Posts tagged with: "financial+services"
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17 Dec 2011, 5:20 pm
The Internal Revenue Service in coming days will release a new information reporting form that taxpayers will use starting this coming tax filing season to report specified foreign financial assets for tax year 2011. [read post]
31 Jan 2011, 1:25 pm
And its impact would be limited because it appeared after Congress enacted major financial services reform (Dodd-Frank). [read post]
15 Feb 2011, 9:00 am
In addition to compliance with financial and securities regulations, financial institutions must also be mindful of laws and regulations affecting a financial institution's responsibilities to disabled Americans. [read post]
15 Feb 2011, 9:00 am
In addition to compliance with financial and securities regulations, financial institutions must also be mindful of laws and regulations affecting a financial institution's responsibilities to disabled Americans. [read post]
4 May 2011, 5:11 am
In a letter to the House Financial Services Committee, the American Bankers Association expressed support for H.R. 1121, the Responsible Consumer Financial Protection Regulations Act, introduced by Committee Chairman Spencer Bachus (R-AL) that would replace the Director of the Bureau of Consumer Financial Protection with a five person Commission. [read post]
4 Jul 2012, 10:30 am
We previously blogged about the Internal Revenue Service’s investigation of the Los Angeles-based Kabbalah Centre, known for its celebrity followers (including Madonna and Demi Moore). [read post]
23 Apr 2014, 10:00 am
We can also connect you with other services and support groups that will help you move forward from a stressful and frightening experience. [read post]
6 Aug 2018, 2:24 pm
On July 30, 2018, the Financial Industry Regulatory Authority (“FINRA“) published a Special Notice, in response to requests from the public, “seeking comments on how FINRA can support fintech development consistent with [its] mission. [read post]
22 Sep 2020, 8:50 pm
On 21 September 2020, the European Supervisory Authorities (ESAs) published a survey seeking public feedback on presentational aspects of product templates, pursuant to Article 8(3), Article 9(5) and Article 11(4) of the Regulation on sustainability‐related disclosures in the financial services (SFDR). [read post]
17 Oct 2019, 8:24 am
On 15 October 2019, the European Commission (Commission) and the Financial Services Agency of Japan (JFSA) published a joint statement (dated 11 October) on the inaugural meeting of the joint EU-Japan regulatory forum held in Tokyo. [read post]
5 Nov 2020, 9:18 am
FINRA Sanctions First Clearing LLC for Failure to Provide Accurate Valuations on REITs & DPPs According to the Financial Industry Regulatory Authority (FINRA) on November 5, the regulator reportedly censured and fined broker-dealer First Clearing LLC (Wells Fargo Clearing Services, LLC CRD No. 19616) $300,000 in connection with alleged failure to provide accurate valuations on REITs & DPPs, as well as supervisory issues. [read post]
31 May 2012, 9:22 am
Most Atlanta, Georgia estate lawyers agree that in “looting the estate situations”, Adult Protective Services is not a preliminary answer, but can be of great service in many instances once the financial abuse is uncovered. [read post]
27 Jul 2012, 4:22 am
Most Atlanta, Georgia estate lawyers agree that in “looting the estate situations”, Adult Protective Services is not a preliminary answer, but can be of great service in many instances once the financial abuse is uncovered. [read post]
31 Jul 2012, 9:22 am
Most Atlanta, Georgia estate lawyers agree that in “looting the estate situations”, Adult Protective Services is not a preliminary answer, but can be of great service in many instances once the financial abuse is uncovered. [read post]
28 Jul 2009, 11:33 am
Making Home Affordable gives lenders financial incentives to grant loan modifications to homeowners whose income qualifies them; the administration had projected that 3 to 4 million homeowners could benefit. [read post]
15 Jul 2012, 8:05 pm
What employers can do John Jones, a financial counselor with ComPsych, a major Employee Assistance Plan (EAP) provider, says that about 90 percent of employers using ComPsych services are now including financial and legal guidance. [read post]
13 Sep 2018, 7:59 am
In particular, concerns have arisen that there is no clear articulation between the prudential and AML rules for financial institutions. [read post]
6 Jun 2012, 1:02 pm
Nelson is a senior associate in the Financial Services Regulatory Group at Reed Smith LLP, resident in the Princeton and New York offices. [read post]
4 Nov 2010, 3:20 pm
Erik Gerding muses on the election's implications for financial services reform: ... if the election yesterday was a backlash against big government, the politics of different regulatory reforms vary considerably. [read post]
26 Jan 2015, 8:24 am
FINRA found that BD OPS also provided supervisory and compliance services for Sigma Financial’s affiliated investment advisor and another broker-dealer. [read post]
