Posts tagged with: "financial+services"
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24 Sep 2008, 7:04 pm
This would mean that some schemes would need to lift their current limits within an appropriate transitional period.Main issues affecting financial service providersInternal dispute resolution (IDR)Financial service licensees must currently have IDR procedures that satisfy the Essential Elements of Effective Complaints Handling in Section 2 of AS 4269-1995 and appropriately document their IDR procedures. [read post]
1 Feb 2009, 9:17 pm
Financial Services Roundtable Principals for Financial Regulatory Reform, January 29, 2009 Related postings on financial system... [read post]
2 Apr 2020, 6:19 am
The petition follows announcements by the Consumer Financial Protection Bureau and the banking regulators urging financial services institutions to work with customers impacted by COVID-19, particularly consumers who cannot make existing loan payments. [read post]
13 Aug 2024, 9:37 am
The post Did Portsmouth Financial Services Sell You GWG’s L-Bonds? [read post]
11 Jul 2013, 6:00 am
MishkinIn the latest installment in the CFPB data collection controversy, the House Financial Services Committee’s Subcommittee on Financial Institutions and Consumer Credit held a hearing on July 9 entitled “Examining How the Consumer Financial Protection Bureau Collects and Uses Consumer Data. [read post]
27 Jul 2023, 2:16 pm
On 27 July 2023, the Financial Stability Board (FSB) published a statement following survey feedback on the continuity of access to financial market infrastructure (FMI) services for firms in resolution. [read post]
20 Mar 2023, 7:04 am
The post Republicans Almost Sort Of Agree That Something Should Be Done About Financial Services Cybersecurity appeared first on Above the Law. [read post]
9 Dec 2022, 8:40 am
On 8 December 2022, the Financial Services and Markets Bill had its first reading in the House of Lords. [read post]
7 Nov 2007, 10:34 am
Markets in Financial Instruments Directive to Take EffectA sweeping reform of financial services regulation in the European Union is represented by MiFID, the Markets in Financial Instruments Directive, 2004/39/EC, which takes effect on November 1, 2007. [read post]
8 Sep 2012, 7:44 am
The House Capital Markets Subcommittee approved the bill in August by a The vote was 21-10 vote.The next step in the process should be mark up and approval by the full Financial Services Committee. [read post]
23 Jul 2020, 8:52 am
On July 30, 2020, the House Financial Services Committee will hold a hearing entitled, “Protecting Consumers During the Pandemic? [read post]
14 May 2018, 8:54 am
We published an article with Thomson Reuters Practical Law summarizing key employment issues for financial services employers, highlighting those rules applicable to registered representatives regulated by Financial Industry Regulatory Authority (FINRA). [read post]
14 May 2018, 8:54 am
We published an article with Thomson Reuters Practical Law summarizing key employment issues for financial services employers, highlighting those rules applicable to registered representatives regulated by Financial Industry Regulatory Authority (FINRA). [read post]
11 Nov 2020, 7:01 am
Lawrence Goldstein was a registered financial advisor with McNally Financial Services Corporation in Sparks, Nevada, from April 2010 until February 28, 2020. [read post]
12 Dec 2022, 9:33 am
On 12 December 2022, the FCA published a firm wide review on understanding approaches to D&I in financial services. [read post]
25 Jun 2010, 12:23 pm
The agreement may have a major effect on arbitration in the financial services industry. [read post]
1 Feb 2009, 9:25 pm
The Financial Services Fact Book 2009, Insurance Information Institute, The Financial Services Roundtable: "The 2009 edition includes a host of... [read post]
8 May 2007, 10:49 pm
Financial Services Factbook 2007: "Each year the Financial Services Fact Book, a partnership between the Insurance Information Institute and The... [read post]
3 Apr 2013, 11:37 am
KaplinskyThe 18th Annual Consumer Financial Services Institute, sponsored by the Practising Law Institute, will take place on April 8-9, in New York City (and by live webcast and groupcast in Philadelphia, Pittsburgh, and Mechanicsville, Pennsylvania), and on May 2-3, in Chicago. [read post]
12 Oct 2020, 12:38 pm
Ballard Spahr’s Consumer Financial Services Group is pleased to announce that it will hold a special live CLE webcast series, “Consumer Financial Services in Turbulent Times,” through the end of this year. [read post]
