Posts tagged with: "financial+services"
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16 Jan 2007, 10:47 am
The license covers services offered by PNC Financial Services in the "Financial Services Call Processing" and "Automated Securities Transactions" fields of use. [read post]
3 Nov 2020, 11:01 am
Vonna Kay Husby was a financial advisor at Raymond James Financial Services, Inc. in Fairbanks, Alaska, from August 2003 until May 2019. [read post]
5 Apr 2010, 5:25 am
We face, along with the public sector generally, difficult financial conditions. [read post]
25 Aug 2016, 4:00 am
Because plaintiff’s claims for violation of the unfair competition law, for unjust enrichment and for financial elder abuse do not deal with either of the preemption clause’s exceptions for licensing or plan solvency, they are preempted “with respect to [United Healthcare’s] plan. [read post]
28 Aug 2020, 8:55 pm
Responses were received from the Financial Markets Law Committee (FMLC) and European Commission on 26 and 27 August respectively. [read post]
25 Apr 2010, 12:55 am
However, Diane Swonk, chief economist of Chicago-based Mesirow Financial, doesn't think these stipends will be enough of an incentive for the mortgage servicers, who earn more money by foreclosing on a defaulted loan. [read post]
3 Apr 2012, 7:57 am
What can large financial institutions and other participants in the financial services industry expect from this new federal regulator? [read post]
27 Jun 2013, 11:44 am
Bank and a partner company (Dealer Financial Services’ or DFS) to refund $6.5 million to members of the armed services. [read post]
6 Mar 2019, 1:50 pm
March is now here and with it the Cybersecurity Regulation of the New York Department of Financial Services (NYDFS) is now in full force and effect, including requirements relating to Third Party Service Providers[1] (e.g., vendors, suppliers, agents). [read post]
23 Oct 2020, 8:55 pm
On 22 October 2020, the German Presidency of the Council held a meeting of a working party on financial services, agenda of which included discussion on the recently published European Commission proposal for a Regulation on digital operational resilience in financial services (DORA). [read post]
16 Apr 2013, 5:48 am
Section 509 defines a financial institution to mean any institution the business of which is engaging in financial activities as described in Section 4(k) of the Bank Holding Company Act, which includes securities underwriting, dealing and market making, as well as providing financial, investment or economic advisory services and advising an investment company. [read post]
22 Oct 2016, 5:34 pm
This, it is alleged, would allow Kars4Kids, which has a history of questionable financial dealings, to use Congregation Oorah to hide its activities. [read post]
13 Sep 2016, 3:15 am
The innovative system is designed for both simplicity of use as well as security and authentication in online financial transactions. [read post]
12 Mar 2012, 11:13 am
Division of Medical Assistance and Health Services (N.J. [read post]
15 Jun 2021, 6:25 pm
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
23 Jan 2010, 6:51 am
[JURIST] The Swiss Federal Administrative Court [official website, in French] ruled [judgment, PDF, in German; press release, PDF, in French] Thursday that an American taxpayer's financial information at Swiss bank UBS [corporate website] may not be disclosed to the US Internal Revenue Service (IRS) [official website] pursuant to an August 2009 agreement [text, PDF; JURIST report]. [read post]
4 May 2017, 12:00 am
Damages recoverable in a wrongful death claim are specifically linked to the losses sustained by the surviving family member as a result of their loved one’s death, and include (but are not limited to) damages for lost financial support, lost companionship, lost guidance, and mental pain and suffering. [read post]
24 Apr 2023, 11:30 pm
While the Protection of Personal Information Act, 2013 (POPIA) is widely accepted as the primary legislation dealing with the processing of personal information, it is important for financial service providers (FSPs) to take note of their duties in the Financial Advisory and Intermediary Services Act, 2002 (FAIS Act). [read post]
31 Jan 2022, 7:18 am
Ex-UBS Financial Services Advisor Faces SEC and Criminal Charges German Nino, a former UBS Financial Services (UBS) broker and investment advisor, is accused of stealing $5.8M from a customer. [read post]
3 May 2012, 11:47 am
The relevant financial services licensees have now voluntarily complied with ASIC’s request to remove or amend the statement in each of the 21 instances. [read post]
