Posts tagged with: "financial+services"
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27 Jul 2023, 2:16 pm
On 27 July 2023, the Financial Stability Board (FSB) published a statement following survey feedback on the continuity of access to financial market infrastructure (FMI) services for firms in resolution. [read post]
7 Nov 2007, 10:34 am
Markets in Financial Instruments Directive to Take EffectA sweeping reform of financial services regulation in the European Union is represented by MiFID, the Markets in Financial Instruments Directive, 2004/39/EC, which takes effect on November 1, 2007. [read post]
12 Dec 2022, 9:33 am
On 12 December 2022, the FCA published a firm wide review on understanding approaches to D&I in financial services. [read post]
14 May 2018, 8:54 am
We published an article with Thomson Reuters Practical Law summarizing key employment issues for financial services employers, highlighting those rules applicable to registered representatives regulated by Financial Industry Regulatory Authority (FINRA). [read post]
14 May 2018, 8:54 am
We published an article with Thomson Reuters Practical Law summarizing key employment issues for financial services employers, highlighting those rules applicable to registered representatives regulated by Financial Industry Regulatory Authority (FINRA). [read post]
23 Jul 2020, 8:52 am
On July 30, 2020, the House Financial Services Committee will hold a hearing entitled, “Protecting Consumers During the Pandemic? [read post]
8 Sep 2012, 7:44 am
The House Capital Markets Subcommittee approved the bill in August by a The vote was 21-10 vote.The next step in the process should be mark up and approval by the full Financial Services Committee. [read post]
31 Jan 2025, 1:19 am
On 30 January 2025, the Financial Services and Markets Act 2023 (Digital Securities Sandbox) (Amendment) Regulations 2025 were laid before Parliament and published on legislation.gov.uk, along with an explanatory memorandum. [read post]
11 Nov 2020, 7:01 am
Lawrence Goldstein was a registered financial advisor with McNally Financial Services Corporation in Sparks, Nevada, from April 2010 until February 28, 2020. [read post]
3 Apr 2013, 11:37 am
KaplinskyThe 18th Annual Consumer Financial Services Institute, sponsored by the Practising Law Institute, will take place on April 8-9, in New York City (and by live webcast and groupcast in Philadelphia, Pittsburgh, and Mechanicsville, Pennsylvania), and on May 2-3, in Chicago. [read post]
12 Oct 2020, 12:38 pm
Ballard Spahr’s Consumer Financial Services Group is pleased to announce that it will hold a special live CLE webcast series, “Consumer Financial Services in Turbulent Times,” through the end of this year. [read post]
11 Sep 2018, 11:29 am
A new bill introduced by House Financial Services subcommittee Chairman Rep. [read post]
14 Dec 2015, 7:22 am
Mishkin The House Financial Service Committee’s Subcommittee on Oversight and Investigations has scheduled a hearing for December 16, 2015 on “Examining the Consumer Financial Protection Bureau’s Mass Data Collection Program. [read post]
22 Apr 2025, 6:21 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Taubman (Taubman), previously associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. [read post]
25 Aug 2023, 8:43 am
On 25 August 2023, HM Treasury published Statutory Instruments (SI) 2023 No.790 Financial Services and Markets the Electronic Money, Payment Card Interchange Fee and Payment Services (Amendment) Regulations 2023. [read post]
21 Oct 2019, 12:11 pm
To register and view a complete description of PBI’s Consumer Financial Services and Banking Law Update, click here. [read post]
23 Dec 2014, 7:44 pm
The Principles for financial market infrastructures, published by the then Committee on Payment and Settlement Systems (CPSS) and IOSCO in April 2012, include an annex on the oversight expectations applicable to critical service providers (Annex F). [read post]
7 Apr 2021, 10:00 pm
We recently noted that the UK Financial Conduct Authority (FCA) published the outcome of a review into the factors that determine failure or success when implementing technology change in the financial services sector and discussed the importance of this review for firms seeking to improve the operational resiliency of their technology change management process. [read post]
7 Apr 2021, 10:00 pm
We recently noted that the UK Financial Conduct Authority (FCA) published the outcome of a review into the factors that determine failure or success when implementing technology change in the financial services sector and discussed the importance of this review for firms seeking to improve the operational resiliency of their technology change management process. [read post]
7 Apr 2021, 10:00 pm
We recently noted that the UK Financial Conduct Authority (FCA) published the outcome of a review into the factors that determine failure or success when implementing technology change in the financial services sector and discussed the importance of this review for firms seeking to improve the operational resiliency of their technology change management process. [read post]
