Posts tagged with: "financial+services"
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29 Oct 2020, 6:56 am
The changes in PS20/12 affect all FCA solo-regulated firms authorised to provide financial services under the Financial Services and Markets Act 2000. [read post]
2 Aug 2007, 8:42 am
The proposed legislation had recently been approved by the House Financial Services Committee's Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises. [read post]
30 Nov 2017, 7:25 am
Norton Rose Fulbright New York office’s next financial services briefing is a luncheon seminar set for Thursday, December 7, 2017, at 12:00-1:00 PM ET. [read post]
5 May 2017, 4:18 am
On 3 May 2017, the financial services team held its latest 40 minute briefing – Senior Managers’ Regime: Extension, Proportionality and Lessons Learnt. [read post]
9 Sep 2019, 6:23 am
Cunningham, StockCross Financial Services Reportedly Fined $225,000 over UITs According to a consent order,the Massachusetts Securities Division has fined StockCross Financial Services and broker Peter E. [read post]
3 Apr 2018, 8:42 am
On 28 March 2018, the Financial Ombudsman Service (FOS) published a document setting out its plans for the financial year 2018/19. [read post]
23 Mar 2009, 2:49 am
The Financial Services Authority (FSA) published its much-anticipated review of global banking regulation on 18 March 2009. [read post]
22 Feb 2011, 4:11 pm
The UK Financial Services Authority has proposed a draft Code of Practice to enhance the relationship between the outside independent auditor of a firm’s financial statements and the regulator of the firm. [read post]
29 Jul 2018, 1:46 pm
(Voya) and Ameriprise Financial Services, Inc. [read post]
20 Dec 2018, 10:19 am
His previous employers include SWS Financial Services, INC. [read post]
14 Jul 2017, 9:02 am
The Financial Markets Law Committee (FMLC) has published a paper that focuses on issues of legal uncertainty specific to the application of EU legislation to UK based financial services providers in the event that the UK withdraws from the EU without retaining access to the Single Market under any other legal provision. [read post]
25 Jun 2012, 3:50 pm
Jacqui heads up the Financial Services Advisory Group which sits within the Financial Industry Group. [read post]
20 Aug 2008, 2:32 pm
I have 6 years of experience in the financial services software industry (I am assuming that would qualify me under the Management Consultant category) but I do not have a bachelor's degree. [read post]
2 Sep 2010, 1:35 pm
Financial Services Authority last week published a discussion paper focusing on the prudential requirements for banks and investment firms that engage in trading activities. [read post]
21 Oct 2020, 8:52 am
Financial Advisor Sean Refsnider, Ameriprise Financial Services in Haddon Heights, NJ FINRA Reportedly Bars Sean Refsnider after Allegations of Stealing Funds from Elderly Client According to ThinkAdvisor on October 16, The Financial Industry Regulatory Authority (FINRA) has reportedly barred ex-Ameriprise advisor, Sean Refsinider after he allegedly converted $42,000 from an elderly client for his own use. [read post]
20 Dec 2016, 3:05 pm
Financial terms of the acquisition were not disclosed. [read post]
16 May 2014, 10:48 am
Jeb Hensarling (R-TX), Chair of the Financial Services Committee, asked the Fed and SEC to respond by May 16, 2014 to a series of questions intended to allow Congress to understand the designation process. [read post]
29 Nov 2018, 11:25 am
The Ohio OBM provides analysis, fiscal research, and financial management services to state agencies and the Office of the Governor. [read post]
28 Sep 2010, 3:23 am
The objective is for European and national bodies to work hand in hand.The new system has been designed in a way that it can be adapted to future developments in financial services. [read post]
11 Apr 2007, 10:26 pm
If the calculator relates to financial services it could be in breach of the ASIC Act if it is misleading. [read post]
