Posts tagged with: "financial+services"
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30 Nov 2009, 9:24 am
Tepper has filed claim against UBS Financial Services (NYSE: UBS) on behalf of a single mother of three who was also the sole financial caregiver for both parents with Alzheimer's and a child with multiple sclerosis. [read post]
7 Aug 2017, 6:59 am
To gain a better insight into the financial services offered and financial innovations applied by fintech firms in the EU, and their regulatory treatment, in spring 2017 the European Banking Authority (EBA) undertook a fintech mapping exercise. [read post]
12 Dec 2013, 8:06 am
— Today the Consumer Financial Protection Bureau released preliminary research on the use of arbitration clauses in connection with consumer financial products and services. [read post]
20 Jul 2019, 11:50 am
Forrest Allegedly Advised Thirteen American Portfolio Financial Services Customers to Buy Promissory Notes in the Woodbridge Group of Companies LLC Gary Arthur Forrest, a Flint, Michigan stockbroker formerly employed by American Portfolio Financial Services, allegedly made recommendations to thirteen customers of American Portfolio Financial Services and two additional investors to make purchases of promissory notes in Woodbridge Group of… [read post]
23 Apr 2011, 7:00 am
Speaking on behalf of the NAIC, Huff testified before the House Committee on Financial Services' Subcommittee on Oversight and Investigations. [read post]
7 Aug 2010, 2:36 pm
Fare runners face jail time and stiff fines for such an offense, also known as “gaining a financial advantage by deception. [read post]
1 Dec 2008, 11:34 am
The compliance work that needs to be done is often spread between a number of different parties, and financial services may often be handled separately. [read post]
7 Aug 2022, 10:25 am
We serve the entire Denver metro area, including Jefferson, Littleton, and Centennial Counties, with family law services. [read post]
24 Jun 2019, 8:38 am
” On June 26, the House Financial Services Committee’s Task Force on Artificial Intelligence will hold a hearing titled, “Perspectives on Artificial Intelligence: Where We Are and the Next Frontier in Financial Services. [read post]
13 Sep 2011, 2:29 pm
The Medallion Signature Guarantee is an accepted protocol within the Financial Services Industry whereby certified signature guarantors, usually affiliated with an established financial institution, serve as signature guarantors for certain financial documents requiring the heightened level of review, scrutiny and security offered by the Medallion Guarantee Signature Guarantee Program. [read post]
13 Sep 2011, 2:29 pm
The Medallion Signature Guarantee is an accepted protocol within the Financial Services Industry whereby certified signature guarantors, usually affiliated with an established financial institution, serve as signature guarantors for certain financial documents requiring the heightened level of review, scrutiny and security offered by the Medallion Guarantee Signature Guarantee Program. [read post]
8 Oct 2014, 12:59 pm
The Texas Access to Justice Foundation has announced that it will provide more than $426,000 in grants among 11 nonprofits in support of legal aid services for Texas veterans. [read post]
26 Apr 2019, 1:45 am
” (Art 4-2).Korean Financial institutions shall set up measures such as publishing guidelines, appointing certain employees as responsible persons for these reports (regarding Art 4 and 4-2) etc. in order to effectively prevent money laundering and financing of terrorism.Korean Financial institutions shall gather the necessary information about their customers (Customer Due Diligence) in order to prevent money laundering and financing of terrorism (Art 5-2).Cooperation and… [read post]
26 May 2010, 4:00 pm
Many hospitals are financially faltering and closing their doors as a result. [read post]
21 Jul 2020, 4:13 am
” Presently unauthorised financial services firms are able to promote their products by having their financial promotions approved by an authorised firm. [read post]
19 Feb 2010, 1:57 am
Semperian PPP Investment Partners (Semperian) has pleaded guilty to an offence under section 191(3) of the Financial Services and Markets Act 2000. [read post]
10 Nov 2009, 11:35 am
The House Financial Services Committee recently voted 41 to 28 in favor of a bill known as the Investor Protection Act of 2009, being sponsored by Rep. [read post]
1 Aug 2011, 4:18 pm
In accordance with ASIC Regulatory Guide 139 the Financial Ombudsman Service is obliged to identify, resolve and report on systemic issues and serious misconduct by Financial Service Providers to ASIC. [read post]
5 Sep 2023, 9:05 am
On 5 September 2023, the FCA published the terms of reference (ToRs) for its review of the treatment of domestic politically exposed persons (PEPs) by financial services firms. [read post]
1 Nov 2009, 11:19 am
That assumes, like financial markets often do, that people always behave rationally. [read post]
