Posts tagged with: "financial+services"
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12 Oct 2021, 11:59 am
Continue Reading › The post Northstar Financial Services (Bermuda) Investor Pursues $500K Claim Against Raymond James Financial Services appeared first on Investor Lawyers Blog. [read post]
7 Dec 2020, 9:56 am
Scott Humphrey is presenting “Trade Secrets in the Financial Services Industry,” a webinar for LawPracticeCLE. [read post]
14 Feb 2022, 10:00 pm
Krotoski and Omar Shah authored an article for Thomson Reuters Regulatory Intelligence reviewing financial services enforcement actions and looking ahead at trends in 2022. [read post]
14 Feb 2022, 10:00 pm
Krotoski and Omar Shah authored an article for Thomson Reuters Regulatory Intelligence reviewing financial services enforcement actions and looking ahead at trends in 2022. [read post]
14 Feb 2022, 10:00 pm
Krotoski and Omar Shah authored an article for Thomson Reuters Regulatory Intelligence reviewing financial services enforcement actions and looking ahead at trends in 2022. [read post]
26 May 2023, 8:12 am
In this podcast Jonathan Herbst, Matthew Gregory and Simon Lovegrove discuss the pros and cons of the Memorandum of Understanding establishing a framework for financial services regulatory cooperation between the EU and the UK. [read post]
14 Feb 2022, 10:00 pm
Krotoski and Omar Shah authored an article for Thomson Reuters Regulatory Intelligence reviewing financial services enforcement actions and looking ahead at trends in 2022. [read post]
14 Feb 2022, 10:00 pm
Krotoski and Omar Shah authored an article for Thomson Reuters Regulatory Intelligence reviewing financial services enforcement actions and looking ahead at trends in 2022. [read post]
14 Feb 2022, 10:00 pm
Krotoski and Omar Shah authored an article for Thomson Reuters Regulatory Intelligence reviewing financial services enforcement actions and looking ahead at trends in 2022. [read post]
20 Nov 2024, 6:00 am
Hunton insurance partner Geoffrey Fehling has been appointed Chair of the Insurance Law Committee of the Boston Bar Association (BBA) Financial Services Section.Continue Reading › [read post]
29 Jan 2018, 2:34 pm
Although less mentioned, the Protocol was also clearly designed to reduce the amount of litigation in the financial services industry. [read post]
1 Jan 2010, 9:00 pm
International: Korean Financial Supervisory Service Requests Removal; From: Korean Financial Supervisory Service (Korea) To: Google, Inc. [read post]
14 Nov 2024, 9:39 pm
Additionally a financial institution must subject third-party service providers and contractors who are given access to its IT systems and information assets, to the same monitoring and access restrictions as the financial institution’s employees.Conclusion While both Joint Standard 1 of 2023 and Joint Standard 2 of 2024 aim to enhance the IT frameworks of financial institutions, they do so from different angles. [read post]
30 Apr 2020, 8:48 am
The Group was ranked in the highest tier nationally in each of the two categories, Compliance and Litigation, used by Chambers USA for Financial Services Regulation. [read post]
11 Jan 2012, 6:36 am
Nondepository providers of consumer financial products and services are subject to federal supervision for the first time under the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
23 Oct 2024, 8:16 am
In broad terms, in respect of the financial services community, it will mean that regulated firms of a certain size could be at risk in the event that fraud is committed for their benefit or the benefit of their clients by the firm’s “associated persons” (which may include employees, subsidiaries and other third parties). [read post]
26 Oct 2022, 1:52 am
On 25 October 2022, the FCA published Discussion paper DP22/5 on the potential competition impacts of Big Tech entry and expansion in retail financial services. [read post]
28 Oct 2021, 11:48 am
Continue Reading › The post Caribbean Investor Pursues Six-Figure Northstar Financial Services (Bermuda) Case Against Raymond James Financial Services appeared first on Investor Lawyers Blog. [read post]
22 Sep 2015, 5:59 am
The status quo, however, in which the Bureau expects financial institutions to try to make difficult and risky judgment calls in the face of seemingly contradictory regulatory commandments, is not only unfair to financial institutions, but unfair to LEP consumers, whose access to financial services is being diminished because of the fear of regulatory enforcement. [read post]
14 Jul 2017, 2:31 pm
The New York Department of Financial Services now allows agents and brokers whose licenses have lapsed/expired within the previous two years to submit an online application to be re-licensed. [read post]
