Posts tagged with: "financial+services"
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14 May 2013, 8:46 am
Ropiequet presented two programs at the Consumer Financial Services Conference in Annapolis, Maryland. [read post]
27 Mar 2014, 2:15 pm
MishkinThe House Financial Services Committee’s Subcommittee on Oversight and Investigations has scheduled a hearing for April 2, 2014 entitled “Allegations of Discrimination and Retaliation within the Consumer Financial Protection Bureau. [read post]
13 Sep 2018, 7:27 am
Continue reading The post FINRA Issues a Suspension for Network 1 Financial Services Wills Henriquez appeared first on Securities Arbitration Lawyers Blog. [read post]
20 May 2015, 8:06 am
Kaplinsky Chambers USA has once again ranked the Ballard Spahr LLP Consumer Financial Services (CFS) Group in the highest tier nationally in the category of Financial Services Regulation: Consumer Finance (Compliance and Litigation). [read post]
21 May 2024, 9:25 am
On 21 May 2024, a draft statutory instrument (SI) – The Financial Services and Markets 2000 (Ombudsman Scheme) (Fees) Regulations 2024 – was published on legislation.gov.uk, along with a draft explanatory memorandum. [read post]
28 Jun 2017, 10:48 am
A Financial Industry Regulatory Authority (“FINRA”) arbitration panel has awarded two investors $793,000 in their Puerto Rico municipal bond fraud case against UBS Financial Services (UBS) and UBS Financial Services of Puerto Rico (UBS-PR). [read post]
9 Aug 2022, 6:52 pm
The month of July saw a suite of regulatory and industry updates following the start of a new financial year. [read post]
11 Aug 2021, 2:21 pm
Iorio Altamirano LLP represents investors nationwide that have disputes with their financial advisors or brokerage firms, such as Ameritas Advisory Services. [read post]
14 Jan 2021, 2:27 pm
Continue reading The post Berthel Fisher & Company Financial Services, Inc. [read post]
16 Jul 2019, 10:35 am
Four bills dealing with credit reporting were passed last Thursday by the House Financial Services Committee. [read post]
31 Mar 2023, 7:40 am
Final Report – Guidelines on policies and controls for the effective management of money laundering and terrorist financing (ML/TF) risks when providing access to financial services. [read post]
12 Jul 2023, 1:46 am
The Policy Paper states that the Chancellor’s 2023 Mansion House speech marks the beginning of the government’s repeal of retained EU law (REUL) in financial services following the passage of the Financial Services and Markets Act 2023. [read post]
14 Dec 2023, 9:09 am
The SI contains the fourth set of commencement regulations made under the Financial Services and Markets Act 2023 (FSMA 2023). [read post]
13 Aug 2009, 7:00 am
A final element that needs to be mentioned is contained in para. 2(a) of the Annex on Financial Services itself, stating "Notwithstanding any other provisions of the Agreement, a Member shall not be prevented from taking measures for prudential reasons, including for the protection of investors, depositors, policy holders or persons to whom a fiduciary duty is owed by a financial service supplier, or to ensure the integrity and stability of the… [read post]
17 Jan 2024, 10:00 pm
Join Pittsburgh partner Peter Watt-Morse and Philadelphia partner Barbara Melby and associate Katherine O’Keefe at 12:00 pm ET on Wednesday, January 24, 2024 as they highlight considerations for companies in the financial services and insurance industries that contract for technology and outsourcing services. [read post]
17 Jan 2024, 10:00 pm
Join Pittsburgh partner Peter Watt-Morse and Philadelphia partner Barbara Melby and associate Katherine O’Keefe at 12:00 pm ET on Wednesday, January 24, 2024 as they highlight considerations for companies in the financial services and insurance industries that contract for technology and outsourcing services. [read post]
17 Jan 2024, 10:00 pm
Join Pittsburgh partner Peter Watt-Morse and Philadelphia partner Barbara Melby and associate Katherine O’Keefe at 12:00 pm ET on Wednesday, January 24, 2024 as they highlight considerations for companies in the financial services and insurance industries that contract for technology and outsourcing services. [read post]
17 Jan 2024, 10:00 pm
Join Pittsburgh partner Peter Watt-Morse and Philadelphia partner Barbara Melby and associate Katherine O’Keefe at 12:00 pm ET on Wednesday, January 24, 2024 as they highlight considerations for companies in the financial services and insurance industries that contract for technology and outsourcing services. [read post]
17 Jan 2024, 10:00 pm
Join Pittsburgh partner Peter Watt-Morse and Philadelphia partner Barbara Melby and associate Katherine O’Keefe at 12:00 pm ET on Wednesday, January 24, 2024 as they highlight considerations for companies in the financial services and insurance industries that contract for technology and outsourcing services. [read post]
17 Jan 2024, 10:00 pm
Join Pittsburgh partner Peter Watt-Morse and Philadelphia partner Barbara Melby and associate Katherine O’Keefe at 12:00 pm ET on Wednesday, January 24, 2024 as they highlight considerations for companies in the financial services and insurance industries that contract for technology and outsourcing services. [read post]
