Posts tagged with: "financial+services"
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6 Feb 2020, 8:00 am
If you have any questions about our services, we encourage you to contact us at your earliest convenience. [read post]
23 Jan 2019, 5:56 am
At chapter 5, the Committee considers financial services regulations for debate, specifically: Proposal for a Regulation on the European Supervisory Authorities; Proposal for a Directive amending Directive 2014/65/EU on markets in financial instruments (MiFID II) and Directive 2009/138/EC on the taking-up and pursuit of the business of Insurance and Reinsurance; Amendment of the proposal for a Regulation as regards the authorisation of central counterparties; and Amended… [read post]
13 May 2009, 9:26 am
A group of four employees left World Financial Group ("WFG") an insurance, pension, and financial services company for one of its direct competitors, HBW Insurance and Financial Services. [read post]
7 May 2009, 9:57 am
By way of background, a group of four employees left World Financial Group ("WFG") -- an insurance, pension, and financial services company -- for one of its direct competitors, HBW Insurance and Financial Services. [read post]
2 Mar 2023, 5:50 am
On 1 March 2023, the European Parliament announced that the Economic and Monetary Affairs Committee had adopted its position on the draft Regulation amending the Central Securities Depositories Regulation as regards settlement discipline, cross-border provision of services, supervisory cooperation, provision of banking-type ancillary services and requirements for third-country central securities depositories. [read post]
6 Jun 2022, 11:43 am
Veterans with service-connected injuries may soon receive additional financial benefits from the State of New Jersey thanks to legislation sponsored by Sen. [read post]
16 Jun 2022, 12:57 pm
Veterans with service-connected injuries may soon receive additional financial benefits from the State of New Jersey thanks to legislation sponsored by Sen. [read post]
15 Sep 2022, 10:14 am
Veterans with service-connected injuries may soon receive additional financial benefits from the State of New Jersey thanks to legislation sponsored by Sen. [read post]
26 Apr 2010, 11:39 am
It would appear therefore that the more important implication of this proposal is the effect any broader FTC rulemaking authority would have on entities that offer consumer products and services outside of the financial services area. [read post]
1 May 2020, 7:53 am
In the Deutsche Bank case, the House Committee on Financial Services and the House Permanent Select Committee on Intelligence issued subpoenas to Deutsche Bank, the president’s biggest lender, and Capitol One, seeking records for the president, his family and the Trump Organization as part of an investigation into possible foreign influence in U.S. elections. [read post]
6 Apr 2021, 6:58 pm
Citizens who qualify for either the National Interest Exception (NIE) or an expedited visa interview based on extreme financial hardship, should apply as soon as possible to avoid these backlogs. [read post]
20 Sep 2013, 11:05 am
If a foreign financial institution does not solicit prospective customers and does not provide financial services from a physical location in Curaçao, arguably such institution is not providing services in or from Curaçao and the aforementioned regulations would not be applicable. [read post]
6 Apr 2015, 9:30 am
In addition, compile a list of the phone numbers for the customer service department at each financial institution or investment company. [read post]
4 Jan 2023, 7:41 am
The European policies do not apply in the U.S., but given the size of the European market and the risk of legal liability, it will be tempting and financially wise for U.S. [read post]
16 Sep 2020, 7:37 am
” Read the SEC’s press release: SEC Charges VALIC Financial Advisors with Failing to Disclose Payments to Promote Services to Florida Educators The post VALIC Financial Advisors Pay SEC $40 Million to Settle Charges in Two Separate Actions appeared first on Whistleblower News Network. [read post]
28 Dec 2020, 8:14 am
The recurring fees typically range from 0.25 to 1.00 percent and are used to cover costs related to fund distribution and shareholder services. [read post]
12 Aug 2020, 10:51 am
Bryant Caveness, Ameriprise Financial Services, Kingsport, TN FINRA Bars Bryant Caveness for Failure to Cooperate with its Investigation According to Financial Advisor IQ on July 27, citing a document from the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Bryant Caveness for failure to provide information in its investigation into his “potential receipt of checks from senior customers. [read post]
26 Mar 2020, 7:55 pm
This amends the list contained in Part 1 of the Schedule to the Financial Services and Markets Act 2000 (Exemption) Order 2001 such that Covid Corporate Financing Facility Ltd is exempt from the general prohibition contained in section 19 of the Financial Services and Markets Act 2000 (which prohibits the performance of regulated activities in the UK unless carried out by an authorized or exempt person). [read post]
9 Jan 2018, 10:55 am
” The movie shows its affection for the Sung family, which was equipped professionally, if not financially, for an expensive legal battle. [read post]
19 Mar 2009, 12:48 pm
FINRA’s approach may not be appropriate in all cases and, for example, the arbitration rules of the London-based City Disputes Panel provide that the tribunal will usually consist of a legally qualified chairman and two experienced financial services practitioners. [read post]
