Posts tagged with: "financial+services"
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7 Nov 2023, 8:48 am
The proposal implements Section 1033 of the Dodd-Frank Act which authorizes the CFPB to issue rules requiring “a covered person [to] make available to a consumer, upon request, information in the control or possession of such person concerning the consumer financial product or service that the consumer obtained from such covered person, including information related to any transaction, or series of transactions, to the account including costs, charges, and usage data. [read post]
24 May 2016, 8:38 pm
Directory Assistance Call Completion Is Not A Financial Service for CBM Purposes By Joseph Herndon -- On May 4, 2016, the USPTO Patent Trial and Appeal Board (PTAB) issued a decision denying institution of a Covered Business Method (CBM) patent review in a proceeding between AT&T Mobility and Intellectual Ventures, based on U.S. [read post]
11 Aug 2014, 6:13 am
Editor's Note: The following post comes to us from Dan Ryan, Chairman of the Financial Services Regulatory Practice at PricewaterhouseCoopers LLP, and is based on a PwC publication. [read post]
22 Apr 2013, 6:14 am
Editor’s Note: The following post comes to us from Charles Horn, partner focusing on banking and financial services matters at Morrison & Foerster LLP, and is based on a client alert by Mr. [read post]
19 Jul 2011, 10:50 am
The United Kingdom’s Serious Fraud Office, which prosecutes white collar crime, the Financial Services Authority, and the Bank of England's Financial Policy Committee have issued warnings about the risks of exchange traded funds, which include (i) lack of transparency in the exchange traded funds market, (ii) failure of exchange traded funds to track underlying indexes, (iii) risk of a exchange traded funds providers going bankrupt, and (iv) exchange traded… [read post]
10 Feb 2011, 9:22 am
FINRA (the Financial Industry Regulatory Authority) recently discussed its investor protection priorities at a conference held for independent financial services firms. [read post]
12 Mar 2023, 10:00 pm
While complex questions remain about what impact the Silicon Valley Bank (SVB) crisis will have on the financial services and emerging business sectors, it is important to be mindful of antitrust considerations when mitigating risk. [read post]
23 Jul 2008, 10:33 am
Gee said, “The news in Idaho is positive - our state-chartered financial institutions are safe and sound, the number of financial service …Read More... [read post]
23 Mar 2015, 4:11 am
History suggests that this has not always been the case for the financial services community. [read post]
5 May 2021, 4:15 am
On March 31, 2021, Ice Cube (also known as O’Shea Jackson, Sr.) filed a lawsuit against Robinhood Financial LLC, and Robinhood Markets, Inc., financial services... [read post]
20 Aug 2008, 9:52 pm
Following on the heels of a similar complaint filed by Massachusetts securities regulators, New York Attorney General Cuomo's complaint against UBS Securities and UBS Financial Services ("UBS" collectively) alleges that UBS deceived its customers, its own financial advisors and the issuers of auction rate securities ("ARS"). [read post]
30 Jul 2014, 6:02 am
Editor's Note: The following post comes to us from Dan Ryan, Chairman of the Financial Services Regulatory Practice at PricewaterhouseCoopers LLP, and is based on a PwC publication by Catherine Bromilow and John Morrow; the complete publication, including interview insights, is available here. [read post]
27 Jul 2020, 12:54 am
(Bloomberg by John Authers)King dollar's decline ripples across the globe (Bloomberg by Saqib Iqbal Ahmed and Ira Iosebashvili)Securities Trader Admits Market Manipulation Scheme that Netted More Than $17 Million in Illicit Profits (DOJ Release)SEC Charges Valic Financial Advisors with Failing to Disclose Payments to Promote Services to Florida Educators / SEC also Charges Valic Financial Advisors in Separate Action for Mutual Fund Selection Violations (SEC… [read post]
28 Apr 2024, 10:00 pm
The Dubai Financial Services Authority (DFSA) has issued a consultation paper (CP 158) relating to proposed amendments to its Collective Investment Rules (CIR), which includes one proposed change in relation to credit funds, and has separately issued a Call for Evidence seeking market feedback more generally on nearly all aspects of its rules relating to credit funds, including the overarching question of whether Dubai International Financial Centre (DIFC) fund activity… [read post]
28 Apr 2024, 10:00 pm
The Dubai Financial Services Authority (DFSA) has issued a consultation paper (CP 158) relating to proposed amendments to its Collective Investment Rules (CIR), which includes one proposed change in relation to credit funds, and has separately issued a Call for Evidence seeking market feedback more generally on nearly all aspects of its rules relating to credit funds, including the overarching question of whether Dubai International Financial Centre (DIFC) fund activity… [read post]
12 Mar 2023, 10:00 pm
While complex questions remain about what impact the Silicon Valley Bank (SVB) crisis will have on the financial services and emerging business sectors, it is important to be mindful of antitrust considerations when mitigating risk. [read post]
12 Mar 2023, 10:00 pm
While complex questions remain about what impact the Silicon Valley Bank (SVB) crisis will have on the financial services and emerging business sectors, it is important to be mindful of antitrust considerations when mitigating risk. [read post]
28 Apr 2024, 10:00 pm
The Dubai Financial Services Authority (DFSA) has issued a consultation paper (CP 158) relating to proposed amendments to its Collective Investment Rules (CIR), which includes one proposed change in relation to credit funds, and has separately issued a Call for Evidence seeking market feedback more generally on nearly all aspects of its rules relating to credit funds, including the overarching question of whether Dubai International Financial Centre (DIFC) fund activity… [read post]
3 Aug 2023, 10:32 am
As amended, the licensing requirement under the Act includes “any person that is not a financial institution who, at or after the time a loan [of $25,000 or less with rates exceeding the Nebraska general usury limit] is made by a financial institution, markets, owns in whole or in part, holds, acquires, services, or otherwise participates in such loan. [read post]
2 Nov 2021, 1:29 pm
Session “CFPB Update: Changes to the Regulatory Environment that Impact Dealers”, co-presented by, Juan Camacho, provided practical viewpoints to assist “buy-here/pay-here” auto dealers/financiers stay compliant with ever-changing consumer financial services regulations. [read post]
