Posts tagged with: "financial+services"
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1 Jul 2010, 7:10 am
The House approved landmark legislation (H.R. 4173) June 30 that would overhaul U.S. financial services regulation with new controls on large and interconnected financial firms, tougher capital and operating standards for banks, and a new consumer protection bureau with broad powers to regulate financial products… Read this entire article for free, activate your free 15 day trial access to Banking Report now. [read post]
19 Nov 2008, 1:51 pm
Much of the discussion relates to financial institutions and it seems to be the assumption that consumers of most financial services can move from one institution to another pretty easily. [read post]
1 Nov 2018, 7:51 am
A Financial Industry Regulatory Authority (FINRA) arbitration panel is ordering UBS Financial Services (UBS) and UBS Financial Services of Puerto Rico (UBS-PR) to pay investor Jose F. [read post]
10 Jul 2020, 1:05 pm
Ricardo Turlan is a previously registered broker who last worked for UBS Financial Services in San Antonio, Texas. [read post]
11 Nov 2009, 4:14 am
- financial services reform bill. [read post]
13 Jul 2017, 6:52 am
UBS Financial Services Incorporated of Puerto Rico is a financial services firm that offers underwriting services. [read post]
4 May 2007, 5:48 am
Transfer of Risk Issue Looms Large for Hedge Fund RegulatorsThe transfer of risk to hedge funds via credit derivatives and other financial instruments reduces the ability of regulators and central bankers to have a clear picture of where risk sits in the financial system, noted Financial Services Authority CEO John Tiner. [read post]
13 Nov 2018, 7:54 am
In addition, just as investors can benefit from a variety of financial services, they can also benefit from a variety of investment options. [read post]
30 Jun 2020, 7:17 am
Businesses must still adhere to social distancing and other mitigation measures and will have to weigh any legal or health risks against the financial need to reopen. [read post]
15 Jun 2017, 10:54 am
The proposed “Financial Choice Act” would roll back many of the financial reform regulations that were implemented in 2010 in response to the Great Recession. [read post]
15 Jun 2017, 10:54 am
The proposed “Financial Choice Act” would roll back many of the financial reform regulations that were implemented in 2010 in response to the Great Recession. [read post]
30 Aug 2010, 2:30 am
Nearly two months ago, this article on the financial crisis facing the U.S. [read post]
10 Nov 2023, 7:29 am
(CRD#:14416), also of Skokie, Raymond James Financial Services, Inc. [read post]
24 Jun 2010, 12:26 am
The Minister for Financial Services, Superannuation and Corporate Law, Chris Bowen MP, has introduced the Corporations Amendment (No 1) Bill 2010 into Parliament. [read post]
6 Sep 2011, 1:32 am
On 1 September 2011, the British Insurance Brokers' Association (BIBA) and the Institute of Insurance Brokers (IIB) submitted a joint response to the Financial Services Authority's (FSA) consultation titled "The Financial Conduct Authority: The Approach to Regulation", which encourages discussion of the new Financial Conduct Authority's (FCA) approach to its objectives. [read post]
29 Jan 2018, 1:56 pm
The Financial Conduct Authority (“FCA“) is considering allowing Small and Medium Sized Enterprises (“SMEs“) access to Financial Ombudsman Service (“FOS“). [read post]
19 Mar 2012, 4:56 am
The two financial advisors, who are registered representatives at Ameriprise Financial Services, illegally traded in the stock of Philadelphia Consolidated Holding Corp. [read post]
14 Sep 2020, 1:18 am
The new European Disclosure Regulation provides the central schedule of obligations for ESG-related disclosures in the EU financial services sector. [read post]
6 Jun 2012, 3:40 pm
The Financial Services Institute (FSI) Chair, Joe Russo, recently released a letter stating that the FSI supports the Financial Industry Regulatory Authority (FINRA) as the new self-regulatory organization (SRO) for investment advisers. [read post]
13 Apr 2021, 6:28 am
On April 15, 2021, the House Financial Services Committee’s Subcommittee on Consumer Protection and Financial Institutions will hold a hearing titled, “Banking Innovation or Regulatory Evasion? [read post]
