Posts tagged with: "financial+services"
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7 Dec 2022, 10:00 pm
The New York Department of Financial Services (NYDFS) published its proposed amendment to its 23 NYCRR Part 500 (Cybersecurity Rules) on November 9, 2022, following the release of the draft version on July 29, 2022. [read post]
30 Mar 2010, 2:49 pm
However, since the problem has been identified, the problems with the changes to the definition of "financial services" remain. [read post]
12 May 2024, 9:01 pm
An increasing number of states have enacted or are considering enacting legislation requiring financial institutions to provide customers “fair access” to financial services. [read post]
27 Jun 2023, 9:51 am
On 26 June 2023, the UK Government published a Commons Disagreement and Reason document relating to the Financial Services and Markets (FSM) Bill. [read post]
30 Aug 2023, 8:43 am
On 30 August 2023, HM Treasury published explanatory notes for the Financial Services and Markets Act 2023 (the Act). [read post]
26 Sep 2023, 3:50 am
The fact that the government is on the verge of shutting down does not affect business-as-usual in Washington, so tomorrow SEC Chair Gensler will be testifying at an SEC oversight hearing convened by the House Financial Services Committee. [read post]
11 Apr 2024, 9:45 am
In our latest briefing we set out some of the key upcoming dates that we are aware of so far in the financial services space for 2024, together with links to our relevant content for each development. [read post]
13 Jul 2012, 2:07 pm
The revised sanctions permit the first new U.S. investment in Burma in nearly 15 years and broadly authorize the exportation of financial services to Burma. [read post]
16 Nov 2009, 11:21 am
The Corporations Legislation Amendment (Financial Services Modernisation) Act 2009 received royal assent on 6 November 2009. [read post]
17 Jun 2022, 4:09 am
On 16 June 2022, the House of Commons’ Treasury Committee issued a new report regarding the Future of Financial Services Regulation. [read post]
10 Jan 2025, 6:28 am
On 9 January 2025, the Financial Services and Markets Act 2000 (Collective Investment Schemes) (Amendment) Order 2025 (the Order) was laid before Parliament and published, along with an explanatory memorandum. [read post]
21 May 2025, 6:19 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Myrsa Acevedo (Acevedo), previously associated with UBS Financial Services Incorporated of Puerto Rico, has at least one disclosable event. [read post]
The draft Financial Services and Markets Act 2023 (Addition of Relevant Enactments) Regulations 2024
1 Nov 2024, 2:13 am
The draft Regulations use powers set out in section 17(6) of the Financial Services and Markets Act 2023 to bring the following pieces of legislation into scope of the Financial Market Infrastructure (FMI) Sandbox powers: The Stock Transfer (Gilt-edged Securities) (CGO Service) Regulations 1985 (STRs). [read post]
17 Oct 2011, 11:19 am
“Bill’s addition to our growing team will add further depth and increase our abilities to service our global financial services clients across the rapidly changing regulatory landscape,” Doug Landy, head of the firm's U.S. financial services regulatory practice, said in a press release. [read post]
7 Sep 2022, 9:01 am
On 7 September 2022, the House of Commons’ Treasury Committee published the responses it received from the Treasury, PRA and FCA to its report on the Future of Financial Services Regulation. [read post]
24 Apr 2025, 6:19 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Meniktas was employed by UBS Financial Services INC. at the time of the activity. [read post]
1 Feb 2025, 12:49 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Lawes (Lawes), currently associated with UBS Financial Services Inc., has at least one disclosable event. [read post]
5 May 2025, 6:18 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robbyn Gayer (Gayer), currently associated with UBS Financial Services INC., has at least one disclosable event. [read post]
8 Apr 2025, 6:21 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Freire (Freire), previously associated with UBS Financial Services Incorporated of Puerto Rico, has at least one disclosable event. [read post]
21 May 2025, 6:22 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Addo (Addo), currently associated with UBS Financial Services INC., has at least one disclosable event. [read post]
