Posts tagged with: "financial+services"
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7 Dec 2022, 9:49 am
The second set tackles the issues of effective management of ML/TF risks by financial institutions when providing access to financial services. [read post]
10 Nov 2021, 10:53 pm
The Code of Conduct for Authorised Financial Services Providers and Representative’s requires a financial services provider at all times to render financial services honestly, fairly, with due skill and diligence in the interest of client and the integrity of the financial services industry. [read post]
9 Jul 2010, 10:03 am
Call for Papers Announcement AALS Section on Financial Institutions and Consumer Financial Protection Beyond Financial Reform: Mapping Regulatory Objectives, Institutional Forms, and Accountability in the Post-Crisis Landscape Friday, January 7, 4–5:45 pm 2011 AALS Annual Meeting San Francisco, California The AALS Section on Financial Institutions and Consumer Financial Services will hold a panel presentation of… [read post]
12 Dec 2010, 11:45 pm
However, they now say that the 2007 deleveraging proved insufficient to solve their financial woes as demand for the companies' services has continued to decline since emergence from those cases. [read post]
26 Jan 2017, 5:00 am
A comprehensive look at the cumulative regulatory burden is needed to determine where reform or repeal is appropriate, he said.The letter was sent to President Trump, SEC and CFTC commissioners, and leaders of the House and Senate Agriculture, Senate Banking, and House Financial Services committees.Wholesale review of regulation. [read post]
25 Apr 2014, 6:30 am
The other ther firms included Ameriprise Financial Inc., Lincoln National, Commonwealth Financial Network, Royal Alliance Associates, and Securities America. [read post]
19 Feb 2020, 4:26 pm
One of the primary purposes of the FSOC, established pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act, and composed of federal and state financial services agencies (financial regulators), was: “to identify risks to the financial stability of the United States that could arise from the material financial distress or failure, or ongoing activities, of large, interconnected bank holding companies or nonbank financial… [read post]
20 Dec 2023, 9:42 pm
What Are The Legal Options For Latin American Investors Who Suffered Losses in Northstar Financial Services (Bermuda)? [read post]
16 Jun 2009, 5:39 am
However, Chairman Frank and other Financial Services Democrats (who have already been active on the issue of financial regulation, as discussed here and here) have been quick to indicate that what the White House sends them will not automatically be what is included in their final legislation. [read post]
2 Apr 2020, 7:08 am
These announcements set some important pointers to the financial services industry and we expect further communications from the FCA on these specific areas. [read post]
31 May 2011, 4:21 am
Isabel Verlinden, Eric Bonneaud, Ionut Simion, Hugo Vollebregt and Jonas Van de Gucht, PricewaterhouseCoopersDuring the ECOFIN meeting held in Brussels on May 17, 2011, the EU Economic and Financial Affairs Council has endorsed the Guidelines drafted by the EU Joint Transfer Pricing Forum (‘JTPF’) on low value adding intra group services (‘Guidelines’). [read post]
16 Jan 2015, 5:57 am
After all, a cop’s years of good service matter enormously, while others’ years of good service are dismissed out of hand. [read post]
28 Oct 2009, 10:27 am
GMAC Financial Services,the former financing arm of General Motors Corp., may be in talks with the U.S. [read post]
12 Jul 2024, 6:25 am
On 12 July 2024, the Financial Ombudsman Service (FOS) published its latest annual complaints data and insight. [read post]
21 Apr 2011, 7:36 am
Pratt’s Financial Services Law Library can be found in Widener’s online database list here. [read post]
29 Mar 2021, 8:50 pm
Financial Services Compensation Scheme (Appointed Representatives) Instrument 2021. [read post]
25 Jun 2018, 10:53 am
On May 30, 2018, the Federal Reserve Board was the first of the five financial services regulators responsible for the Volcker Rule to approve proposed changes agreed by the regulators. [read post]
8 Apr 2013, 9:34 am
Alan S. [read post]
28 Jun 2024, 6:34 am
In the first episode of our podcast series, Risks Redefined, brought to you by the Risk Advisory team, Hannah Meakin and Haney Saadah discuss the upcoming UK general election and what this will mean for firms with regards to compliance, in both the lead up to the election and the implications of the various potential outcomes. [read post]
27 Sep 2016, 2:42 pm
Details available here. [read post]
