Posts tagged with: "financial+services"
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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]
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]
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]
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]
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]
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]
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]
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]
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]
