Posts tagged with: "financial+services"
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23 Sep 2024, 9:00 am
On 23 September 2024, the Financial Ombudsman Service (FOS) published a speech given by its Chief Executive and Chief Ombudsman, Abby Thomas at the StepChange Connected 2024 conference. [read post]
23 Feb 2018, 7:33 am
The post NJ Financial Advisor Jeffrey Palish Arrested for Theft by Deception appeared first on White Securities Law. [read post]
11 Feb 2024, 8:55 am
Different types of securities accounts can offer different features, products, or services, and not all types of accounts or services would be in every investor’s best interest. [read post]
22 Mar 2010, 5:46 am
The Internal Revenue Service had a material weakness in internal controls over financial reporting related to information security in fiscal year 2009, the Government Accountability Office said in a… Read this entire article for free, simply activate your free 15 day trial access to Daily Tax Report now. [read post]
16 Jul 2010, 6:02 am
The Senate voted 60-39 to approve legislation (H.R. 4173) July 15 that would overhaul regulation of banks and other financial services companies and change the way that mortgages, credit cards and… Read this entire article for free, activate your free 15 day trial access to Banking Report now. [read post]
6 Dec 2011, 2:50 pm
Fieldstone has written an article titled “Prospects For Development Of EB-5 Regional Centre To Sponsor Foreign Investment” that appeared in the December issue of Financier Worldwide. [read post]
8 Sep 2008, 12:19 pm
The LSS said that what could be sought was either a Financial Guardian, Welfare Guardian or both. [read post]
12 May 2010, 6:35 am
The Wall Street Journal is reporting that two financial advisers have been ordered to pay nearly $1.9 million to the advisers' former employer, Chicago-based Mesirow Financial Holdings, Inc., and two of its divisions that alleged breach of contract and theft of trade secrets.The award by an arbitration panel of the Financial Industry Regulatory Authority included a rare dissent by the three-person panel's chairman. [read post]
3 Sep 2009, 9:07 pm
It's filled with practical (and impractical) solutions: e.g., create a Consumer Financial Protection Agency, allow bankruptcy cramdown, strengthen assignee liability in securitization, impose usury caps, incentivize mortgage servicers to do mods, require ownership of the reference asset for CDS, limit financial institutions' ability to switch charters and regulators, change credit rating agency compensation, get rid of rating agencies… [read post]
21 Oct 2021, 8:55 pm
This has been a regulatory requirement for financial services firms across Europe for 20 years. [read post]
6 Jun 2019, 12:18 pm
According to BrokerCheck records financial advisor Mitchell Black (Black), currently employed by Ameriprise Financial Services, Inc. [read post]
12 Jan 2009, 2:56 am
The Financial Services Authority (FSA) has fined Aon Limited (Aon) £5.25m following suspicious payments of around $7m to overseas third parties between 2005 and 2007.The FSA imposed the sanction after finding Aon, the UK arm of Aon Corp, had breached Principle 3 of the FSA's Principles for Business. [read post]
22 Oct 2007, 11:50 am
This advisory opinion serves to remind us that while freebies not closely related to the contract in question are a no-no, some closely-related financial supports are, in fact, permitted. [read post]
11 Dec 2007, 8:27 pm
The duties of the selected MACs will include not only claims processing but also customer service, provider education, financial management, payment safeguards, and information systems security. [read post]
18 Mar 2009, 10:10 am
When the witch hunt is over trial attorneys will discover which "trusted" financial advisers have been sashaying around with these folks.Read more from "Another Financial Portal" [read post]
6 Jul 2017, 6:40 pm
The Bill proposes to introduce statutory customer due diligence (CDD) and record keeping requirements for Hong Kong trust or company service providers (TCSPs), solicitors, accountants and real estate agents. [read post]
2 Apr 2024, 10:12 am
According to FINRA, the securities regulator, Engler was registered with Ameriprise Financial Services, LLC (CRD No. 6363) from October 2014 through June 7, 2023, when Ameriprise filed a Uniform Termination Notice for Securities Industry Registration (Form U5) terminating Engler’s registration. [read post]
29 Oct 2015, 7:40 pm
Postal banking proposals are a subset of public option banking proposals that aim to solve one of two problems: lack of access to financial services and inadequate competition in financial services. [read post]
14 Oct 2015, 12:40 pm
There has been a strain of post-financial crisis writing urging reforms of executive compensation in financial services. [read post]
4 Mar 2018, 10:09 am
Elder abuse includes physical, emotional, sexual and financial abuse, neglect and self-neglect, according to the Georgia Division of Aging Services. [read post]
