Posts tagged with: "financial+services"
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13 Feb 2012, 2:12 am
On 6 February 2012, Hector Sants, CEO of the UK Financial Services Authority (FSA) explained in a speech to the British Bankers' Association that on 2 April 2012 the FSA will be split into the Prudential Group (shadowing the future Prudential Regulation Authority) and the Conduct Group (shadowing the future Financial Conduct Authority). [read post]
21 Jan 2007, 7:38 am
Dick Durbin (D-IL) is expected to introduce a bill soon to ease the financial burden for law school graduates who work in the public sector. [read post]
11 Dec 2007, 11:20 pm
The Society of Financial Service Professionals sent the following to its members on December 11, 2007: "In light of recent regulatory actions â€â [read post]
7 Jan 2014, 12:20 pm
Indeed, even companies that are not financial institutions may find the Guidance to reflect emerging best practices for minimizing risk in using social media to promote products and services. [read post]
21 May 2012, 7:09 am
Guelinas’ FINRA Broker Report indicates that she was registered with Ameriprise Financial Services during the time of the allegations. [read post]
31 Oct 2018, 6:35 am
It adds that this will lead to serious disruption in securities transactions and a restriction of cross-border services. [read post]
30 May 2007, 12:38 pm
" The New York State Commission to Modernize the Regulation of Financial Services, which will include representatives from industry, consumer groups and government, will review all current financial services statutes, regulations, rules and policies and propose legislative and other necessary changes. [read post]
20 Jan 2017, 6:32 pm
They present their services to be advice-centric and themselves as trusted advisors in their marketing messages. [read post]
20 Jan 2017, 6:32 pm
They present their services to be advice-centric and themselves as trusted advisors in their marketing messages. [read post]
12 Apr 2020, 6:01 pm
Many low-income older Iowans are financially exploited by caretakers, family and "friends". [read post]
25 Jun 2022, 8:37 am
”https://d846646e1671b5ec1df15380898ae7b6.safeframe.googlesyndication.com/safeframe/1-0-38/html/container.html National Securities, which was bought by financial services firm B. [read post]
27 Feb 2017, 8:14 am
As the elderly population continues to grow rapidly, the financial services sector can expect a significant increase in elder financial exploitation attempts. [read post]
22 Jul 2012, 10:30 am
The UK Financial Reporting Council eschews EU regulation of proxy advisory services at this time in favor of an EU-wide Code of Conduct. [read post]
17 Feb 2012, 4:18 am
In fact, in these lean times, evidence of efficacy may be our best hope of attracting more human and financial capital to our vital work. [read post]
5 Apr 2010, 6:23 am
On consumer protection, the bill grants a Bureau of Consumer Financial Protection, housed in and funded by the Federal Reserve, broad powers to promulgate and enforce substantive standards for persons engaged in offering or selling a “consumer financial product or service. [read post]
15 Feb 2021, 2:03 pm
Robinhood’s response to this revelation has been that Tenev is the CEO of the holding company for Robinhood’s brokerage service, not the broker-dealer itself, meaning Tenev is not required to be registered. [read post]
2 Jul 2011, 11:59 am
Most facilities have the majority of their residents on Medicaid, but state payments for those patients lags three to six months behind the service. [read post]
30 Aug 2023, 11:09 am
Read More False Claims Act Government Contract Fraud I Think I Have a Whistleblower Case Whistleblower FAQs Contact Us Confidentially Read In Service of Justice – The Importance of Whistleblowers at constantinecannon.com [read post]
26 Jun 2013, 4:00 am
MishkinWhen he appeared before the Senate Banking Committee on April 23, Director Cordray was questioned by Republican Senators about reports that the CFPB was demanding voluminous amounts of information from banks it supervises related to financial products and services and buying data from vendors about various financial products and services. [read post]
8 Jan 2019, 10:24 am
For more up-to-date coverage from Tax Controversy and Financial Crimes Report, please subscribe by clicking here. [read post]
