Posts tagged with: "financial+services" Results 41 - 60 of 59,301
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2 Dec 2009, 6:41 pm
Today, the House Financial Services Committee approved legislation that, according to its press release, will put an end to “too big to fail” financial firms, help prevent the failure of large institutions from becoming a systemwide crisis, and ensure that... [read post]
3 Dec 2009, 2:40 pm
Yesterday the House Financial Services Committee completed its work on a comprehensive set of reforms intended to modernize America’s financial regulations. [read post]
25 Oct 2010, 8:45 am by JA Hodnicki
ABSTRACT: This paper examines the application of Sherman Section 2 to systemic financial service institutions and concludes that a systemic financial... [read post]
23 Jun 2017, 7:42 am by Fitapelli Kurta
According to the firm’s BrokerCheck report, IBN Financial Services has received three regulatory sanctions. [read post]
2 Aug 2013, 2:45 am by sally
Hobbs v Financial Conduct Authority (formerly Financial Services Authority) [2013] EWCA Civ 918; [2013] WLR (D) 328 “A decision by the Financial Services Authority to take no further action against the addressee of a warning notice or decision notice did not become irrevocable or take effect as a discontinuance of proceedings unless it had been communicated to that individual by a notice in accordance with section 389 of the Financial… [read post]
11 Dec 2017, 2:07 pm by Silver Law Group
Stoffels CRD# 5891072 Silver Law Group is investigating former Dallas, Texas UBS Financial Services broker Clint H. [read post]
5 Nov 2009, 11:10 am
House Financial Services Committee Passes Legislation Reforming SEC, PCAOB and SIPC OversightThe House Financial Services Committee has passed legislation reforming the SEC to strengthen its powers, better protect investors, and efficiently and effectively regulate the securities markets. [read post]
28 Oct 2014, 4:17 am by sally
Regina (Bluefin Insurance Services Ltd) v Financial Ombudsman Service Ltd [2014] EWHC 3413 (Admin); [2014] WLR (D) 438 ‘The question as to whether a complainant was a consumer for the purposes of the Financial Conduct Authority’s compulsory jurisdiction dispute resolution rules was a matter of precedent fact to be decided by the courts; it was not a question for Financial Ombudsman Service to determine that was reviewable only on… [read post]
8 Jun 2010, 8:18 am by By DEALBOOK
A handful of lobbying firms have dominated the business of representing financial services firms in their efforts to battle an overhaul of regulations governing the industry, according to an analysis by the Center for Public Integrity. [read post]
7 Aug 2018, 12:48 pm by Daily Record Staff
Dan Altman has joined the Pikesville office of Homebridge Financial Services Inc. as a mortgage loan originator. [read post]
12 Sep 2018, 7:51 am by Fitapelli Kurta
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 6, 2018 indicate that a group of investors have won an award of $300,000 in an arbitration claim against UBS Financial Services concerning investments in Puerto Rico closed-end funds. [read post]
28 Jan 2015, 12:48 pm by Barbara S. Mishkin
Mishkin The Financial Services Roundtable and CFPB are joining forces in a nationwide public-private initiative to promote effective financial education. [read post]
29 Oct 2015, 11:30 am by D Daniel Sokol
Evans, University of New South Wales (UNSW) Faculty of Law; ThinkEvans Pty Ltd, Deborah Healey, University of New South Wales (UNSW) - Faculty of Law, Marina Nehme, UNSW Australia and Rob Nicholls examine Competition in Financial Services. [read post]
12 Jun 2017, 7:43 am by Fitapelli Kurta
Fitapelli Kurta is interested in speaking to investors who have complaints regarding CUSO Financial Services (CRD# 42132). [read post]
12 Jan 2018, 2:37 am by Amanda Sanders
On 7 March 2016 the Senior Managers and Certification Regime (SM&CR) was introduced to improve accountability in the financial services sector. [read post]