Posts tagged with: "financial+services"
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6 Nov 2023, 1:55 pm
The White Law Group Files a FINRA Claim against Ages Financial Services LTD The White Law Group announces the filing of a FINRA arbitration claim today against Ages Financial Services LTD for investment losses involving high risk alternative investments. [read post]
28 Feb 2009, 12:11 pm
The Parliamentary Joint Committee on Corporations and Financial Services has resolved to inquire into and report by 23 November 2009 on the issues associated with recent financial product and services provider collapses, such as Storm Financial, Opes Prime and other similar collapses, with particular reference to: the role of financial advisers; the general regulatory environment for these products and… [read post]
7 Jun 2023, 11:24 am
On 7 June 2023, there was published on the legislation.gov.uk website The Financial Services and Markets Act 2000 (Financial Promotion) (Amendment) Order 2023. [read post]
18 Apr 2022, 8:38 am
Background On Northstar Financial Services (Bermuda) Ltd. [read post]
27 Jan 2014, 3:30 pm
Postal financial services may appeal to many customers who feel abandoned by major financial institutions. [read post]
15 Oct 2009, 11:54 am
House Financial Services Committee Approves Legislation Regulating OTC Derivatives MarketsThe House Financial Services Committee has approved legislation that would, for the first time ever, require the comprehensive regulation of the over-the-counter (OTC) derivatives marketplace. [read post]
22 Mar 2022, 9:33 am
Our financial services and regulation team have launched the ‘Beyond Sanctions’ insights hub, highlighting the broader issues that financial services firms will need to consider, above and beyond the immediate concerns and challenges arising from the economic sanctions. [read post]
5 Dec 2022, 1:49 am
The Paper lists all amendments tabled to the Financial Services and Markets Bill. [read post]
18 Apr 2022, 8:14 am
Among other firms, brokers at SunTrust Investment Services, Ocean Financial Services, Bankoh Investment Services, and Cetera Investment Services sold Northstar products. [read post]
13 Jun 2023, 2:28 am
We have published a new Financial Services Regulatory Developments in ESG Hub which houses, in one place, our financial services resources and insights to help clients stay informed of key regulatory developments in the ESG space. [read post]
11 Jun 2014, 12:30 pm
The CFPB will also be holding a field hearing on mobile financial services tomorrow. [read post]
23 Oct 2019, 8:50 pm
Jason Lowy, senior vice president of wealth management in the Hunt Valley office of UBS Financial Services Inc., was named to the Financial Times’ 2019 list of 401 Top Retirement Advisers. [read post]
4 Jul 2012, 12:05 pm
Wolters Kluwer Financial Services will host a web seminar on July 16, 2012, from 3-4 PM, on managing the complexities of European Union financial regulation and what UKfirms need to know right now to manage comply with financial regulations. [read post]
9 Apr 2024, 2:34 am
On Thursday 11 April 2024, as part of our global ESG webinar series, please join us for the second instalment of this webinar series, as we will be taking a closer look at the ESG financial services trends in the US. [read post]
29 Jun 2023, 8:57 am
On 29 June 2023, the Financial Services and Markets (FSM) Bill received Royal Assent. [read post]
18 Aug 2022, 5:21 am
Morgan Securities Ocean Financial Services, LLC Trust Investment Services, Inc. [read post]
6 Oct 2023, 6:59 am
On 5 October 2023, the FCA published a speech by Jessica Rusu (FCA Chief Data, Information and Intelligence Officer) entitled Flipping the coin in financial services. [read post]
18 Sep 2011, 9:20 am
Bankers, Bureaucrats, and Guardians: Toward Tripartism in Financial Services Regulation, by Saule T. [read post]
23 Nov 2009, 11:52 am
The Parliamentary Joint Committee on Corporations and Financial Services (chaired by Bernie Ripoll MP) has released its report into the issues associated with recent financial product and services provider collapses, such as Storm Financial, Opes Prime and other similar collapses, with particular reference to: the role of financial advisers; the general regulatory environment for these products and services; the role played by… [read post]
16 Aug 2022, 10:06 am
In our latest podcast on the Financial Services and Markets Bill, Matthew Gregory and Hannah Meakin take a closer look at the Bill’s provisions on financial promotion (Apple podcasts / Spotify). [read post]
