Posts tagged with: "financial+services"
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10 Sep 2010, 8:36 am
In early 2009, I examined the Protocol for Broker Recruiting (the "Protocol") and court opinions applying it to situations in which financial advisers had transitioned their employment from one financial services firm to another. [read post]
21 May 2024, 1:08 pm
Supreme Court ruled in Community Financial Services Association of America Ltd. v. [read post]
26 Apr 2007, 7:15 am
.), chairman of the House Financial Services Committee, introduced a bill that would replace the current broad prohibition with strict regulations, including criminal background checks and financial disclosure, imposed on companies that seek to offer legal Internet gambling.Read the article: CNET News.com [read post]
3 Dec 2012, 11:00 am
It’s brought to you by the Consumer Financial Services Group at big firm Ballard Spahr, and they’re discussing such recent topics as warnings on free credit reports, the remittance transfer rule, challenges to appointments in the CFPB, and commentary on recent court opinions. [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]
7 Jan 2014, 2:15 pm
'With the U.S. patent expiration of Cymbalta last December and that of Evista coming in March, we expect 2014 to be the most financially challenging year of Lilly's current period of patent expirations,' said Derica Rice, Lilly executive vice president, global services and chief financial officer. [read post]
29 Oct 2015, 6:47 am
Proposed legislation to enact Massachusetts’ Family Financial Protection Act (S. 146 – H. 804) was considered during a hearing before the Joint Financial Services Committee on Oct. 27. [read post]
22 Nov 2016, 11:28 am
Harrison comes to the organization from the consulting sector, where he has provided strategic advisory services to a variety of companies since 2012. [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]
12 Jun 2017, 7:40 am
She will assist the investment operations team with the management of account maintenance and client services. [read post]
12 May 2014, 8:28 pm
., the financial services brokerage firm, agreed to pay $500,000 in fines and acknowledged a ruling by the Financial Industry Regulatory Authority (“FINRA”) Board of Governors, which concluded that Charles Schwab had violated FINRA rules by including a class action waiver clause in its customer agreement. [read post]
30 Jun 2021, 3:00 am
“Tony” Salazar is proud of his team and its service during the COVID-19 pandemic. [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]
24 May 2018, 8:31 am
Native Marylander Ted Cooney, whose business ventures have ranged from commercial fishing and boat-building to health-care financial services and an oyster farm, knows the value of seeking financial help wherever you can find it. [read post]
13 Sep 2022, 10:00 pm
This is due to the UK Money Laundering Regulations (MLRs) having been updated to apply the change in control regime under Part 12 of the Financial Services and Markets Act 2000 (FSMA), as modified by Schedule 6B of the updated MLRs, to FCA-registered cryptoasset exchange providers and custodian wallet providers. [read post]
14 Oct 2010, 1:01 pm
One of those secrets that isn't really a secret, or even confined to mortgages: Sometimes mortgage financiers didn't follow the rules that they demand purchasers follow when they transferred mortgages from originator to servicer to whomever. [read post]
9 Dec 2008, 6:56 pm
Greenwich Financial Services brought a purported class-action lawsuit against the Countrywide Financial Corporation in New York state court last week. [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]
7 Jun 2024, 6:00 am
Community Financial Services Assoc. of America, the Supreme Court, by a ruling of 7-2, approved the ability of the Federal Reserve to provide operational funds to the CFPB. [read post]
16 May 2017, 7:24 am
Brown’s Garber Wealth Management Team, has been recognized by Barron’s, the Financial Times, and Forbes for his experience and expertise in providing advisory services to institutions and high net-worth individuals. [read post]
