Posts tagged with: "financial+services"
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28 Mar 2024, 5:30 am
Considering whether to set impact tolerances for additional vital services beyond payments. [read post]
19 Apr 2022, 11:38 am
In response to the complaint filed by Opportunity Financial, LLC (OppFi) seeking to block the California Department of Financial Protection and Innovation (DFPI) from applying California usury law to loans made through OppFi’s partnership with FinWise Bank (Bank), the DFPI has filed a cross-complaint seeking to enjoin OppFi from collecting on the loans and to have the loans declared void. [read post]
28 Jul 2017, 9:21 am
On 24 July, the German Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) has published updated drafts of the Ordinance on the Examination of Investment Services Enterprises (Wertpapierdienstleistungs-Prüfungsverordnung – WpDPV) and of the Securities Trading Act Employee Notification Regulation (WpHG-Mitarbeiteranzeigeverordnung – WpHGMaAnzV). [read post]
1 Jun 2017, 12:50 am
On 30 May, the German Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) has published the drafts of the Ordinance on the Examination of Investment Services Enterprises (Wertpapierdienstleistungs-Prüfungsverordnung – WpDPV) and of the Securities Trading Act Employee Notification Regulation (WpHG-Mitarbeiteranzeigeverordnung – WpHGMaAnzV). [read post]
10 Apr 2018, 7:18 am
On 4 April 2018, the European Parliament’s Economic and Monetary Affairs Committee published a draft report on relationships between the EU and third countries concerning financial services regulation and supervision. [read post]
1 Mar 2017, 1:49 pm
If the borrower does so without regulatory permission to accept deposits, this would involve a breach of the Financial Services and Markets Act 2000 and may be a criminal offence. [read post]
20 Nov 2015, 10:02 am
The meetings will explore technology-related risk and compliance issues in the financial services space, such as in mobile banking, online brokerage, automated (“robo”) investment advisers, P2P lending, to name a few. [read post]
10 Dec 2018, 4:20 am
On 7 December 2018, the European Commission published an evaluation roadmap for the Distance Marketing of Financial Services Directive. [read post]
8 Nov 2023, 1:58 pm
The financial services and payments firm was penalized by OFAC for enabling prepaid reward cards to be redeemed by persons who purchased the cards from sanctioned jurisdictions. [read post]
1 Nov 2017, 5:59 am
” In 2012, he was terminated from his position at Raymond James Financial Services “due to client complaint and settlement relating to unauthorized discretion. [read post]
13 Jan 2023, 1:40 pm
The Proposed Rule excludes from the registration requirements nonbanks having annual receipts less than $1 million from offering or providing certain consumer financial products or services. [read post]
8 May 2019, 7:55 am
The application of GN7 can be extended to other deposit-taking institutions that offer Islamic financial services, subject to the relevant CB’s discretion. [read post]
20 Jan 2020, 1:23 pm
English served as Director of Financial Services Advocacy for the Consumer Federation of America. [read post]
5 Nov 2018, 2:35 pm
He worked with Capital Financial Services from August 2012 to August 2017 in Marietta, Georgia. [read post]
19 Oct 2017, 2:15 pm
” The Task Force consists of regulators from ten states, including the Superintendent of the New York Department of Financial Services. [read post]
2 Mar 2009, 4:59 am
The UK Treasury has proposed opening a new information gateway between the Financial Services Authority (FSA) and the Claims Management Regulator (CMR) so the two regulatory bodies can share information of mutual interest. [read post]
23 Jan 2015, 11:52 am
Prosecutions of employees taking proprietary software with them when they leave financial services firms is on an upswing. [read post]
21 Mar 2013, 8:08 am
In a reprise of their debate at the January 2013 meeting of the American Bar Association’s Consumer Financial Services Committee, C. [read post]
23 Apr 2024, 1:27 am
The draft SI forms part of HM Treasury’s programme to deliver a Smarter Regulatory Framework for financial services. [read post]
19 Jun 2008, 12:30 pm
The majority of responses agreed that the current law, with its overlapping layers of case law, Financial Services Authority regulation and Financial Ombudsman Service guidance, is unacceptably complex, confusing and inaccessible.This meeting came shortly after the Law Commission issued its summary of responses to the CP (See: Summary of responses). [read post]
