Posts tagged with: "financial+services"
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15 Aug 2019, 7:50 am
The Norton Rose Fulbright LLP financial services team invite you to their latest breakfast briefings. [read post]
25 Jan 2019, 1:16 pm
(CRD #13318) of Huntsville, AL, Raymond James Financial Services, Inc. [read post]
9 Dec 2020, 12:54 pm
Anyone embarking on a FAIS process to debar a financial service provider or representative would do well to read a recent Financial Services Tribunal decision setting out what constitutes a lawful, reasonable and procedurally fair process. [read post]
29 Jan 2019, 7:15 am
(CRD #7072), also of Holbrook, Liberty Partners Financial Services, LLC (CRD #130390) of Mount Pleasant, SC, and Milestone Financial Services, Inc. [read post]
20 Sep 2017, 6:03 am
Norton Rose Fulbright New York office’s next financial services briefing is a luncheon seminar set for Thursday, October 5, 2017, at 12:00-1:00 PM EDT. [read post]
8 Jul 2010, 12:00 pm
A colloquy between House Financial Services Chair Barney Frank and Rep. [read post]
20 Aug 2014, 2:14 pm
MishkinThe Financial Services Roundtable has launched as multimedia campaign to challenge the CFPB’s proposal to expand the consumer complaint data that it publicly discloses to include complaint narratives. [read post]
20 Feb 2024, 10:35 am
On 20 February 2024, the Financial Services and Markets Act 2023 (Regulated Activities) (Amendment) Order 2024 (the Order) was published, along with an explanatory memorandum. [read post]
20 Jun 2012, 12:24 pm
Compliance with the ADA and the accessibility features of ATMs became a hot issue for the financial services industry when the 2010 ADA Standards became effective on March 15, 2012. [read post]
15 Oct 2007, 9:01 am
The Seed (Miscellaneous Amendments) (Wales) Regulations 2007 The Plant Health (England) (Amendment) (No. 2) Order 2007 The Criminal Defence Service (Financial Eligibility) (Amendment No. 2) Regulations 2007 The Criminal Defence Service (General) (No. 2) (Amendment No. 2) Regulations 2007 The Value Added Tax (Amendment) (No. 6) Regulations 2007 The Toot Hill School (School Day and School Year Regulations) Order 2007 Source: www.opsi.gov.uk [read post]
14 Oct 2010, 2:35 am
The Capital Allowances (Environmentally Beneficial Plant and Machinery) (Amendment) Order 2010 The Financial Services Act 2010 (Commencement No. 1 and Transitional Provision) Order 2010 The Community Legal Service (Funding) (Amendment No. 2) Order 2010 (Revocation) Order 2010 The Olympics, Paralympics and London Olympics Association Rights (Infringement Proceedings) Regulations 2010 Source: www.legislation.gov.uk [read post]
13 Jan 2020, 10:51 am
No surprise it was one of the worst performing funds in 2019, according to Financial Planning. [read post]
23 Oct 2008, 6:36 pm
Merrill Lynch is expanding its presence in the Middle East by launching services in Saudi Arabia, and it plans to open offices in Kuwait and Qatar by the end of 2008. [read post]
30 Nov 2018, 2:39 pm
He has nearly 20 years experience in the industry as a broker and worked with a number of other broker-dealers, including Seaboard Securities, which FINRA has since expelled, Newbridge Securities, which has a record of hiring rogue brokers, Milestone Financial Services, JP Turner & Co., Cape Securities, and First Standard Financial Company, where he spent less then a year before moving to Joseph Stone Capital. [read post]
16 Oct 2009, 8:29 am
House Committee on Financial Services yesterday approved draft legislation to regulate over-the-counter derivatives. [read post]
2 May 2011, 3:45 pm
The Parliamentary Joint Committee on Corporations and Financial Services has published its report on Access for Small and Medium Business to Finance. [read post]
25 Nov 2009, 1:57 am
The Financial Services and Markets Act 2000 (Law Applicable to Contracts of Insurance) Regulations 2009 The Taxes, etc. [read post]
6 Jun 2017, 5:48 pm
The Internal Revenue Service announced today that its FATCA FFI Registration system has been updated to allow foreign financial institutions to renew their FFI agreement with the IRS. [read post]
25 Jan 2008, 8:24 am
On January 14th, the Securities and Exchange Commission filed settled charges against Justin Paperny, a former broker at UBS Financial Services for his role in a hedge fund fraud. [read post]
2 Jul 2019, 6:32 pm
More information is available here ASIC issues guidance to licensees to protect against share sale fraud On 17 June 2019 ASIC issued Information Sheet 235 ‘Protecting against share sale fraud’ (INFO 235) providing guidance to Australian financial service licensees on how to mitigate risks to their clients and business of share sale fraud. [read post]
