AFM as a result of the EU Benchmark Regulation and the recast Markets in Financial Instruments Directive; and an increase in fees for managers of investment firms, primarily as a result of a decrease in market participants. [read post]
2 Dec 2024, 6:19 am
CP24/25 includes proposed changes to the FEES Manual (including FEES 5 (Financial Ombudsman Service) and FEES 6 (Financial Services and Compensation Scheme), as well as fees policy updates. [read post]
20 Apr 2011, 5:31 pm
" It's a question we often feel like asking clients after they tell us they expect a service level of at least "four nines" from suppliers because that's what they believe they are achieving. [read post]
10 Jan 2016, 10:03 am
Department of Youth Rehabilitation Service, where he worked from 2005 to 2013. [read post]
25 Nov 2013, 12:12 am
In May 2011, the Financial Industry Regulatory Authority (FINRA) filed a disciplinary complaint against DLA (subsequently amended to include David Lerner individually). [read post]
5 Dec 2017, 9:40 am
In other words, we will take into account the nature of the product, the service and the target market. [read post]
12 May 2022, 9:01 pm
The CFPB says that its announcement and rule proposal are a response to the rapid growth of consumer financial services offered by fintechs. [read post]
10 Jun 2023, 6:23 am
The Financial Industry Regulatory Authority Inc. on Thursday barred a financial advisor who borrowed more than $850,000 while registered with LPL Financial and later Raymond James Financial Services Inc. [read post]
10 Nov 2011, 4:06 pm
The Government Accountability Office today released Financial Audit: IRS's Fiscal Years 2011 and 2010 Financial Statements (GAO-12-165): In accordance with authority granted by the Chief Financial Officers Act of 1990, GAO annually audits the financial statements of the Internal Revenue Service (IRS) to determine whether (1) the financial statements are... [read post]
11 Jun 2012, 12:13 pm
Jaworski is a partner in the Financial Services Regulatory Group of Reed Smith LLP, resident in the Princeton, N.J., office. [read post]
17 Dec 2024, 2:32 am
There is currently a multi-year programme underway to renew that infrastructure, with the aim of providing a renewed RTGS service that has increased resilience and enables competition and innovation. [read post]
27 Oct 2018, 1:00 am
That value of that service is between our ears. [read post]
27 Nov 2016, 6:44 pm
On appeal, however, the Federal Circuit found the required “financial product or service” link too tenuous. [read post]
17 Jul 2014, 12:23 pm
Stark Law (also known as the "Ethics in Patient Referrals Act") prohibits physician referrals of specified or "designated health services" for Medicare and Medicaid patients, where the physician or her immediate family member has a financial relationship with the referred entity.2 A financial relationship can include ownership, investment interest, and direct or indirect compensation arrangements.3 A "referral" is broadly defined to include… [read post]
22 Oct 2020, 8:11 am
Your firm has subsequently been asked to act for a financier (C), who is providing the financing needed by another potential bidder (D) for B should D’s bid be successful. [read post]
31 Mar 2020, 2:20 pm
Other ordinary application attachments still must be provided, including the local government resolution, application parameters form, financial disclosure form, debt service analysis, and specified financial documentation. [read post]
