Posts tagged with: "financial+services"
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20 Mar 2010, 10:55 am
Guay (right), Is There a Case for Regulating Executive Pay in the Financial Services Industry? [read post]
29 May 2012, 3:23 am
“All banks, building societies and credit unions will have to ‘prominently display’ notices explaining what compensation arrangements apply to customer deposits, banking regulator the Financial Services Authority (FSA) has announced.” Full story OUT-LAW.com, 29th May 2012 Source: www.out-law.com [read post]
13 Jan 2014, 12:05 am
Saturday: NY Times: Charting the Decline in Service at the IRS Philosophical, Financial, and Administrative Issues in Faculty Summer Grants Research Guide to Federal Indian Tax Law The IRS Scandal, Day 247 Sunday: Self-Interest and Sinecure: Why Law School Can’t be “Fixed” From Within Random Acts of Academic Kindness Top... [read post]
22 Jan 2010, 1:41 am
“The Financial Services Authority (FSA) has criticised the UK’s insurance and investment industry for failing to safeguard client money and announced that it is investigating two businesses and has frozen the assets of a third over the issue. [read post]
14 Mar 2012, 3:28 am
“A senior salesman at Credit Suisse has been fined £210,000 by the Financial Services Authority for playing a guessing game with clients to enable them to identify private information about a forthcoming bond issue.” Full story The Guardian, 13th March 2012 Source: www.guardian.co.uk [read post]
16 Aug 2023, 10:00 pm
Federal agencies such as the Consumer Financial Protection Bureau (CFPB) and Federal Trade Commission (FTC) have increased their scrutiny of auto loan servicing activities, particularly regarding auto dealers who engage in unfair, deceptive, or abusive acts or practices (UDAAPs). [read post]
2 Oct 2023, 8:24 pm
Community Financial Services Association, the case testing whether CFPB's funding mechanism violates the Appropriations Clause. [read post]
27 Mar 2007, 6:36 am
Bertelsmann Reaches Deal With EMI Over Napster Bertelsmann, the German media giant that provided financial backing to Napster when it was an unauthorized file-sharing service, has agreed to settle with the last of the major record companies that had sued it for copyright infringement. [read post]
18 Jun 2024, 12:34 pm
The Consumer Financial Protection Bureau (CFPB), recently issued a Request for Information (RFI) related to fees charged by providers of mortgages and related settlement services. [read post]
24 Jul 2009, 1:32 am
“Bank bosses who allow their firms to devise schemes to help customers avoid paying tax could face sanctions from the Financial Services Authority. [read post]
20 Apr 2010, 1:48 am
“The Financial Services Authority finished a frenetic week of punishing wrongdoing yesterday when it fined two former analysts a combined £276,000 and banned them for market abuse. [read post]
10 Sep 2007, 4:14 am
On Wednesday, the Senate Appropriations Subcommittee on Financial Services and General Government will hold a hearing on "Enhancing the Safety of Our Toys: Lead Paint, the Consumer Product Safety Commission, and Toy Safety Standards. [read post]
12 Feb 2023, 10:00 pm
The Financial Services Regulatory Authority (FSRA) of the Abu Dhabi Global Market (ADGM) issued a consultation paper on December 12, 2022, in connection with its proposed introduction of a specific regulatory framework, the “Private Credit Fund Framework,” that would enable ADGM funds and their fund managers to originate and invest in private credit. [read post]
4 Jun 2010, 1:28 am
“An accountant and two lawyers accused of insider dealing walked free from court today, marking the first time the Financial Services Authority (FSA) has lost such a prosecution. [read post]
15 Jul 2010, 2:14 pm
Three months after the SEC first filed securities fraud charges against Goldman Sachs, the financial services giant has reached an agreement with the regulator to pay $300 million in fines and another $250 million in restitution. [read post]
16 Apr 2009, 12:30 pm
NASAA will host its annual Public Policy Conference on April 28 in Washington, D.C. to discuss the challenges facing the current financial services regulatory structure and outline policy proposals to strengthen regulatory safeguards for Main Street investors. [read post]
27 Jul 2020, 10:00 pm
The UK Financial Conduct Authority (FCA) announced on July 8 that the guidelines issued by the European Insurance and Occupational Pension Authority (EIOPA) on outsourcing to cloud service providers are not applicable to regulated activities (in this instance, insurance and reinsurance undertakings) within the UK jurisdiction. [read post]
23 Feb 2015, 2:54 pm
We are pleased to share with everyone Josh Horn’s excellent guidance on RIA conflicts of interest, recently, published in the Practical Compliance and Risk Management for the Securities Industry, a professional journal published by Wolters Kluwer Financial Services, Inc. [read post]
9 Mar 2009, 5:07 am
The firm said that it will seek to invest in growth companies in a variety of sectors in the region, including energy, financial services and infrastructure. [read post]
21 May 2010, 1:39 am
“A former stockbroker fined a record £2.8 million for market abuse yesterday described the penalty as ‘absurd’ and said that the Financial Services Authority was using him so that it could look tough on economic crime. [read post]
