Posts tagged with: "financial+services"
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8 Apr 2024, 8:13 am
The update has made amendments to the sections on Counter-Party Credit Risk, Contract for Differences, Finfluencers, the Advertising Standards Agency, the Financial Services and Markets Act 2023 and Unregulated Collective Investment Schemes. [read post]
9 Sep 2012, 7:40 pm
The plaintiff, which filed suit in the Western District of Washington, alleges it owns a federal registration to its mark in connection with “investment advice, financial consultation, and financial planning. [read post]
24 Oct 2017, 5:35 am
The Financial Industry Regulatory Authority (FINRA) has ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC to pay more than $3.4 million in restitution to customers for alleged unsuitable recommendations of volatility-linked exchange-traded products (ETPs) and supervisory failures, according to InvestmentNews. [read post]
28 Mar 2022, 8:51 am
On 24 March 2022, there was published a letter from the European Banking Authority (EBA) to John Berrigan (Director General, Directorate-General for Financial Stability, Financial Services and Capital Markets Union) and others regarding the European Commission’s anti-money laundering / countering the financing of terrorism (AML/CFT) package and issues related to supervisory cooperation and selection criteria for direct supervision. [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]
1 Apr 2010, 8:34 am
McGee, the Chairman, President and CEO of Hartford Financial Services Group, Inc. which announced March 31, 2010 that it has REPAID its US government bailout of $3.4 billion it took in June 2009. [read post]
16 Jul 2012, 8:13 am
On July 9, the FSA issued a final notice, stating that it has imposed a fine of £160,000 (reduced to £30,000 due to his financial circumstances) on Jay Alan Rutland for engaging in the market abuse offence of improper disclosure under section 118(3) of the Financial Services and Markets Act 2000. [read post]
22 Jul 2014, 7:00 am
While he commended competition among financial services firms, he also said competition has to be guided by an element of fairness, and regulators need to protect the market. [read post]
15 Oct 2020, 6:33 am
Broker and the Firm Andrew Samuel Perri, the president of Pinnacle Wealth Management in Brighton, Michigan, and a former stockbroker has been named in a customer dispute, along with broker-dealer Berthel, Fischer, & Company Financial Services. [read post]
20 May 2016, 10:10 am
It’s no secret that the Consumer Financial Protection Bureau (CFPB) views arbitration agreements in contracts between financial services providers and consumers rather unfavorably. [read post]
10 May 2023, 8:56 am
On 10 May 2023, the European Securities and Markets Authority (ESMA) published a letter from its Chair, Verena Ross, to John Berrigan (Director-General, DG for Financial Stability, Financial Services and Capital Markets Union, European Commission) regarding the prioritisation of ESMA’s 2023 deliverables. [read post]
16 Nov 2020, 8:43 am
Chris Willis, Deputy Practice Leader of Ballard Spahr’s Consumer Financial Services Group, will participate as a panel member on the afternoon of the first day. [read post]
16 Sep 2010, 7:46 am
Left out of that statement: that increased service will actually be used by fewer people and the financial reserves will be attained partially by cuts in service to those who need it most. [read post]
24 Nov 2022, 9:54 am
Does it relate only to roles at the Treasury and financial service regulators or more broadly? [read post]
27 Mar 2012, 5:14 am
Last week, the CFPB launched a new interactive online tool it’s calling “Ask CFPB” that contains questions and answers intended to help consumers better understand financial products and services. [read post]
27 Oct 2009, 6:15 am
The Fed's supervision expertise make it "well suited" to regulate the biggest non-bank financial companies that weren't bank holding companies under its umbrella, he said in Oct. 1 remarks to the House Financial Services Committee. [read post]
5 Mar 2012, 2:54 pm
Becerril was employed by Veritrust Financial, LLC. [read post]
5 Mar 2012, 2:54 pm
Becerril was employed by Veritrust Financial, LLC. [read post]
23 Oct 2017, 4:23 am
In this Handbook Notice the FCA briefly describes that changes that have been made to the FCA Handbook by the following instruments: Payment Services Instrument 2017; Financial Services Compensation Scheme (Funding and Scope) Instrument 2017; Occupational Pension Scheme Firm (Conduct of Business and Organisational Requirements) Instruments 2017; Conduct of Business (Initial Public Offering Research) Instrument 2017; Supervision Manual (Reporting No. 6) Instrument 2017; and… [read post]
16 Dec 2008, 2:52 pm
Specifically, now that you and I are their reinsurer, we were concerned that this created an uneven playing field, and that AIG would be tempted to play fast and loose with their conduct.That didn't take long.According to Financial Services Online (a service to which I subscribe):"IRRESPONSIBLE AND UNFAIR? [read post]
