Posts tagged with: "financial+services"
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27 Mar 2023, 4:05 am
Filler Institute for Financial Services Law / SPECIAL PROGRAM ON FINANCIAL SERVICES LAW (TUESDAY, APRIL 11, 2023) Financial Professionals Coalition, Ltd. [read post]
23 Jul 2010, 11:25 am
SunTrust Investment Services Fined $1.44 Million for Fraudulent Sales of Unit Investment trusts and Mutual Funds. [read post]
21 Mar 2024, 3:50 pm
Tax Expat Tax Services. [read post]
12 Jul 2012, 11:09 am
Financial Services In particular, OFAC issued General License 16 authorizing the exportation or reexportation of financial services to Burma. [read post]
27 Mar 2024, 7:48 pm
National Collegiate Master Student Loan Trust, the 3d Circuit held that a securitization trust is a "covered person," for the purposes of the Consumer Financial Protection Act, putting it within the enforcement ambit of the CFPB. [read post]
8 Dec 2017, 6:52 am
According to BrokerCheck records financial advisor George Warner (Warner), currently associated with Chelsea Financial Services (Chelsea Financial), has been subject to one customer complaint, one regulatory action, and two terminations for cause. [read post]
19 Oct 2011, 7:56 am
But now that LZ is giving away legal service, some of the clients who may have been willing to pay a lawyer even if it posed some financial hardship will look to Legal Zoom instead. [read post]
4 Sep 2014, 2:53 pm
That said, lenders and loan servicers in other sectors of the consumer financial services marketplace should carefully review their policies and procedures with counsel to confirm that they are complying with Section 527 and with any representations they may have made to servicemembers about interest rate relief or other military benefits. [read post]
2 Feb 2011, 8:44 am
It further explains that financial institutions can legally obtain information about the execution of judgments against current or prospective clients under the Credit Bureau Services Act, 2002, which strikes a balance between clients’ privacy rights and the business interests of financial institutions. [read post]
29 Apr 2024, 10:31 am
In the latest instalment of our Regulation Around the World series, Financial Services partners in over 10 jurisdictions review recent steps that financial services regulatory authorities have taken as regards investment research. [read post]
20 Jun 2007, 1:05 am
Burns Anderson plc and Another “It was outwith the Financial Services Ombudsman's powers to make a direction under section 229(2) of the Financial Services and Markets Act 2000 that, if implemented, would require a firm to pay a complainant an amount exceeding the statutory cap of £100,000. [read post]
6 Jun 2023, 6:52 pm
For Northstar Financial Services (Bermuda) Investors The Time To Act Is Now Our Seasoned Annuity Investor Loss Attorneys May Be Able To Help You Go After Your Broker Nearly two and a half years after Northstar Financial Services (Bermuda) filed for bankruptcy protection, there has been no significant progress in liquidation proceedings. [read post]
10 Nov 2008, 10:44 am
Secretary of State for Business, Enterprise and Regulatory Reform v Aaron and Others Court of Appeal “In company director disqualification proceedings, the Secretary of State for Business, Enterprise and Regulatory Reform could not rely on findings of fact by the Financial Ombudsman Service but he could rely on facts and opinions expressed by the Financial Services Authority. [read post]
21 Jun 2022, 5:00 am
As previously discussed, financial services regulators are increasingly focused on how businesses use artificial intelligence (AI) and machine learning (ML) in underwriting and pricing consumer finance products. [read post]
30 Aug 2023, 8:03 pm
Mexico Institutional Investor Sues Ocean Financial Services For Northstar (Bermuda) Losses Our Annuity Investment Loss Lawyer Teams Represent Individuals and Institutions in Recouping Damages From Brokerage Firms An institutional investor from Mexico is seeking up to $500K in damages from Ocean Financial Services. [read post]
24 Apr 2018, 1:05 pm
., on this podcast posted today discussing third-party vendor risk management concerns of financial institutions and service providers. [read post]
5 Sep 2019, 5:55 am
Three members of Ballard Spahr’s Consumer Financial Services Group with extensive experience negotiating complex payments transactions for some of the world’s largest retailers and financial institutions have authored an article in which they discuss the expanding adoption of RTP as a standard for payments transactions, including the commercial and contractual issues that may arise as a result. [read post]
1 Jun 2023, 9:43 pm
For Northstar Financial Services (Bermuda) Investors The Time To Act Is Now Our Seasoned Annuity Investor Loss Attorneys May Be Able To Help You Go After Your Broker Nearly two and a half years after Northstar Financial Services (Bermuda) filed for bankruptcy protection, there has been no significant progress in liquidation proceedings. [read post]
2 Aug 2010, 2:20 am
Regina v Rollins [2010] UKSC 39; [2010] WLR (D) 210 “The power of the Financial Services Authority to institute criminal proceedings was not limited to the offences referred to in ss 401 and 402 of the Financial Services and Markets Act 2000; in particular the FSA had power to prosecute offences of money laundering under ss 327 and 328 of the Proceeds of Crime Act 2002. [read post]
21 Nov 2023, 6:41 am
In CP23/22, the FCA sets out its proposed policy changes to the way it will raise FCA fees from 2024/25, as well as some adjustments to the rules affecting Financial Ombudsman Service (FOS) and Financial Services Compensation Scheme (FSCS) levies. [read post]
