Posts tagged with: "financial+services"
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16 May 2024, 8:30 am
Community Financial Services Assn. of America, Ltd., recognizing Congress has constitutional prerogatives to govern and structure the federal government as it sees fit. [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]
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]
7 Jun 2023, 1:54 pm
Pease, while affiliated with Wells Fargo Clearing Services and Wells Fargo Advisors Financial [...] [read post]
29 Sep 2011, 12:35 pm
Securities regulators SEC (the Securities and Exchange Commission) and FINRA (the Financial Industry Regulatory Authority) have issued warnings to investors and to financial services firms that sales of structured securities products have hurt investors. [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]
3 Mar 2010, 5:48 pm
In Raymond James Financial Services Corp, Inc. [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]
1 May 2020, 6:22 am
Young professionals risk financial burnout as they weather their first big crisis (CNBC by Lorie Konish)Petition for Rulemaking of Financial Services Institute, American Securities Association, Competitive Enterprise Institute, and New Civil Liberties Alliance, Petitioners (Petition for Rulemaking to End the Securities and Exchange Commission's Backdoor Regulation of 12b-1 Fees)SEC Charges Husband and Wife in Insider Trading Scheme (SEC Release)SEC Settles with Former… [read post]
3 Sep 2009, 2:38 am
“This week the Financial Services Authority organised a briefing for lawyers to discuss ‘issues arising from the Turner review (and its associated discussion paper)’. [read post]
14 Jun 2019, 10:18 am
Jeff Harris, chief financial officer at the Bank of Glen Burnie can’t imagine any bank not wanting to become a member of the Compliance Alliance financial service offered by the Maryland Banking Association (MBA). [read post]
4 Dec 2008, 1:03 pm
The Legal Services Act 2007 (Functions of a Designated Regulator) Order 2008 The Domestic Violence, Crime and Victims Act 2004 (Commencement No. 10) Order 2008 The Definition of Financial Instrument Order 2008 The Human Tissue Act 2004 (Ethical Approval, Exceptions from Licensing and Supply of Information about Transplants) (Amendment) Regulations 2008 The Financial Assistance Scheme (Amendment) Regulations 2008 The Takeover [...] [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]
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]
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]
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]
23 Jul 2021, 12:55 pm
Makin' It Rain At The Strip Club -- FINRA Goes After Adult Entertainment Charges (BrokeAndBroker.com Blog) SEC Charges 27 Financial Firms for Form CRS Filing and Delivery Failures (SEC Release)Testimony Before the Subcommittee on Financial Services and General Government, U.S. [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]
23 Dec 2022, 8:30 am
U.S. taxpayers who own offshore accounts and certain other foreign financial assets have an obligation to disclose these assets to the Internal Revenue Service (IRS)—provided that their value exceeds the IRS’ relatively modest reporting thresholds. [read post]
10 Jan 2007, 5:47 am
Officials from the Securities and Exchange Commission, Britain’s Financial Services Authority, the New York Federal Reserve and several European agencies met [...] [read post]
