Posts tagged with: "financial+services"
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31 Dec 2018, 7:50 am
According to BrokerCheck records financial advisor Michael Heath (Heath), currently employed by Infinity Financial Services (Infinity Financial) has been subject to one regulatory action, two employment terminations for cause, and one civil lien during his career. [read post]
16 Feb 2012, 12:58 pm
The House Financial Services Committee unanimously approved bi-partisan legislation fixing an omission in the Dodd-Frank Act that opens the door for third parties to obtain privileged information provided by financial institutions to the Consumer Financial Protection Bureau. [read post]
3 Sep 2015, 8:35 am
A FINRA arbitration panel ordered UBS Financial Services Incorporated of Puerto Rico and UBS Financial Services Inc. [read post]
27 May 2015, 12:51 pm
The groups are the American Bankers Association, American Financial Services Association, Consumer Data Industry Association, Financial Services Roundtable, and U.S. [read post]
31 Mar 2008, 8:01 am
Habitual readers may be interested in knowing that I will soon be joining the ranks of Newstex, a blog syndication service that aggregates content and sells it to legal information services such as LexisNexis, EBSCO, CanWest MediaWorks, Thomson Financial, and Thomson Business Intelligence.I am quite chuffed by their invitation for many reasons. [read post]
16 Jun 2011, 2:44 pm
For the former owner of First Premium Financial Services in Florida, prison time for tax fraud has recently become a reality. [read post]
31 Mar 2008, 9:05 am
The Bush Administration's Blueprint for Modernized Financial Regulatory Structure, released today, includes a proposal to consolidate consumer protection into a single federal agency. [read post]
16 May 2017, 5:50 am
Among other things the communiqué states: “In light of the increasing digitalisation of financial services and the evolving cyber threats landscape, it is important to pursue effective approaches for assessment of cyber security at the financial firm and sector level as well. [read post]
5 Feb 2018, 11:41 am
The UK Financial Conduct Authority has fined One Call Insurance Services Ltd and its chief executive £1.15 million for failing to protect its clients’ money and to hold it in trust instead of using it to cover its own financial needs. [read post]
18 Oct 2018, 9:42 am
The US government announced Tuesday that it reached a $480 million agreement with financial services group Nomura Holdings to resolve federal civil claims that Nomura misled investors in connection with the marketing, sale and issuance of residential mortgage-backed securities from 2006 to 2007 that contributed to the 2008 financial crisis. [read post]
14 Aug 2024, 6:30 am
Biodiversity collapse jeopardizes the goods and services humans obtain from all ecosystems, with potentially far-reaching economic implications. [read post]
14 Aug 2024, 6:30 am
Biodiversity collapse jeopardizes the goods and services humans obtain from all ecosystems, with potentially far-reaching economic implications. [read post]
16 Mar 2023, 6:00 am
” The attorney-led contract analytics and lifecycle management (CALM) practice at Cimplifi offers digital solutions to transform complex contract and document portfolios across a diverse range of industries including procurement, financial services, healthcare and life sciences, manufacturing, technology, real estate, and insurance. [read post]
3 Oct 2020, 4:00 am
Auditors reviewed IEPs for 28 students who received services in 2018-19. [read post]
3 Oct 2020, 4:00 am
Auditors reviewed IEPs for 28 students who received services in 2018-19. [read post]
1 Feb 2017, 6:25 am
“Covered financial services regulator” would include the officers and employees of a covered financial services agency who hold supervisory positions at the GS-15 level of the General Schedule plus other similar positions. [read post]
12 Dec 2011, 9:00 am
Beans, editor of the RMA Journal, and risk management expert writes: Financial services leaders addressed two questions during an RMA chapter panel discussion this spring: What do you mean by success at your enterprise and how does risk management contribute to that success? [read post]
8 Dec 2011, 7:32 am
The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2011 The Income Tax (Indexation) Order 2011 The Local Authorities (Contracting Out of Community Infrastructure Levy Functions) Order 2011 The Local Authorities (Referendums)(Petitions)(England) Regulations 2011 The Estates of Deceased Persons (Forfeiture Rule and Law of Succession) Act 2011 (Commencement) Order 2011 The Competition Act 1998 (Public Policy Exclusion) (Revocation) Order 2011 Source:… [read post]
24 Jan 2012, 1:58 am
The Syria (European Union Financial Sanctions) Regulations 2012 The Uplands Transitional Payment Regulations 2012 The Public Health Wales National Health Service Trust (Originating Capital) (Wales) Order 2011 The Rail Vehicle Accessibility (Non-Interoperable Rail System) (London Underground Circle, District and Hammersmith & City Lines S7 Vehicles) Exemption Order 2012 The Immigration (Passenger Transit Visa) (Amendment) Order 2012 Source: www.legislation.gov.uk [read post]
3 Aug 2009, 4:18 pm
ASIC has released a report outlining recent decisions on applications for relief from the corporate finance, financial services and managed investment provisions of the Corporations Act 2001 between 1 December 2008 and 31 March 2009. [read post]
