Posts tagged with: "financial+services"
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17 Jan 2019, 7:02 am
Alex Gerardo Herrera (CRD #3204779) is a former registered broker and investment representative whose last employer was UBS Financial Services Inc. [read post]
17 Dec 2009, 4:13 pm
., Oct. 13, 2009 -- Securities Fraud Attorney Mark Tepper has filed claim against UBS Financial Services on behalf of a widow who lost irreplaceable capital after placing settlement money from her husband's accidental death, under management of the financial services firm. [read post]
19 May 2014, 7:26 am
Blending credit card, banking, and financial services with restaurant and cafe services appears groundbreaking for a financial services brand. [read post]
13 Apr 2017, 11:05 am
Rosenberg failed to disclose to investors in a security and to his firm that he was providing legal services for compensation to the issuer of the securities. [read post]
28 Apr 2017, 5:13 am
Examiners found that “servicers” had engaged in an unfair practice by failing to reverse the financial consequences of an erroneous deferment termination, such as late fees charged for non-payment when the borrower should have been in deferment, and interest capitalization. [read post]
10 Sep 2011, 7:20 pm
Dwyer III, Chairman, Financial Services Institute will testify at the hearing, as well as Steven D. [read post]
25 May 2022, 10:51 am
What have the financial services regulators been doing following the sanctions imposed on Russia? [read post]
28 Feb 2023, 7:27 pm
Are You a Latin America Retiree Who Suffered Northstar Financial Services (Bermuda) Investor Losses? [read post]
1 May 2024, 1:47 am
On 30 April 2024, the Payment Systems Regulator (PSR) published its framework for reviewing generally applicable requirements, to meet its new obligations under the Financial Services and Markets Act 2023 (FSMA 2023). [read post]
8 Jan 2019, 12:41 pm
The law, modeled after the New York State Department of Financial Services Cybersecurity Requirements for Financial Service Companies Act, seeks to provide a framework for states to address risks and develop cybersecurity guidelines for insurance companies. [read post]
12 Feb 2018, 12:45 pm
The notices relate to a number of areas including: markets in financial instruments, banking and payment services, post-trade financial services, asset management, credit rating agencies, insurance and reinsurance and, statutory audit. [read post]
15 Feb 2023, 7:08 pm
An Update for Northstar Financial Services (Bermuda) Investors Our Trusted Annuity Fraud Lawyers Continue to Pursue Brokerage Firms Over Investment Losses In a February 3, 2022 letter, Northstar Financial Services (Bermuda) Ltd. [read post]
1 May 2024, 1:47 am
On 30 April 2024, the Payment Systems Regulator (PSR) published its framework for reviewing generally applicable requirements, to meet its new obligations under the Financial Services and Markets Act 2023 (FSMA 2023). [read post]
19 Apr 2012, 1:24 pm
Department of Health and Human Services ("HHS") issued new regulations governing the disclosure by faculty members and research staff of significant financial interests related to certain federal grants, and the reporting of "financial conflicts of interest" to certain federal agencies by colleges and universities that receive funding for Public Health Service ("PHS")-sponsored research. [read post]
20 Jun 2014, 6:32 am
, will investigate whether a letter to the House Financial Services subcommittee constituted interference with congressional oversight or an attempt to intimidate future witnesses appearing before the panel. [read post]
7 Apr 2008, 12:38 pm
The article considers: Listing without prior warning Listing amounts less than 60 days overdue Providing accurate information to customers The Bulletin also discusses recovery of enforcement costs by financial services providers. [read post]
1 Nov 2008, 10:20 am
The relief applications included employee share schemes, prospectus and other disclosure documents, managed investments, mergers and acquisitions and financial services. [read post]
12 Jun 2009, 2:22 am
The Offshore Installations (Safety Zones) Order 2009 The Legislative Reform (Local Government) (Animal Health Functions) Order 2009 The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No. 2) Order 2009 The Financial Services and Markets Act 2000 (Control of Business Transfers) (Requirements on Applicants) (Amendment) Regulations 2009 The Building Societies (Accounts and Related Provisions) (Amendment) Regulations 2009 The Landsbanki… [read post]
9 Feb 2012, 7:59 pm
AP: “The Office of Congressional Ethics is investigating the chairman of the House Financial Services Committee over possible violations of insider-trading laws, according to individuals familiar with the case. [read post]
14 Sep 2016, 4:59 pm
Eligible entries must discuss a topic related to consumer financial services. [read post]
