Posts tagged with: "financial+services"
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3 Aug 2022, 9:45 am
On 3 August 2022, UK Finance published a blog ‘What does the Financial Services and Markets Bill mean for UK capital markets? [read post]
11 Aug 2014, 9:56 am
Rasnick put together “Five Documents That Financial Services Employers Should Revisit Now” in this month’s Take 5 newsletter. [read post]
25 Apr 2012, 1:58 pm
A plan, introduced by the House Financial Services Committee, would shift oversight from federal authorities to groups backed by the financial industry, most likely the Financial Industry Regulatory Authority. [read post]
11 Sep 2024, 7:51 am
Systemic thinking is only a means to an end – the end is service provision, and financial stability must always be ‘at your service’. [read post]
24 Jul 2015, 6:40 am
Covered Entities include financial institutions, investment banking firms, mortgage banking firms, asset management firms, brokers, dealers, financial services entities, underwriters, accountants, investment consultants, and providers of legal services. [read post]
26 Feb 2018, 8:31 am
On Tuesday, March 27, in Seyfarth’s second installment in its 2018 Trade Secrets Webinar Series, Seyfarth attorneys Scott Humphrey, Erik Weibust, and Marcus Mintz will focus on trade secret and client relationship considerations in the banking and financial services industry, with a particular focus on a firm’s relationship with its FINRA members. [read post]
25 Mar 2019, 1:00 pm
Scott Humphrey and Marcus Mintz focused on trade secret and client relationship considerations in the banking and financial services industry. [read post]
8 May 2017, 1:51 pm
Last Thursday, by a party-line vote of 34-26, the House Financial Services Committee approved the Financial CHOICE Act (H.R. 10) proposed by Committee Chairman Jeb Hensarling. [read post]
4 May 2017, 11:12 am
In Seyfarth’s second webinar in its series of 2017 Trade Secret Webinars, Seyfarth attorneys Scott Humphrey, Robyn Marsh, and Dawn Mertineit focused on trade secret and client relationship considerations in the banking and financial services industry, with a particular focus on a firm’s relationship with its FINRA members. [read post]
22 Dec 2016, 12:20 pm
Financial Services Professionals as Fiduciaries The U.S. [read post]
22 Dec 2016, 12:20 pm
Financial Services Professionals as Fiduciaries The U.S. [read post]
3 Dec 2012, 6:30 am
On November 29, two Subcommittees of the House Financial Services Committee held a joint hearing regarding the federal banking agency proposals to implement the Basel III international regulatory capital accords. [read post]
16 Feb 2014, 2:33 pm
Providing clarity in this context should enhance the availability of financial services for marijuana businesses. [read post]
2 May 2024, 9:56 am
During this session, the Parliament plenary adopted a large number of important financial services-related legislative proposals. [read post]
30 Jun 2022, 7:50 am
UBS Financial Services Inc has agreed to pay $25 million to settle SEC fraud charges relating to a particular investment strategy called Yield Enhancement Strategy. [read post]
4 Dec 2023, 9:08 am
Chapter 3 – tools to help financial institutions identify critical services and manage potential risks throughout the lifecycle of a third-party service relationship. [read post]
22 Oct 2009, 8:18 am
Today the House Financial Services Committee passed legislation to create the Consumer Financial Protection Agency. [read post]
25 Oct 2023, 2:08 am
This is to provide access to SMEs it thinks are likely to have insufficient resources to resolve disputes with financial services firms through the legal system. [read post]
UBS Financial Services Inc. Secures Temporary Restraining Order Against Three Former Brokers in Ohio
2 Jun 2009, 5:52 am
A dispute between UBS Financial Services Inc. [read post]
29 Mar 2017, 9:17 am
To read our previous publications on Brexit and financial services, please click on the following: Brexit and financial services: 10 things you should know (Part 1); Brexit and financial services: 10 things you should know (Part 2); and Brexit and financial services: 10 things you should know (Part 3). [read post]
