Posts tagged with: "financial+services"
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21 Nov 2017, 6:10 am
Music industry lobby groups may frequently seek to equate the Internet with lost revenues, but an examination of financial data from one of Canada’s largest music copyright collectives demonstrates massive growth in earnings arising from Internet streaming including major services such as Youtube and Apple Music. [read post]
23 Mar 2015, 11:26 am
On January 27, 2015, the Consumer Financial Protection Bureau (“CFPB”) issued a compliance bulletin reminding supervised financial institutions (including large depository institutions, credit unions and their affiliates, certain nonbanks, and service providers) of existing regulatory requirements regarding confidential supervisory information. [read post]
22 Apr 2009, 2:02 pm
Wentworth's published precarious financial position and strong bankruptcy rumors, and the rumors that others are having trouble funding their deals this is a timely and important question. [read post]
13 Oct 2021, 8:32 am
The Official Monetary and Financial Institutions Forum (OMFIF) is now circulating its quite interesting 2021 Absa-OMFIF Africa Financial Markets Index (the "2021 Index"). [read post]
4 Mar 2021, 11:00 am
The Taskforce was charged with examining the existing legal and regulatory environment for consumers and financial services providers and making recommendations to the Bureau’s leadership for improving consumer financial laws and regulations. [read post]
28 May 2007, 8:18 pm
The policy statements and guides have been updated to take account of the regulations made on 15 December 2005 amending the financial services regime.More details [read post]
19 May 2009, 6:27 am
., Ameriprise Financial Inc., Hartford Financial Services Group Inc., Lincoln National Corp., Principal Financial Group Inc., and Prudential Financial Inc.Ameriprise has already turned down the government’s offer and, according to industry reports, Prudential is also expected to turn down TARP funds. [read post]
20 Apr 2021, 7:04 am
FINRA Panel’s Ruling is UBS Financial’s Third Loss Involving Yield Enhancement Strategy In a Financial Industry Regulatory Authority (FINRA) arbitration ruling, UBS Financial Services (UBS) must pay an Ohio couple $371K for financial losses they sustained from the brokerage firm’s Yield Enhancement Strategy (YES). [read post]
19 Aug 2020, 7:40 am
Breach of Fiduciary Duty Involving Retirement Fund Alleged Stephen Fergus Curry, a longtime Kestra Advisory Services registered representative, is named in a nearly $7.8M Financial Industry Regulatory Authority (FINRA) complaint accusing him of breach of fiduciary duty over services performed related to a retirement fund. [read post]
5 May 2008, 12:58 pm
The new act will require the township board of supervisors to consult with volunteer fire and ems providers on the township's needs to determine appropriate levels of financial and administrative assistance for these services. [read post]
16 May 2023, 3:55 am
On 19 October 2022, the FSCA published the final Declaration of a Crypto Asset as a Financial Product (Declaration) under the Financial Advisory and Intermediary Services Act, 2003 (FAIS Act) – see detail here. [read post]
25 Feb 2020, 7:08 am
Stoltmann Law Offices is investigating claims made by the Securities and Exchange Commission (SEC) against Robert Gravette, Mark MacArthur, and their Registered Investment Advisory firm, Criterion Wealth Management Insurance Services, Inc. [read post]
28 Jun 2012, 8:41 pm
In June 2012, the Association for Financial Professionals (AFP) debuted its Request for Proposal (RFP) template to "help treasury and finance professionals evaluate 401(k) plan service providers. [read post]
Senate Conferees Defend Payment, Clearance and Settlement Provisions of Financial Reform Legislation
20 Jun 2010, 4:28 pm
There are currently no consistent risk management standards for financial market utilities.The Fed would be authorized to provide account and settlement services to non-bank financial market utilities. [read post]
28 Mar 2022, 7:20 am
Beechwood Bermuda Investor Was Unsuitably Recommended Non-Traded REIT Healthcare Trust Another Chinese investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Cetera Investment Services over losses suffered in Beechwood Bermuda (a Northstar Financial Services (Bermuda)-related product). [read post]
4 Dec 2022, 7:22 pm
Our client is a highly regarded international financial specialist who is more than capable of providing top-notch financial services to the US and international companies in the field of cross-border finance. [read post]
3 May 2016, 9:56 am
Mishkin Alan Kaplinsky, who leads Ballard Spahr’s Consumer Financial Services Group, has been asked by the CFPB to testify as an industry representative at the CFPB’s May 5 field hearing on arbitration. [read post]
3 Sep 2018, 3:45 am
On 31 August 2018, Bloomberg broadcast an interview with Norton Rose Fulbright global head of financial services Jonathan Herbst on its ‘Rules & Return’ show. [read post]
23 Feb 2012, 12:45 pm
Under Dodd-Frank, a “nonbank” is “a company that offers or provides consumer financial products or services but does not have a bank, thrift, or credit union charter. [read post]
9 Mar 2009, 7:01 am
Various news reports citing anonymous sources on Friday said that Hartford Financial Services Group Inc. is in talks to sell most of its life insurance subsidiary to Sun Life Financial Inc.of Canada, a fine company north of the border that has good brand awareness in the United States advanced life insurance and estate planning market with Sun Life Assurance Company of Canada (and its New York subsidiary). [read post]
