Posts tagged with: "financial+services"
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3 Aug 2022, 3:08 pm
Once enrolled, First American allegedly withdrew funds from the merchants’ accounts without their consent and made it difficult and costly to cancel their service. [read post]
6 Mar 2012, 9:30 am
Aon Risk Services Northeast sued Michael Cusack, a former Senior Vice President and Managing Director, and his new employer, Alliant Insurance Services, alleging that they had orchestrated a massive raid on the clients and employees of Aon's Construction Services Group. [read post]
24 Feb 2010, 9:00 am
So you write a blog post about the fiduciary duty of financial service providers to their clients. [read post]
29 Sep 2017, 4:46 am
The PSD2 also covers new types of payment services, account information services and payment initiation services. [read post]
25 Jul 2017, 7:12 am
The consultation paper notes that the first action of the Consumer Financial Services Action Plan is to amend the Regulation on cross-border payments to reduce charges for cross-border transactions in all member states. [read post]
30 Jul 2018, 6:34 am
Just off the press, we have: FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry (FINRA Special Notice July 30, 2018 / Comment Period Expires: October 12, 2018)http://www.finra.org/sites/default/files/Special-Notice-073018.pdf As set forth in the "Summary" of the Special Notice [Ed: footnotes omitted]:New financial technology innovations, commonly known as “fintech,” can offer benefits for investors and the… [read post]
17 May 2012, 2:15 pm
Nelson is a senior associate in the Financial Services Regulatory Group at Reed Smith LLP, resident in the Princeton and New York offices. [read post]
17 Jan 2024, 8:29 am
Coaching services provide personalized financial advice and support. [read post]
1 Jun 2012, 5:47 pm
Neither a financial activity tax, nor a bank levy, nor a levy on bonuses, nor exposing financial services to VAT would deliver on all these goals, he remarked. [read post]
15 Feb 2016, 8:49 am
Within San Francisco the Financial District, at minimum, needs to be covered adequately. [read post]
24 Jan 2024, 1:37 pm
Riley Financial, headquartered in Los Angeles, California, is a financial services company recognized for its investment banking services for small-cap companies and expertise in retail liquidation. [read post]
15 Mar 2010, 10:33 am
Michigan's Fourth Transition Order Acknowledges SEC Form D Built-In Consent to ServiceThe fourth transition order released by the Michigan Office of Financial and Insurance Regulation following adoption of the 2009 Michigan Uniform Securities Act no longer requires a separate Consent to Service of Process for Form D issuers; the designated Consent to Service of Process built into new Form D meets the service of process requirement when new Form D is filed in… [read post]
31 Mar 2009, 2:21 pm
These awards send a strong message to the financial services industry that violations of the securities laws and rules will not be tolerated. [read post]
12 Apr 2015, 1:46 pm
In recent years, Invizeon has acquired several businesses including Seafaring Security Services, Slipstream Resources, and Gaga Africa. [read post]
21 Jul 2022, 6:00 am
PFJ Ventures offers similar services as Thrivent, such as strategy & governance, financial oversight and finance services. [read post]
20 Jan 2023, 7:00 am
At present, discussions among the Member States on the design and application of a digital euro are ongoing. 13 June 2023 – the Commission will file a legislative proposal for a Regulation on environmental, social and governance ratings. 28 June 2023 – the Commission intends to publish an initiative on data access in financial services. [read post]
23 Jun 2006, 2:46 am
It also seems that American laws restricting government access to private financial records do not apply because SWIFT is considered a messenger service and not a bank or financial institution.This case links to the Bush administration's other high tech snooping operation that came to light some six weeks ago, namely the NSA building up a giant database of phone calls in America (see the blog entry here). [read post]
23 Jul 2014, 5:12 am
Anderson had any financial problems. [read post]
22 Jul 2010, 6:31 am
On 9 July 2010, the Financial Services Authority (FSA) fined David Head £10,500 for putting customers at risk of receiving unsuitable advice on Payment Protection Insurance (PPI). [read post]
30 Jun 2016, 1:53 pm
Investment Services, LLC from an office in Penang, Malaysia, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
