Posts tagged with: "financial+services"
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27 Aug 2020, 8:55 pm
On 26 August 2020, the Financial Ombudsman Service (FOS) published issue 153 of its newsletter, where it sought to summarise the key themes it has seen in complaints handled recently. [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 Oct 2020, 8:47 am
NOTICE to Securities Industry Commentator and BrokeAndBroker.com ReadersPhishing Email Purporting to Be From FINRA / FINRA Alerts Firms to Phishing Email Requesting Them to Respond to Fraudulent FINRA Survey (FINRA Regulatory Notice)Former Cetera Rep Sues AdvisorNet Financial Over Alleged Supervision and Compliance Failures (BrokeAndBroker.com Blog)CEO of Financial Firm Pleads Guilty to Running Multi-Million Dollar Securities and Tax Fraud Scheme, and Operating an Unlicensed… [read post]
9 Nov 2020, 11:50 am
” On November 12, the House Financial Services Committee will hold a hearing, “Oversight of Prudential Regulators: Ensuring the Safety, Soundness, Diversity, and Accountability of Depository Institutions during the Pandemic. [read post]
21 Dec 2011, 2:59 pm
Cleary Gottlieb Steen & Hamilton is advising financial services giant Dexia on the $952 million sale of its Luxembourg unit to a Qatari investment group, as well as the chairman of U.S. insurer Delphi Financial on its $2.7 billion acquisition by Japan's Tokio Marine. [read post]
13 Feb 2023, 3:30 am
Calling All Unreasonable Financial Professionals: a personal message from Bill Singer Esq (BrokeAndBroker.com Blog) Notice Regarding Paxos-Issued BUSD (Consumer Alert / New York State Department of Financial Services) DOJ RELEASES SEC RELEASES SEC Award Almost $3 Million Whistleblower Award to Claimant Order Determining Whistleblower Award Claim CFTC RELEASES FINRA RELEASES = = =2/13/2023 ... [read post]
15 Apr 2021, 9:00 pm
When the Internal Revenue Service (IRS) extended the federal income tax filing deadline to May 17 for 2021, this extension did not apply to the obligation to file a Report of Foreign Bank and Financial Accounts (FBAR) with the Financial Crimes Enforcement Network (FinCEN). [read post]
10 Mar 2015, 6:22 am
Vitelli, also an attorney, has more than 20 years of financial services ... [read post]
7 Oct 2008, 8:27 pm
Many people in the financial services industry have behaved without regard to the good of others and even without reference to the interests of their own companies. [read post]
21 May 2020, 12:44 pm
The grant is part of the financial service company’s Truist Cares initiative, a $25 million philanthropic pledge announced in March 2020 to support basic needs, ... [read post]
10 Jul 2014, 11:00 am
Treasury officials are trumpeting the fact that more than 77,000 financial institutions have registered with the Internal Revenue Service, as required by the Foreign Account Tax Compliance Act (Fatca), ahead of a July... [read post]
24 Jul 2017, 10:11 am
From FOTB Jean Sternlight posted today on the ACSblog: The Consumer Financial Protection Bureau (CFPB) just issued a new rule prohibiting financial service providers from using forced arbitration to prevent their customers from suing the company in class actions. [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]
11 Feb 2010, 1:23 pm
FINRA (the Financial Industry Regulatory Authority) recently announced new guidance as to the obligations of financial services firms and their brokers related to their use of social networking sites such as Facebook, Twitter, LinkedIn and blogs to communicate with the public. [read post]
10 Sep 2024, 11:06 am
On June 4, the CFPB issued Circular 2024-03 (“Circular”) warning that the use of unlawful or unenforceable terms and conditions in contracts for consumer financial products or services may violate the prohibition on deceptive acts or practices in the Consumer Financial Protection Act. [read post]
25 Feb 2011, 12:55 pm
Financial need, community service, academic achievement and legal writing ability will be considered. [read post]
13 May 2021, 9:00 pm
When the Internal Revenue Service (IRS) extended the federal income tax filing deadline to May 17 for 2021, this extension did not apply to the obligation to file a Report of Foreign Bank and Financial Accounts (FBAR) with the Financial Crimes Enforcement Network (FinCEN). [read post]
8 Oct 2008, 3:38 pm
" Â The regulators have issued a report, entitled, "Protecting Senior Investors: Â Compliance, Supervisory and Other Practices Used by Financial Services Firms in Serving Senior Investors. [read post]
22 May 2023, 6:57 am
The Act requires credit services organizations, mortgage companies, supervised lenders, money transmitters, trust companies, and technology-enabled fiduciary financial institutions to comply with the requirements of the GLBA’s Safeguards Rule, as in effect on July 1, 2023.... [read post]
24 Nov 2015, 3:30 am
Financial services providers all over the world will be replacing magnetic stripe cards with EMV cards to prevent cyber attacks at terminals to stem the growing tide of cyber attacks which had been greatly... [read post]
