Posts tagged with: "financial+services"
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1 Aug 2012, 11:12 am
On July 25, 2012, our Chicago-based Financial Services Regulatory colleague, John Mussman, presented a Webinar to the Association of Corporate Counsel's Financial Services Committee entitled What Constitutes Discrimination? [read post]
11 Oct 2019, 3:22 am
[Section 2(d) refusal of the mark BALLAST CAPITAL ADVISORS & Design for "financial planning and investment advisory services" [CAPITAL ADVISORS disclaimed] in view of the registered marks BALLAST POINT VENTURES, in standard character and design form, for "financial services, namely, venture capital, financial and investments consulting, financial and investments advice and financial and investments banking"… [read post]
2 May 2007, 7:04 am
Service times are 9:00 am, 11:00 am, and 1:00 pm. [read post]
17 Sep 2018, 7:56 am
Failure to Supervise The White Law Group is investigating the liability that Comprehensive Asset Management & Servicing may have for losses sustained by Tamara Steele’s clients. [read post]
15 Apr 2022, 5:30 am
It’s good to be with the Financial and Banking Information Infrastructure Committee (FBIIC) as well as the Financial Services Sector Coordinating Council (FSSCC). [read post]
15 Apr 2022, 5:30 am
It’s good to be with the Financial and Banking Information Infrastructure Committee (FBIIC) as well as the Financial Services Sector Coordinating Council (FSSCC). [read post]
9 Nov 2017, 8:33 am
The Act authorizes the Secretary of Financial and Professional Regulation, or his or her designee, to license and supervise servicers and issue implementing regulations. [read post]
17 Jun 2010, 8:30 am
But the UK rationalized financial regulation during the Blair years, creating a single regulator of everything, the Financial Services Authority. [read post]
21 May 2024, 2:49 am
Community Financial Services Association of America, Ltd., et al., the Court held that the CFPB’s independent funding through the Federal Reserve System does not violate the Appropriations Clause of the Constitution and separation of powers principles. [read post]
14 Sep 2021, 7:36 am
Ex-New York Financial Advisor Was Barred by FINRA in 2014 Nearly seven years after he was barred by the Financial Industry Regulatory Authority and fired by Ameriprise Financial Services, ex-New York broker Ted Wayne Cadwallader continues to be accused of making unsuitable investment recommendations that caused them significant losses. [read post]
9 Nov 2018, 9:33 am
According to BrokerCheck records financial advisor Eric Stuckey (Stuckey), currently employed by Ameriprise Financial Services, Inc. [read post]
4 Sep 2017, 4:24 am
Financial Advice Market Review implementation part I – finalised guidance (expected in September 2017); Policy Statement to Consultation Paper 17/28: Financial Advice Market Review: implementation of part II and insistent clients (expected December 2017); Policy Statement to Consultation Paper 16/42: Reviewing the funding of the Financial Services Compensation Scheme (expected in Q4 2017); Consultation Paper on the implementation of the Benchmarks… [read post]
2 Feb 2010, 1:41 pm
"Record profitability within the financial services industry also served to shield it from some forms of regulatory second-guessing," Bair told the commission. [read post]
26 Sep 2024, 3:19 am
Discuss the benefits, risks and challenges arising from the use of AI, which may be with respect to financial services firms or with respect to the wider financial system. [read post]
30 Jan 2018, 9:03 am
Fragmentation would lead to costs increasing and to financial stability deteriorating; in defining the future environment for financial services, regulation and supervision are key. [read post]
3 Sep 2010, 10:26 am
The article outlines the provisions of this landmark financial reform law which sets up the new Bureau of Consumer Financial Protection, changes the regulatory scheme for financial institutions, and makes numerous substantive changes to laws which regulate consumer financial services. [read post]
15 Oct 2020, 12:44 pm
Additionally, co-lessees (regardless of financial strength) were not required to provide additional security for decommissioning liability on a lease if one lessee had a waiver. [read post]
27 Oct 2010, 9:12 pm
David Kotz, there is no evidence that the SEC’s enforcement action against Goldman Sachs or the $550 million securities fraud settlement that resulted are tied to the financial services reform bill. [read post]
31 Aug 2016, 11:25 am
Debt collection continued to be the most-complained-about financial product or service in July 2016, representing about 27 percent of complaints submitted. [read post]
2 May 2008, 11:05 am
The Financial Services Authority ("FSA") published an interim report in respect of the Retail Distribution Review ("RDR") discussion paper it published in 2007. [read post]
