Posts tagged with: "financial+services"
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6 Jan 2010, 11:08 am
The ALR is a highly useful service indeed. [read post]
21 Feb 2011, 6:30 am
Jacobs, recently wrote an article about the best ways to securely store the keys to your online financial life. [read post]
12 May 2011, 9:02 am
From INSURANCENEWSNET.COM (May 5, 2011) “Financial Planner Slapped with Suit” Any time you have a financial services company marketing exclusively to retirees and elderly people, it raises questions We work with many qualified financial planners to assist clients with comprehensive estate and financial planning. [read post]
12 Mar 2018, 3:12 pm
The European Commission (“EC“) published a speech on February 27, 2018 given by Vice President Valdis Dombrovskis, European Commissioner for Financial Stability, Financial Services and Capital Markets Union (“CMU“), which includes an outline of the goals of its Financial Technology (“FinTech“) action plan. [read post]
25 Nov 2019, 8:26 am
Financial Advisor Dennis Nakamura, McNalley Financial Services in Moraga, CA Are you concerned about investments with Dennis Nakamura in Moraga, CA? [read post]
8 Apr 2024, 8:17 am
On 3 April 2024, the Chair of the European Securities and Markets Authority (ESMA) Verena Ross, wrote a letter to Mairead McGuinness (European Commissioner for Financial Services, Financial Stability and Capital Markets), Irene Tinagli (Chair of the Committee on Economic and Monetary Affairs) and Vincent van Peteghem (President of the Economic and Financial Affairs Council of the European Union) concerning the uptake of distributed ledger technology (DLT) by… [read post]
1 Apr 2008, 12:38 pm
The report, Overview of decisions on relief applications (September to November 2007) )pdf) provides an overview of situations where ASIC has exercised, or refused to exercise, its exemption and modification powers from the financial reporting, managed investment, takeovers, fundraising and financial services provisions of the Act. [read post]
11 Aug 2022, 11:42 am
Providing services virtually was far less costly for the company. [read post]
10 Jun 2014, 10:39 am
SHOULD YOU RECEIVE A SIMILAR CALL, DO NOT, UNDER ANY CIRCUMSTANCES, PROVIDE PERSONAL OR FINANCIAL INFORMATION TO THE CALLER. [read post]
29 Jun 2022, 7:09 am
Join our global Financial services regulation team to hear about the developing regulatory approaches and trends in the BNPL sector across the world. [read post]
10 Jul 2010, 5:00 pm
Under MiFID, investment firm means any legal person whose regular occupation or business is the provision of investment services to third parties and/or the performance of professional investment activitiesUpfront cash bonuses are capped at 30 percent of the total bonus for most bonuses and 20 percent for large bonuses. [read post]
16 Nov 2022, 11:21 am
As the industry continues to digest the Fifth Circuit’s opinion in Community Financial Services Association of America, Ltd. v. [read post]
15 Jun 2011, 4:54 am
Call for Papers: Financial Institutions and Consumer Financial Services Section AALS Annual Meeting – January 2012 Rubber Hits Road: Implementing Dodd-Frank amid Reform Fatigue This program will take place one and a half years after the Dodd-Frank Act was signed into law. [read post]
17 May 2019, 7:28 am
Mark Hopkins, American Portfolio Financial Services, Grand Blanc, MI According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred Mark Hopkins, a former financial advisor in Grand Blanc, MI, from associating with any FINRA member at any time. [read post]
7 Jul 2009, 1:15 pm
consumers' undestanding of the risks of a type of consumer financial product or service. [read post]
18 Jan 2022, 8:00 am
We must tell you upfront that this service costs a little extra than our financial wellness plan. [read post]
28 Jul 2016, 3:22 pm
Management Report: Areas for Improvement in the Bureau of the Fiscal Service’s Information Systems Controls, GAO-16-655R: Published: Jul 28, 2016. [read post]
31 Mar 2010, 2:41 am
House Financial Services Chairman Barney Frank (D-Mass.) and Senate Banking Chairman Christopher Dodd (D-Conn.) told reporters March 24 that they have been working with the Obama administration to “harmonize” their financial regulatory reform proposals and predicted that a final bill will be enacted this year. [read post]
15 Jul 2020, 2:41 am
The paper is the outcome of two roundtables including a number of participants from across the financial services industries, held in May and June 2020. [read post]
24 Nov 2011, 7:44 am
The UK Financial Services Authority has fined and banned from the financial services industry a hedge fund compliance officer for breaching Principle 6 of the FSA’s Statements of Principle for Approved Persons. [read post]
