Posts tagged with: "financial+services"
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10 Jan 2007, 9:26 am
BusinessWeek.com cited the report, called “The 2007 Private Equity Compensation Report,” in Tuesday’s article about salaries in the financial-services sector. [read post]
14 Jul 2009, 2:28 am
The lawsuit alleges that since March of 2009, Santoya Financial falsely advertised its services as being endorsed and approved by the federal U.S. [read post]
10 Jun 2011, 11:13 am
Steven Kobayashi, founder of Life Settlement Partners, LLC and a former financial advisor at the UBS Financial Services LLC office in Walnut Creek, California has pleaded guilty to one count each of... [read post]
27 Jul 2011, 12:32 pm
"I think you're right to worry - it could happen," David Wilson, chief national bank examiner in the Office of the Comptroller of the Currency, said before a House Financial Services subcommittee. [read post]
21 May 2021, 4:05 pm
Burch-Lippincott has more than 30 years of experience in the financial services industry, and has been with UBS for more than 20 years. [read post]
25 Feb 2015, 11:10 am
Click here for the Reed Smith Client Alert to lean more about what this could mean for clients in the regulated financial services industry. [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]
10 Feb 2009, 10:27 am
Bernanke, the chairman of the Federal Reserve, appeared before the House Financial Services committee to testify at a hearing on the [...] [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]
24 Sep 2019, 2:32 pm
Virginia residents who have not timely disclosed their foreign financial assets to the Internal Revenue Service (IRS) have one less option than they did a year ago. [read post]
3 May 2012, 11:58 am
The Financial Industry Regulatory Authority (FINRA) announced that it ordered Citigroup Global Markets, Morgan Stanley, UBS Financial Services, and Wells Fargo Advisors to pay more than $9.1 million for failure to supervise and failure to have a reasonable basis for recommending selling leveraged and inverse exchange traded funds. [read post]
11 Aug 2014, 1:50 pm
Competitive Power Ventures LLC, of Silver Spring, which develops and operates energy facilities, and partners Marubeni and Toyota Tsusho announced they have closed financing with GE Energy Financial Services and 14 other lenders for the $775 million CPV St. [read post]
24 Nov 2007, 4:23 pm
It summarises situations where ASIC has exercised, or refused to exercise, its exemption and modification powers from the financial reporting, managed investment, takeovers, fundraising or financial services provisions of the Corporations Act 2001. [read post]
10 Jun 2020, 2:53 pm
Carpenter, who has more than 30 years of financial services experience, will report directly to Mary Ann ... [read post]
1 Mar 2012, 1:55 pm
Representative Barney Frank introduced a bill entitled the “Fair Debt Collection Practices Clarification Act of 2012” in the House Committee on Financial Services (the “Committee”). [read post]
19 Nov 2012, 12:00 am
Gordon The Consumer Financial Protection Bureau (“CFPB”) — best known as a financial services regulator and for the Senate’s rejection of the nominee to be its first chief (who, in an ironic twist, won a Senate seat in the 2012 elections) — also exercises some regulatory authority with an impact on employers. [read post]
19 Jan 2017, 11:56 am
As of this writing, the soon-to-be inaugurated President Trump has provided nothing more than general statements about his repeal plan, mainly focused on attacking the regulatory scheme the act created to rein in the financial services industry. [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]
7 Apr 2017, 6:00 am
Jeb Hensarling, who heads the House Financial Services Committee, lashed out against the Consumer Financial Protection Bureau chief Richard Cordray on Wednesday. [read post]
23 Jun 2016, 8:25 am
Jared Allen, of the financial services firm Edward Jones in Havre de Grace, has achieved the professional designation of Accredited Asset Management Specialist. [read post]
