Posts tagged with: "financial+services"
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23 Nov 2009, 11:52 am
The Parliamentary Joint Committee on Corporations and Financial Services (chaired by Bernie Ripoll MP) has released its report into the issues associated with recent financial product and services provider collapses, such as Storm Financial, Opes Prime and other similar collapses, with particular reference to: the role of financial advisers; the general regulatory environment for these products and services; the role played by… [read post]
6 Oct 2023, 6:59 am
On 5 October 2023, the FCA published a speech by Jessica Rusu (FCA Chief Data, Information and Intelligence Officer) entitled Flipping the coin in financial services. [read post]
16 Aug 2022, 10:06 am
In our latest podcast on the Financial Services and Markets Bill, Matthew Gregory and Hannah Meakin take a closer look at the Bill’s provisions on financial promotion (Apple podcasts / Spotify). [read post]
1 Apr 2021, 9:48 am
CovingtonAlsina, an Annapolis-based financial planning firm, announced the acquisition of Athena Financial Services of Hughesville. [read post]
10 Jul 2024, 8:41 am
The White Law Group reviews the regulatory history of UBS Financial Services. [read post]
30 Nov 2015, 9:19 am
For example, the report notes the costs involved in providing mobile financial services – both to financial services providers and to consumers. [read post]
7 Sep 2023, 1:51 am
The Financial Services and Markets Act 2023 introduces a regulatory ‘gateway’ for the approval of financial promotions. [read post]
22 Mar 2010, 8:23 am
Scott McClesky has an op-ed in the Times urging the financial regulatory agencies to devise a foreign service for financial regulators. [read post]
20 Dec 2023, 12:25 am
The Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (FPO) provides exemptions from the restriction on communicating financial promotions. [read post]
30 Mar 2016, 4:46 pm
” Consumers and Mobile Financial Services 2016 PDF March 30, 2016. [read post]
4 Apr 2015, 4:02 pm
Financial Analysis of United States Postal Service Financial Results and 10 – K Statement Fiscal Year 2014, April 1, 2015 – “In FY 2014, the Postal Service recorded its eighth consecutive financial loss, bringing the total net deficit since FY 2007 to $51.7 billion. [read post]
5 Oct 2022, 7:33 am
Dear BLPB Readers: "The AALS Section of Financial Institutions & Consumer Financial Services will host the first AALS FinReg Conference on November 4, 2022, in-person, at the Antonin Scalia Law School, in Arlington, Virginia. [read post]
2 Dec 2009, 6:41 pm
Today, the House Financial Services Committee approved legislation that, according to its press release, will put an end to “too big to fail†financial firms, help prevent the failure of large institutions from becoming a systemwide crisis, and ensure that... [read post]
26 Jun 2021, 9:24 am
The AALS Section on Financial Institutions and Consumer Financial Services invites submissions of no more than five pages for its session at the 2022 annual meeting of the AALS. [read post]
3 Dec 2009, 2:40 pm
Yesterday the House Financial Services Committee completed its work on a comprehensive set of reforms intended to modernize America’s financial regulations. [read post]
25 Oct 2010, 8:45 am
ABSTRACT: This paper examines the application of Sherman Section 2 to systemic financial service institutions and concludes that a systemic financial... [read post]
25 Oct 2010, 8:45 am
ABSTRACT: This paper examines the application of Sherman Section 2 to systemic financial service institutions and concludes that a systemic financial... [read post]
5 Nov 2009, 11:10 am
House Financial Services Committee Passes Legislation Reforming SEC, PCAOB and SIPC OversightThe House Financial Services Committee has passed legislation reforming the SEC to strengthen its powers, better protect investors, and efficiently and effectively regulate the securities markets. [read post]
8 Mar 2024, 2:51 am
Background The Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (FPO) contains exemptions from the restriction on communicating financial promotions, including exemptions that enable financial promotions for unlisted companies to be made to high-net-worth individuals and self-certified sophisticated investors. [read post]
6 Feb 2020, 12:59 pm
Transforming Paradigms – A Global AI in Financial Services Survey: “This report presents the findings of a global survey on AI in Financial Services jointly conducted by the Cambridge Centre for Alternative Finance (CCAF) at the University of Cambridge Judge Business School and the World Economic Forum in Q2-Q3 2019. [read post]
