Posts tagged with: "financial+services"
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13 Dec 2011, 1:03 am
This will be one of three official on-site Financial Institutions/Consumer Financial Services events at the AALS Annual meeting. [read post]
26 Jan 2022, 9:23 am
The Framework sets out a structure for its members (the FOS, Financial Conduct Authority, Financial Services Compensation Scheme, the Pensions Regulator and the Money and Pensions Service) to collaborate on matters of common interest to achieve a better outcome for consumers, small businesses and the financial services industry, where compatible with members’ independent statutory roles and functions. [read post]
24 Mar 2020, 10:56 am
Firms should also identify any critical outsource partners who are essential to continued provision of services, even where these are not financial services firms. [read post]
30 Mar 2023, 10:12 am
The draft statutory instrument (SI) amends the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 (RAO), which specifies types of activities and investments for the purposes of the Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (MiFI Regulations). [read post]
2 Nov 2008, 6:34 pm
As a result of the instability in the financial markets generally and at financial institutions in particular, the financial services industry has experienced significant turnover in 2008. [read post]
17 Jun 2019, 1:39 pm
Code Chapter 48.110 governing service contracts and protection products guarantees which permit new items to be covered under service contracts and establishes new minimum net worth and financial responsibility requirements for service contract providers. [read post]
21 Jan 2015, 2:00 pm
Mishkin The House Financial Services Committee voted unanimously today to approve the Committee’s oversight plan for the 114th Congress. [read post]
12 Sep 2012, 3:57 pm
The full House Financial Services Committee has approved bi-partisan legislation clarifying that Section 975 of the Dodd-Frank Act requiring municipal advisors to register with the SEC does not include dealers, banks, investment advisers and members of municipal governing bodies, and others who were either already regulated before the enactment of Dodd-Frank or are appointed, volunteer public servants. [read post]
15 Nov 2021, 8:32 am
The Regulatory Framework for Investment Tokens covers all parties interested in market, issue, trade, or hold Investment Tokens in or from the DIFC and authorized firms wishing to undertake financial services relating to Investment Tokens. [read post]
30 Nov 2022, 10:00 pm
On October 11, the Bank of England (BoE), the Prudential Regulation Authority (PRA), and the UK Financial Conduct Authority (FCA) (together, the Supervisory Authorities) published a discussion paper (DP5/22) on the safe and responsible adoption of artificial intelligence (AI) in financial services (Discussion Paper). [read post]
30 Nov 2022, 10:00 pm
On October 11, the Bank of England (BoE), the Prudential Regulation Authority (PRA), and the UK Financial Conduct Authority (FCA) (together, the Supervisory Authorities) published a discussion paper (DP5/22) on the safe and responsible adoption of artificial intelligence (AI) in financial services (Discussion Paper). [read post]
30 Nov 2022, 10:00 pm
On October 11, the Bank of England (BoE), the Prudential Regulation Authority (PRA), and the UK Financial Conduct Authority (FCA) (together, the Supervisory Authorities) published a discussion paper (DP5/22) on the safe and responsible adoption of artificial intelligence (AI) in financial services (Discussion Paper). [read post]
30 Nov 2022, 10:00 pm
On October 11, the Bank of England (BoE), the Prudential Regulation Authority (PRA), and the UK Financial Conduct Authority (FCA) (together, the Supervisory Authorities) published a discussion paper (DP5/22) on the safe and responsible adoption of artificial intelligence (AI) in financial services (Discussion Paper). [read post]
30 Nov 2022, 10:00 pm
On October 11, the Bank of England (BoE), the Prudential Regulation Authority (PRA), and the UK Financial Conduct Authority (FCA) (together, the Supervisory Authorities) published a discussion paper (DP5/22) on the safe and responsible adoption of artificial intelligence (AI) in financial services (Discussion Paper). [read post]
28 Feb 2019, 8:18 am
Jonathan Murray, Brian Doak, Dale Horn, Kyle Harris and Bart Gibson, advisers in the Baltimore and Hunt Valley branches of UBS Financial Services Inc., were named to the Forbes 2019 Best-In-State Wealth Advisors list. [read post]
30 Nov 2022, 10:00 pm
On October 11, the Bank of England (BoE), the Prudential Regulation Authority (PRA), and the UK Financial Conduct Authority (FCA) (together, the Supervisory Authorities) published a discussion paper (DP5/22) on the safe and responsible adoption of artificial intelligence (AI) in financial services (Discussion Paper). [read post]
28 Feb 2019, 3:12 pm
One of the first actions taken by Democratic Congresswoman Maxine Waters upon becoming Chairwoman of the House Financial Services Committee was to announce the creation of a new Subcommittee on Diversity and Inclusion (D&I). [read post]
25 Jun 2008, 8:58 pm
In a recent speech entitled, "Frequently-Asked Questions About SEC Examinations", Lori Richards, Director of the SEC's Office of Compliance Inspections and Examinations, shared helpful information for financial services firms. [read post]
14 Dec 2016, 7:00 am
Dodd-Frank Act Trump will likely look to a bill authored by House Financial Services Chairman Hensarling (referred to as the “Financial Choice Act”) as a guide to dismantling, replacing or amending what Congressional Republicans consider to be some of the more onerous provisions of the Dodd-Frank Act. [read post]
5 Jul 2022, 4:43 am
Whilst the growing emphasis on ESG presents opportunities for financial services providers, it also brings with it a number of regulatory risks, which need to be properly managed with a view to avoiding future investigations and enforcement. [read post]
