Posts tagged with: "financial+services"
Results 8361 - 8380
of 83,658
Sorted by Relevance
|
Sort by Date
9 Jan 2013, 8:06 am
Community banks and credit unions are the darlings of Congress in the financial services industry. [read post]
22 Jan 2017, 8:49 am
House Committee on Financial Services Chairman Jeb Hensarling (R-TX-5) has indicated a desire to introduce a “2.0” version of the bill early in 2017 when the new Congress convenes. [read post]
7 Mar 2019, 10:23 am
” The new requirements are primarily based on the cybersecurity regulations issued by New York Department of Financial Services (“NYSDFS”), and the insurance data security model law issued by the National Association of Insurance Commissioners. [read post]
10 Mar 2021, 8:30 am
Lincoln, Nebraska Stockbroker Named In Multiple Six-Figure Options Overlay Claims A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded two claimants over $1M in their UBS Yield Enhancement Strategy (YES) claim against respondent UBS Financial Services (UBS). [read post]
10 May 2017, 3:27 pm
Sherman Greer, a registered representative from Locust, North Carolina, formerly with LPL Financial and Uvest Financial Services and others was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation into claims resulting from a discharge where he refused to respond to requests from his compliance department. [read post]
9 Aug 2022, 9:30 am
In this episode, David Harris, Co-Head of our Contentious Financial Services Group in London, discusses some recent developments in the sanctions landscape for regulated firms, including key points from the: Red Alert on Financial Sanctions Evasion, published by OFSI and the NCA last month; Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2022 and Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2022, which come into force at the end of this… [read post]
18 Nov 2009, 2:52 pm
According to sources, many independent broker-dealers such as American Portfolios Financial Services, National Securities Corp., Securities America, and Signature Financial Group, sold the notes. [read post]
24 Jan 2023, 7:19 am
On 23 January 2023, the European Securities and Markets Authority (ESMA) published a letter that it had sent to Mairead McGuinness, Commissioner in charge of Financial Stability, Financial Services and Capital Markets Union regarding the newly established market correction mechanism (MCM) that it is required to report on under Article 8 of Council Regulation 2022/2578. [read post]
25 Sep 2019, 9:25 am
On 24 September 2019, the European Securities and Markets Authority (ESMA) published a letter (dated 19 September 2019) from Steven Maijoor, ESMA Chair, to Olivier Guersent, European Commission Director General for Financial Stability, Financial Services and Capital Markets Union, on the first annual review required by Article 17 of Commission Delegated Regulation (EU) 2017/583 on transparency requirements for non-equity instruments (RTS 2). [read post]
12 Jul 2017, 8:57 am
It could be financial injury from a bank or other financial services company. [read post]
28 Aug 2007, 8:00 am
As part of its compliance outreach program, the Securities and Exchange Commission (SEC) has decided to publicize some of the deficiencies and weaknesses that it has uncovered during its examinations of financial services firms. [read post]
14 Aug 2007, 11:39 am
The plaintiff, a Portuguese bank, alleged that BDO botched its audit of a Miami financial services company, Bankest, by failing to detect Bankest executives' fraud. [read post]
11 Mar 2015, 7:32 pm
Construction worker advocates joined forces last week at the Legislative Office Building in Albany to support the Scaffold Law (Labor Law Section 240(1) ) and the proposed “Sunshine Bill” which would require liability insurance providers to file financial statements and claims data with the state’s superintendent of financial services. [read post]
31 Jul 2014, 1:32 pm
At the House Financial Services Committee hearing last week on “Operation Choke Point,” committee members voiced industry charges that FDIC examiners have been using the list to intimidate banks into terminating relationships with companies in the listed categories regardless of whether such companies were engaged in legitimate activities and operating lawfully. [read post]
7 Mar 2022, 1:37 pm
Joint Provisional Liquidators & Deloitte Updates Credit Holders and Policyholders On February 23, 2022, Rachelle Frisby, the Deloitte Financial Advisory head in Bermuda and the British Virgin Islands, sent a letter to creditors and policyholders updating them about the liquidation proceedings involving Northstar Financial Services (Bermuda) and Omnia, Ltd. [read post]
26 Jun 2012, 12:23 pm
Changes implemented by the Australian Payments Clearing Association (APCA) effective from 1 July 2012 will enable consumers to approach their new financial institution to commence a switch of their direct credits and debits from their old to their new financial institution through a ‘single signature’ (as recommended by the Final Report of the Fraser Review on Account Portability, entitled Banking services: cost-effective switching arrangements delivered in… [read post]
8 Dec 2021, 12:42 am
The review is not of the Financial Services Compensation Scheme as an organisation. [read post]
28 Apr 2008, 2:25 am
Congress Daily reported last Thursday that "more than 20 high-tech and financial services industry executives, as well as corporate patent counsels," met "with Sen. [read post]
15 Jul 2016, 2:31 pm
The investment fraud attorneys at Malecki Law are interested in hearing from investors who have complaints regarding Raymond James Financial Services broker Joseph Amalfitano of Malvern, PA. [read post]
7 Jun 2018, 8:54 am
On Wednesday, June 13, 2018, he is scheduled to appear before the House Financial Services Committee at a hearing entitled “Financial Industry Regulation: the Office of the Comptroller of the Currency. [read post]
