Posts tagged with: "financial+services"
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25 Aug 2021, 1:00 pm
” A new FCA campaign, “In Confidence, With Confidence,” encourages people working in financial service sector to report violation. [read post]
3 Apr 2008, 2:52 am
The Financial Services Working Group is charged with cutting lengthy and unreadable documents in the financial services sector. [read post]
26 Oct 2018, 7:27 am
Morgan Securities LLC Bustamante Family Legacy LLC Daniel Flores Woodbury Financial Services, Inc Princor Financial Services Corporation Jose Giraldo Merrill Lynch, Pierce, Fenner & Smith Inc David Lerner Associates, Inc Joshua Krize Wells Fargo Clearing Services, LLC Country Capital Management Company Francine Lanaia Windsor Street Capital, LP Meyers Associates… [read post]
16 Jul 2012, 11:39 pm
The industry is benefiting from growth in start-up businesses, as well as new financial rules and U.S. company expansions abroad, says Scott Moore, a senior manager for the American Institute of CPAs. [read post]
27 Feb 2019, 9:00 pm
According to Automotive News, there are now more than four million Uber and Lyft drivers nationwide, and late last year Business Insider reported that the introduction of ridesharing services in various cities has corresponded to a two to three-percent increase in fatal vehicle collisions. [read post]
26 Jul 2021, 1:35 pm
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
4 Apr 2018, 3:19 am
On 3 April 2018, the Global Financial Markets Association (GFMA) published A Framework for the Regulatory Use of Penetration Testing in the Financial Services Industry. [read post]
7 Sep 2022, 8:59 am
On 7 September 2022, the Financial Ombudsman Service (FOS) published their quarterly complaints data for Q1 2022/23. [read post]
18 Nov 2019, 9:15 am
On 15 November 2019, the European Commission (Commission) published a keynote speech given by its Vice-President and European Commissioner for Financial Stability, Financial Services and Capital Markets Union, Valdis Dombrovskis, on the priorities of the new Commission for sustainability and green finance. [read post]
9 May 2024, 1:39 am
The European Commission (Commission) has published a letter from Mairead McGuinness (Commissioner for Financial Services, Financial Stability and Capital Markets Union) to Verena Ross (Chair of the European Securities and Markets Authority) concerning the Distributed Ledger Technology (DLT) Pilot Regime. [read post]
1 Nov 2006, 6:44 am
RiskMetrics Group, the leading financial risk management firm announced it will acquire Institutional Shareholder Services, Inc. [read post]
13 Mar 2020, 5:21 am
We recently completed our global anti-money laundering (AML) and sanctions compliance survey that involved discussions with senior financial services executives. [read post]
14 Dec 2011, 7:47 am
Opponents of a bill that would shift the oversight of investment advisors from the Securities and Exchange Commission (SEC) to another entity such as the Financial Industry Regulatory Authority (FINRA) are gratified that the introduction of the bill has been delayed for several months, according to an aide to House Financial Services Committee Chairman Spencer Bachus, R-Ala. [read post]
7 Feb 2007, 6:41 am
Under the proposed 25-year deal, the annual package would include $300,000 for the cost of local emergency response services. [read post]
31 Aug 2020, 9:30 am
The 47-page complaint contains multiple allegations about the ways Yodlee is “seamlessly integrated” into a host company’s website or app to allow Yodlee to collect and aggregate financial data from consumers using various fintech applications or digital banking services. [read post]
20 Dec 2018, 10:33 am
Financial Industry Regulatory Authority (FINRA) also imposed fines over the same purported anti-money laundering (AML) deficiencies—a $4.5M fine for UBS Financial Services and a $500K fine for UBS Securities, LLC. [read post]
3 Jan 2019, 5:54 am
Inc Flores, Daniel Woodbury Financial Services, Inc Princor Financial Services Corp Giraldo, Jose Merrill Lynch, Pierce, Fenner & Smith Inc David Lerner Assoc, Inc Heitz, Donald LPL Financial LLC First Command Financial Planning, Inc Jenkins, Elisabeth LPL Financial LLC ESL Investment Services, LLC Krize, Joshua Wells Fargo… [read post]
23 Oct 2009, 2:05 am
The House Financial Services Committee passed amended H.R. 3126 on Thursday, October 22, 2009. [read post]
15 Aug 2011, 7:32 am
Similarly, some IFRS 7 disclosures are very significant and relevant for financial services firms and less relevant for companies that do not hold complex financial instruments. [read post]
10 Dec 2010, 11:16 am
Separately, the Financial Services Authority is currently revising its remuneration code and provisions will be in place by January 1, 2011 ensuring that bonuses for material risk-takers are deferred over a number of years and are linked to the performance of the employee and their firm. [read post]
