Posts tagged with: "financial+services"
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2 Jun 2020, 4:47 am
COVID-19 issues affecting asset and fund managers – tax considerations Over the duration of lockdown, partners and members of our financial services team have been sharing with clients and contacts a series of video diaries setting out their views on the latest developments in respect of COVID 19 impacts in the various areas of financial services. [read post]
13 May 2014, 8:53 am
He touted the Bureau’s efforts to hold service providers liable for violations of consumer financial laws and financial institutions responsible for the violations of their service providers. [read post]
30 May 2008, 3:27 pm
“You’re only criticizing United First Financial because we’re selling this service. [read post]
20 Nov 2019, 9:42 am
The topics included the main obligations that crypto service providers will need to comply with under the Act on the prevention of money laundering and terrorist financing (Wet ter voorkoming van witwassen en financieren van terrorisme) and the Sanctions Act 1977 (Sanctiewet 1977), the registration process with DNB (including the required integrity and suitability screenings), the obligation for crypto service providers to report unusual transactions to the Financial… [read post]
19 Apr 2009, 8:46 am
We've blogged about financial translation, foreign language translation of reverse mortgage loans, validity of real estate transactions conducted in a foreign language, and the role professional business translation services in consumer protection. [read post]
3 Aug 2012, 9:29 am
In recent testimony before the House Financial Services Committee, Treasury Secretary Tim Geithner indicated that the FSOC designations of non-bank financial institutions as systemically important would happen this year. [read post]
28 Oct 2007, 9:33 pm
Failing to make a clean financial break. [read post]
3 Mar 2023, 2:08 am
Specifically, in Community Financial Services Association of America v. [read post]
4 Nov 2022, 8:39 am
Specifically, in Community Financial Services Association of America v. [read post]
8 Oct 2015, 12:54 pm
On October 7, the Consumer Financial Protection Bureau (“CFPB”) proposed a ban on class action waivers in consumer financial products and services contracts. [read post]
8 Oct 2015, 12:54 pm
On October 7, the Consumer Financial Protection Bureau (“CFPB”) proposed a ban on class action waivers in consumer financial products and services contracts. [read post]
7 Mar 2017, 10:13 am
On March 1, 2017, new “first-in-the-nation” cybersecurity regulations of the New York Department of Financial Services (DFS) went into effect to protect consumers and the financial system from cyber attacks. [read post]
26 Sep 2011, 1:50 pm
IFS stands for Integrated Financial Settlements and is the holding company of EPS, Structured Financial Associates, Millennium, The Manglesdorf Companies and Mass Tort Settlement Services. [read post]
7 Mar 2017, 10:13 am
On March 1, 2017, new “first-in-the-nation” cybersecurity regulations of the New York Department of Financial Services (DFS) went into effect to protect consumers and the financial system from cyber attacks. [read post]
13 Sep 2024, 6:07 pm
Raymond James To Pay $1.8M Fine Over Purported Mutual Fund Monitoring Failures Potentially Unsuitable Mutual Fund Switching May Have Caused Excessive Sales Fees, Commissions Raymond James Financial Services and Raymond James & Associates, which are both Raymond James Financial Inc. subsidiaries, have agreed to pay over $1.8M to settle Financial Industry Regulatory Authority (FINRA) allegations that they failed to properly supervise the… [read post]
5 Feb 2013, 8:13 am
McGraw Hill Companies, Inc. and Standard & Poor's Financial Services, LLC (C.D. [read post]
19 Sep 2023, 9:21 am
Janie now serves as the CEO/President of Native Agriculture Financial Services (NAFS), the first-ever lending entity within the Farm Credit System dedicated to Native American producers. [read post]
24 May 2019, 10:35 am
Our conclusion is that broker-dealers and other financial services firms need to be aware of increased regulatory efforts and scrutiny from state and local securities regulators in an ever-shifting and increasingly complex regulatory landscape. [read post]
17 May 2018, 5:09 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, the Industrial and Commercial Bank of China Financial Services LLC, ("ICBCFS")submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
16 Apr 2018, 5:57 am
Chicago Investment Advisor Sentenced to More Than 12 Years in Federal Prison for Misappropriating $5.2 Million in Client Funds (DOJ Press Release)https://www.justice.gov/usao-ndil/pr/chicago-investment-advisor-sentenced-more-12-years-federal-prison-misappropriating-52Investment advisor Daniel Glick owned and operated Financial Management Strategies Inc., Glick Accounting Services Inc., and Glick & Associates Ltd., through which he purportedly provided accounting, tax,… [read post]
