Posts tagged with: "financial+services"
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6 Jul 2009, 8:43 am
“The Financial Services Authority (FSA) wants to impose much bigger fines on firms or individuals who cheat their customers or engage in insider dealing. [read post]
18 Jun 2008, 7:58 am
Earlier today, the SEC issued a press release announcing that the SEC, Japan's Financial Services Agency and the European Commission have established a roundtable to discuss creating a monitoring group as part of the International Accounting Standards Committee. [read post]
19 Jan 2016, 6:14 pm
The Global Migration Centre (Graduate Institute, Geneva) and the Groningen Centre for European Financial Services (University of Groningen) are organizing Investment Migration: Making Sense of the Trend June 6, 2016, in Geneva. [read post]
15 Dec 2009, 3:20 pm
The Florida Department of Financial Services announced that the Statutory Interest Rate for 2010 will be 6% per annum or .0001644 per day. [read post]
5 Jun 2011, 10:58 am
One of his charts gave the number of pages in various historic statutes regarding financial services. [read post]
14 Aug 2008, 8:38 am
“If an investment bank has uncovered evidence that a trader has deliberately mispriced positions it then faces an additional burden: informing the Financial Services Authority (FSA). [read post]
20 May 2009, 9:26 am
Britain's Financial Services Authority is set to charge current Dorsey & Whitney corporate partner Andrew Rimmington and former McDermott Will & Emery corporate partner Michael McFall with insider trading. [read post]
24 Sep 2009, 2:28 am
“An accountant and two lawyers accused of insider dealing by the Financial Services Authority (FSA) have been committed to stand trial at Southwark Crown Court. [read post]
16 Jul 2008, 9:57 am
Joe currently works for the Mortgage SuperCenter, a retail financial services company. [read post]
16 May 2016, 8:45 am
Alan Kaplinsky, who leads Ballard Spahr’s Consumer Financial Services Group, was invited by the CFPB to attend the field hearing to present the financial services industry’s position on the proposed regulations. [read post]
27 Nov 2011, 12:18 pm
LPL Financial LLC has been fined $100,000 for failing to supervise Jack Kleck, a broker who sold unsuitably risky investments to clients in their 80s, the Oregon Department of Consumer and Business Services announced on Nov. 22. [read post]
25 Nov 2014, 10:38 am
”Transparency is no small matter, noted Chief Counsel Reed, it undergirds confidence that the financial services industry can deliver its core services. [read post]
22 Nov 2016, 6:02 am
" The Act defined "Covered Business Methods" as methods "for performing data processing or other operations used in the practice, administration, or management of a financial product or service. [read post]
22 Nov 2016, 6:02 am
" The Act defined "Covered Business Methods" as methods "for performing data processing or other operations used in the practice, administration, or management of a financial product or service. [read post]
20 Aug 2009, 10:30 am
After arriving at the main page, the website viewer can then select the county in which they reside then they will be directed to a database of social services, health providers, non-profit organizations, hospitals, Medicare and Medicaid information, Social Security information, nursing home information, financial aid, crisis help and many other services that are centric to their county.The database will be fluid. [read post]
19 Oct 2016, 6:08 am
It will be interesting to see if similar services make their way into the world of corporate real estate. [read post]
24 Nov 2020, 12:05 pm
July 2019 – The Financial Industry Regulatory Authority fined Summit Brokerage Services over $880,000 for supervisory failures tied to automated trade alerts. [read post]
7 Jul 2010, 11:07 am
In April 2008, PaulFinancial assigned to Aurora Loan Services the right to service the loan. [read post]
22 Nov 2013, 7:40 am
Britain’s new Financial Conduct Authority came into being on April 1, 2013 as part of the new twin peaks regulatory regime under which the Financial Services Authority was replaced by the Financial Conduct Authority and the Prudential Regulation Authority, two new regulators with discrete remits. [read post]
15 Jan 2009, 3:00 pm
Tim Geithner is Barrack Obama’s Treasury Secretary-Elect and as such, if his appointment is confirmed, will oversee the Internal Revenue Service. [read post]
