Posts tagged with: "financial+services"
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23 May 2024, 8:17 am
What began with government agencies and then financial institutions seeking expanded storage solutions and an alternative to enterprise applications anchored to physical locations has matured into a cornerstone of many services the average person uses and benefits from every day. [read post]
16 May 2011, 8:23 am
Lawsky, Cuomo’s current Chief of Staff, to serve as the Superintendent of the new Department of Financial Services (the “DFS”) to be created by legislation enacted as part of the 2011-2012 budget. [read post]
14 Jun 2010, 5:30 am
The plaintiffs in this case, Greenwich Financial Services Distressed Mortgaged Fund 3, LLC and QED LLC, brought this putative class action in the New York State Court, as the holders of now-infamous mortgage-backed securities whose decline in value had hobbled the financial markets. [read post]
22 Jun 2011, 4:11 am
That the applicant is not reasonably able to secure a loan to pay for the services; and3. [read post]
16 Jan 2014, 11:41 pm
Managing Directors who breach their duties are subject to liability towards the company with regard to the financial loss arising from breach of duty. [read post]
27 Jun 2011, 7:56 pm
More Web Resources: Carl Fuller Florida Department of Financial Services [read post]
3 Jun 2015, 5:59 am
This post is based on Commissioner Piwowar’s recent remarks at the Cato Summit on Financial Regulation. [read post]
30 Jan 2011, 7:40 am
MiFID came into force in the European Economic Area (“EEA”) in November 2007 and sought to establish a single market for investment services and activities, harmonize conduct of business rules and provide to authorized firms a right to “passport” a branch or services, cross border, into other EEA Member States. [read post]
11 Feb 2013, 7:00 am
Second, being a good financial advisor requires you to have solid interpersonal relationships with your clients. [read post]
24 Sep 2011, 4:23 am
There was no reason why the financial impact on the leaseholders was an irrelevant factor when considering (i). [read post]
24 Sep 2011, 4:23 am
There was no reason why the financial impact on the leaseholders was an irrelevant factor when considering (i). [read post]
14 Dec 2009, 3:55 pm
"Notice 2009-92 provides that, subject to certain conditions, a financial institution that has received financial assistance under the Troubled Asset Relief Program (TARP) that complies with an advisory opinion of the Special Master determining that it is necessary to change the time or form of payment of compensation to a service provider of the TARP recipient, or to condition payment upon a TARP-related condition such as the prior repayment of some or all of the… [read post]
22 Apr 2010, 9:13 pm
The Dodd financial services reform bill, S. 3217 would give "original and exclusive jurisdiction" over liquidation petitions for failed systemically important financial firms to a panel of three Delaware bankruptcy judges appointed by a the Chief Bankruptcy Judge for the District of Delaware. [read post]
25 Sep 2015, 6:54 am
Stratton-Crooke of Ameriprise Financial Services, Inc., based out of Beachwood, OH. [read post]
29 Aug 2007, 6:22 pm
The dry run will force financial services firms to operate with shrinking numbers of employees -- on paper, at least. [read post]
21 Dec 2007, 12:31 am
TORRANCE, CA -- 12/19/07 -- LiveOffice AdvisorMail, a leading provider of hosted messaging, archiving, security and compliance solutions in the financial services industry, today announced that its email archiving solution is already helping independent broker-dealers meet recently issued guidance from the Financial Industry Regulatory Authority (FINRA) on the proper review and supervision of electronic communications (Regulatory Notice 07-59). [read post]
31 Mar 2009, 8:51 pm
In his speech on 1 April, the Attorney-General indicated the Goverrnment is balancing the need for the second tranche of reforms (to extend the existing AML/CTF Act to services provided by a range of businesses and professions, including accountants, lawyers, real estate agents and jewellers) against the very immediate needs of business in the current financial climate. [read post]
10 May 2018, 9:07 am
The recently announced departure of New York City-based Alliance Bernstein for Nashville, taking more than 1,000 jobs with it, suggests a potential loosening of New York’s iron grip on the financial-services industry. [read post]
20 Jul 2009, 7:26 am
Santoya Financial Co. charged customers more than $1,200 for its bogus services, Attorney General Terry Goddard says. [read post]
2 Jun 2021, 7:05 am
His broker report indicates he has several other business activities including Couture Wealth Management, CWM Retirement Plan Services and Couture Wealth Management Insurance Agency. [read post]
