Posts tagged with: "financial+services"
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10 Jul 2020, 12:34 pm
Comments to the final California Consumer Privacy Act regulations asked if the CCPA carve-out regarding the Gramm Leach Bliley Act (GLBA), the data protection law governing US financial institutions, applies to: Financial institutions under GLBA Service providers that must comply with GLBA Sources of information that are subject to GLBA The California Attorney General’s Answer: No. [read post]
16 May 2017, 5:52 am
In case you missed it, here’s a pick of some of the most interesting blogs on cyber security: FCA speech on managing cyber security threats (25 April 2017): G7 principles on cyber security for the financial sector (13 October 2017) Our approach to cyber security in financial services (23 September 2017) Cyber security Directive published in the OJ (20 July 2016) CPMI-IOSCO release guidance on cyber resilience for financial market infrastructures (30 June… [read post]
26 Jan 2017, 9:43 am
In the financial services industry, DLT has the potential to be a cost-saving, efficiency-gaining technology. [read post]
26 Jan 2017, 9:43 am
In the financial services industry, DLT has the potential to be a cost-saving, efficiency-gaining technology. [read post]
22 Sep 2014, 7:19 am
According to broker Ismail Elmas’ (Elmas) Financial Industry Regulatory Authority (FINRA) BrokerCheck records the representative was recently discharged from CUSO Financial Services, LP (CUSO Financial) concerning allegations that the broker “converted client funds for personal use as well as participated in an unauthorized outside business activity involving investments without the firm approval…” Previously Elmas was associated with CUNA… [read post]
7 May 2020, 5:25 am
Financial Advisor James Garland Kennedy, Jr., Woodbury Financial Services, Madison, MS Jim Kennedy Reportedly Barred after Failure to Provide Testimony in FINRA’s Investigation According to a Letter of Acceptance, Waiver and Consent, The Financial Industry Regulatory Authority (FINRA) has reportedly barred James Garland Kennedy Jr. [read post]
29 Jun 2023, 11:38 am
” Under section 21 of the Financial Services and Markets Act 2000, a person must not, in the course of business, communicate an invitation or inducement to engage in investment activity unless authorised to do so by the FCA or the communication is approved by a person authorised to do so (known as the “financial promotion restriction”). [read post]
8 Jun 2012, 1:35 pm
Sandler is ranked as a Band 1 lawyer in Financial Services Regulation: Consumer Finance (Compliance), as a Band 1 lawyer in Financial Services Regulation: Banking (Enforcement & Investigations), and as a “Star Individual” in Financial Services Regulation: Consumer Finance (Litigation). [read post]
15 Apr 2013, 7:23 am
Limited scope representation does not mean less competent or lower quality legal services: For Ontario lawyers, the commentary to Rule 2.01 “Competence” specifies that a lawyer considering whether to provide legal services under a limited scope retainer must carefully assess in each case whether, under the circumstances, it is possible to render those services in a competent manner. and further, new Rule 2.02(6.1) provides that: “Before providing legal… [read post]
5 Feb 2019, 6:05 am
On 4 February 2019, the European Commission adopted a number of proposals for decisions of the Council of the EU regarding the incorporation of certain financial services Directives into the EEA Agreement. [read post]
1 Apr 2019, 4:35 am
The Handbook Notice describes the changes to the Handbook, Binding Technical Standards and other material made by the FCA under its legislative and other statutory powers on 28 February and 28 March 2019, and by the Board of the Financial Ombudsman Service, subject to approval by the FCA, on 6 and 27 March 2019. [read post]
13 Jan 2021, 6:55 am
Visa, a multinational financial services corporation, facilitates electronic fund transfers. [read post]
4 Jun 2018, 11:17 am
Donnell Bowen – Northwestern Mutual Investment Services – Investigation According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Donnell Bowen from the securities industry. [read post]
20 Nov 2020, 2:52 pm
The OCC has proposed a rule on "Fair Access to Financial Services. [read post]
26 Mar 2009, 12:32 pm
The most interesting fact about this case is that the defendant was a Secret Service Special Agent In Newark and an active member of his New Jersey church when the offenses were committed.Dullum befriended two fellow church members who were recovering alcoholics/drug addicts, and were "a little slow", and volunteered to serve as their financial advisor. [read post]
4 Sep 2012, 9:04 am
All service members should act before they leave to ensure that while they are deployed their financial matters will be taken care of. [read post]
4 Sep 2012, 9:04 am
All service members should act before they leave to ensure that while they are deployed their financial matters will be taken care of. [read post]
8 Apr 2015, 2:19 pm
Thereafter, the debate over hours-of-service regulations continued, eventually leading to additional revisions, which took effect in 2013. [read post]
28 Sep 2011, 2:26 pm
The Government has released the exposure draft and Explanatory Memorandum of the Corporations Amendment (Further Future of Financial Advice Measures) Bill 2011 for the second and final tranche of draft legislation on the FOFA reforms for public comment [read post]
23 Oct 2023, 6:50 am
Capital-intensive businesses, like certain types of pharma services companies such as manufacturing and sterile fill finish, are often the first to feel the impact of these financial constraints. [read post]
