Posts tagged with: "financial+services"
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28 Sep 2004, 5:02 pm
In Tuesday's corporations and securities law news, Roger Barnes, the Fannie Mae whistleblower who raised the company's accounting problems, will testify before a House Financial Services subcommittee on October 6. [read post]
31 Jul 2023, 3:00 am
Hamilton began his financial services career some […] The post John Hamilton first appeared on Maryland Daily Record. [read post]
4 Sep 2023, 10:00 pm
To address these issues, the UK Information Commissioner's Office (ICO) issued an open letter to UK Finance (an industry body for banking and financial services) urging the association to support responsible data sharing for financial checks in the gambling industry. [read post]
2 Aug 2010, 1:18 pm
FINRA ruled in favor of an investor who filed a claim in June 2009 alleging a breach of fiduciary duty and contract by Raymond James & Associates and Raymond James Financial Services. [read post]
27 Sep 2008, 2:44 pm
The Thurgood Marshall Law Library has added two Congressional Research Service (CRS) research summaries to its excellent collection of digitized CRS documents. [read post]
3 Nov 2011, 12:49 pm
The House Financial Services Committee has approved a so-called “crowd funding” bill that would allow entrepreneurs and promoters to solicit up to $1 million of investor capital over the internet without any disclosure requirements, or $2 million if they file audited financials. [read post]
4 Jun 2024, 10:00 pm
The announcement is a continuation of the Biden administration’s multiyear push to restrict financial services providers and other companies, including ticket sellers, travel companies, and businesses in the entertainment and hospitality industries, from “dripping” fees incrementally during the transaction flow. [read post]
5 Aug 2020, 10:00 pm
Subordinate regulations under the Financial Instruments and Exchange Act, Act No. 25 of 1948, as amended (FIEA), were amended on July 22 to allow foreign business operators to temporarily conduct business in Japan upon approval by the Financial Services Agency (FSA) if such operators have difficulty doing business in their jurisdictions due to catastrophe situations such as a natural disaster, an epidemic, or political instability. [read post]
9 May 2016, 8:27 am
Hansen will manage and oversee many of NDMU’s day-to-day financial and non-financial operations, including human resources, facilities, dining services and information technology. [read post]
27 Jun 2014, 11:31 am
Keswick provides financial and clinical resources through a variety of financial programs to eligible employees, their dependent children and community high school interns expressing interest and commitment ... [read post]
25 Aug 2020, 10:00 pm
The UK’s financial services industry regulator is taking an adversarial stance in order to determine whether 17 different policy wordings can provide cover for businesses across the country, in the hope this will provide a level of certainty at this difficult time for businesses. [read post]
4 Oct 2023, 7:31 am
Supreme Court held oral argument in Community Financial Services Association of America Ltd. v. [read post]
20 May 2024, 10:00 pm
Beginning January 17, 2025, the European Union’s Digital Operational Resilience Act (DORA) will require financial entities to maintain and submit to EU regulators a comprehensive register of their contractual arrangements with third-party information and communication technology (ICT) service providers. [read post]
14 Jan 2009, 9:21 am
 Financial services firms have responded, but in too many instances have mischaracterized the benefits and the risks of both kinds of investments. [read post]
16 Feb 2021, 10:00 pm
In the article, Louise and Lee detail the financial measures that have been put in place to help support long-term unemployed people, and explain what public service spending will look like after April. [read post]
2 Jun 2015, 8:35 am
Holik, the former chief counsel at The PNC Financial Services Group, is joining the Potomac law firm Shulman Rogers as a shareholder in the firm’s financial industry regulatory group. [read post]
24 Feb 2014, 8:25 pm
Court of Appeal for the Ninth Circuit ruled that a wage and hour class action, brought on behalf of financial advisors against Chase Investment Services Corp., would not be compelled to arbitration because the parties’ agreement calls for arbitration under Financial Industry Regulatory Authority (“FINRA”) rules, [...] [read post]
10 Sep 2018, 2:07 am
The update provides hyperlinks to recently issued FCA publications: Global Financial Innovation Network; and Consultation Paper 18/23: Claims management companies: recovering the costs of regulation and the Financial Ombudsman Service. [read post]
13 Jul 2017, 12:50 pm
The new rule prohibits covered providers of consumer financial products or services, such as credit cards and bank accounts, from using arbitration clauses in consumer contracts to […] [read post]
18 May 2022, 10:00 pm
While large financial institutions with significant expertise in retirement plan administration are widely expected to sponsor most pooled employer plans (PEPs), other firms (such as franchisors, gig economy employers, joint venture enterprises, private equity firms, and smaller financial services companies) may benefit from sponsoring a PEP or making available a “white labeled” PEP product. [read post]
