Posts tagged with: "financial+services"
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26 Feb 2018, 6:47 am
This Handbook Notice describes the changes that the FCA board made to the Handbook on 22 February 2018 under the following instruments: Financial Services Compensation Scheme (Transitional Levy Provisions) Instrument 2018; Supervision Manual (Financial Crime Report) (Amendment) Instrument 2018; Decision Procedure and Penalties Manual (Amendment) Instrument 2018; and Advising on Investments (Article 53(1) of the Regulated Activities Order) (Perimeter Guidance) Instrument… [read post]
8 Aug 2021, 6:58 am
Chicago-based Stoltmann Law Offices continues to hear from investors who’ve suffered losses from dealing with financial advisor who sold them annuity products from Bermuda-based Northstar Financial Services. [read post]
30 May 2018, 8:39 pm
AI opportunities in financial services are broad-based addressing needs in risk assessment, financial analysis, portfolio management, credit approval process, know your client (KYC) & anti-money laundering (AML) systems, various operational and customer interaction processes and system/data security. [read post]
8 Jun 2016, 12:52 pm
Mishkin Republican Congressman Jeb Hensarling, who chairs the House Financial Services Committee Chairman, released a summary of a bill to replace the Dodd-Frank Act. [read post]
29 Sep 2016, 7:19 am
Mishkin The Securities and Exchange Commission has announced that it will host a public forum in Washington, D.C. on November 14, 2016 to discuss financial technology innovation in the financial services industry. [read post]
26 Jan 2014, 5:19 pm
TreasuryDirect is the first and only financial services website that lets you buy and redeem securities directly from the U.S. [read post]
26 Jan 2014, 5:19 pm
TreasuryDirect is the first and only financial services website that lets you buy and redeem securities directly from the U.S. [read post]
27 Oct 2016, 1:00 pm
It may prove to be another tool that consumer financial services providers can use to defend themselves against meritless litigation. [read post]
29 Jan 2018, 7:53 pm
It goes to the growing discussions and developing regulations around how financial services are provided to consumers and what standard of care is owed to those consumers of financial services. [read post]
3 Nov 2014, 6:18 am
Attorney Chad Golder said in court that Elmas, whose d/b/a business Apple Financial Services, an affiliate of Apple Federal Credit Union, preyed upon elderly and widowed investors and used a variety of methods to hide stolen funds. [read post]
28 May 2021, 7:57 am
On 26 May 2021, the European Securities and Markets Authority (ESMA) published a letter that it had sent to Mairead McGuinness (Commissioner for Financial Services, Financial Stability and Capital Markets Union) raising a number of points regarding the European Commission’s current review of the Central Securities Depositories Regulation (CSDR). [read post]
26 Oct 2018, 7:34 am
Baird & Co Aaron Willbanks Willbanks Securities, Inc Birchtree Financial Services, Inc. [read post]
3 May 2019, 3:32 am
In DP19/2 the FCA presents data on demographics and socio-economic trends to help identify the financial needs of three generations of financial services users: Baby Boomers (born 1946 – 1965); Generation X (born 1966 – 1980); and Millennials (born 1981 – 2000). [read post]
1 Dec 2009, 9:55 am
Instead, a sign is taped on front door that reads: “DUE TO UNFORSEEN CIRCUMSTANCES, FAIR FINANCIAL SERVICES IS TEMPORARILY CLOSED. [read post]
28 Feb 2020, 5:41 am
Simms, formerly registered with Saxony Securities, Inc., MML Investor Services, Inc., and Securian Financial Services, Inc. [read post]
28 Feb 2020, 5:41 am
Simms, formerly registered with Saxony Securities, Inc., MML Investor Services, Inc., and Securian Financial Services, Inc. [read post]
26 Jun 2008, 11:05 pm
Massachusetts regulators filed civil fraud charges against UBS Financial Services on June 26 for allegedly claiming that risky auction-rate securities were as safe as cash. [read post]
10 Dec 2009, 1:45 pm
THIS AMENDMENT IS BEING FIERCELY OPPOSED by the BANKS AND FINANCIAL SERVICES communities and we NEED to get people CALLING in IMMEDIATELY. [read post]
15 Feb 2018, 12:57 pm
“Sharing services cuts the cost of doing business for government, which translates into financial savings for New Jersey taxpayers. [read post]
8 Sep 2016, 12:00 pm
The Town of Clifton Park is seeking administration trustee services and, or, funding of a §457 deferred compensation planSource: New York State Register, September 7, 2016 The Town of Clifton Park is requesting proposals from qualified administrative service agencies and/or financial organizations relating to administration trustee services and/or funding of a 457 deferred compensation plan for employees of the Town of Clifton Park meeting the requirements… [read post]
