Posts tagged with: "financial+services"
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13 Dec 2018, 8:21 am
As an eventful 2018 comes to a close, we look ahead to 2019 and our “Top 10 List” of key issues U.S. financial institutions, non-banks providing financial services, and financial technology (fintech) entities should plan for and watch throughout the upcoming year. [read post]
10 Jul 2017, 9:23 am
On July 12, 2017, a subcommittee of the House Financial Services Committee will hold a hearing entitled “Examining Legislative Proposals to Provide Targeted Regulatory Relief to Community Financial Institutions. [read post]
24 May 2025, 6:20 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anna Marie Lovell (Lovell), currently associated with Infinity Financial Services, has at least one disclosable event. [read post]
14 Mar 2025, 6:21 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Baldwin (Baldwin), previously associated with Brokers International Financial Services, Llc., has at least one disclosable event. [read post]
13 Jan 2025, 11:00 pm
With key coverage, this guide provides links to international guides addressing essential aspects of financial services M&A. [read post]
21 May 2023, 10:00 pm
US regulators have increased their focus on cybersecurity issues impacting financial services companies, with a host of guidance documents recently released by the US Securities and Exchange Commission (SEC), the three federal banking agencies—the Federal Reserve Board, the Federal Deposit Insurance Corporation, and the Office of the Comptroller of the Currency—and the US Department of Labor (DOL). [read post]
21 May 2023, 10:00 pm
US regulators have increased their focus on cybersecurity issues impacting financial services companies, with a host of guidance documents recently released by the US Securities and Exchange Commission (SEC), the three federal banking agencies—the Federal Reserve Board, the Federal Deposit Insurance Corporation, and the Office of the Comptroller of the Currency—and the US Department of Labor (DOL). [read post]
6 May 2016, 6:59 am
However, it will only impact arbitration agreements concerning covered consumer financial products or services entered into after its effective date. [read post]
21 May 2023, 10:00 pm
US regulators have increased their focus on cybersecurity issues impacting financial services companies, with a host of guidance documents recently released by the US Securities and Exchange Commission (SEC), the three federal banking agencies—the Federal Reserve Board, the Federal Deposit Insurance Corporation, and the Office of the Comptroller of the Currency—and the US Department of Labor (DOL). [read post]
21 May 2023, 10:00 pm
US regulators have increased their focus on cybersecurity issues impacting financial services companies, with a host of guidance documents recently released by the US Securities and Exchange Commission (SEC), the three federal banking agencies—the Federal Reserve Board, the Federal Deposit Insurance Corporation, and the Office of the Comptroller of the Currency—and the US Department of Labor (DOL). [read post]
17 Oct 2019, 7:52 am
Tomorrow, October 18, the House Financial Services Committee’s Task Force on Artificial Intelligence is scheduled to hold a hearing entitled “AI and the Evolution of Cloud Computing: Evaluating How Financial Data is Stored, Protected, and Maintained by Cloud Providers. [read post]
3 Feb 2023, 4:46 am
On 1 February 2023, HM Treasury issued its latest proposals for the UK’s financial services regime for cryptoassets. [read post]
21 May 2023, 10:00 pm
US regulators have increased their focus on cybersecurity issues impacting financial services companies, with a host of guidance documents recently released by the US Securities and Exchange Commission (SEC), the three federal banking agencies—the Federal Reserve Board, the Federal Deposit Insurance Corporation, and the Office of the Comptroller of the Currency—and the US Department of Labor (DOL). [read post]
7 Jun 2010, 11:56 am
The lengthy notice addresses several areas, including the general regulatory responsibilities of financial services firms which I will address in this article. [read post]
21 May 2023, 10:00 pm
US regulators have increased their focus on cybersecurity issues impacting financial services companies, with a host of guidance documents recently released by the US Securities and Exchange Commission (SEC), the three federal banking agencies—the Federal Reserve Board, the Federal Deposit Insurance Corporation, and the Office of the Comptroller of the Currency—and the US Department of Labor (DOL). [read post]
18 Nov 2024, 5:42 am
On 18 November 2024, the House of Lords (HoL) Financial Services Regulation Committee published a transcript of oral evidence given on 13 November 2024 by Financial Conduct Authority (FCA) chair Ashley Alder and chief executive Nikhil Rathi, regarding the FCA’s enforcement guidance consultation. [read post]
24 May 2021, 2:14 pm
This year, Chambers USA added Enforcement & Investigations as a new category for Financial Services Regulation: Consumer Finance. [read post]
10 Aug 2018, 7:04 am
HM Treasury intends to lay the first financial services onshoring SIs in the near future, the first providing a temporary permission regime and delegating authority to cure deficiencies to UK financial services regulators. [read post]
3 May 2012, 8:51 am
On Friday, May 4, Michael Bleier will be making a presentation at the Annual Meeting in Washington, DC of the Lawyers Council for the Financial Services Roundtable. [read post]
20 Mar 2025, 6:24 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Slone (Slone), currently associated with Mwa Financial Services Inc., has at least one disclosable event. [read post]
