Posts tagged with: "financial+services"
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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]
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]
16 Feb 2014, 2:33 pm
Providing clarity in this context should enhance the availability of financial services for marijuana businesses. [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]
22 Oct 2009, 8:18 am
Today the House Financial Services Committee passed legislation to create the Consumer Financial Protection Agency. [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]
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]
3 May 2019, 6:30 am
Garry Lacy Reeder II, Vice President, Policy and Innovation, Center for Financial Services Innovation. [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]
29 Mar 2017, 4:38 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]
8 May 2017, 6:28 am
On April 19, 2017, the House Financial Services Committee (the “Committee”) released a new “discussion draft” of the Financial CHOICE Act, its comprehensive regulatory reform bill (“CHOICE Act 2.0”). [read post]
30 Nov 2011, 3:58 pm
Primarily, the amendment would ensure that financial services companies cannot use the exemption to evade other provisions of Dodd-Frank. [read post]
22 May 2018, 3:29 pm
She has a depth of knowledge and experience with over 20 years in the financial services industry. [read post]
18 Apr 2023, 3:25 am
Here’s the full list of priorities, which are laid out in the press release accompanying the report: – Risk of fraud – Auditing and accounting risks – Risk assessment and internal controls – Financial services specific considerations – Broker-dealer specific considerations – M&A, including de-SPAC transactions – Digital assets – Use of the work of other auditors – Quality control (particularly talent retention and its… [read post]
3 Mar 2020, 11:29 am
On March 4, 2020 the House Financial Service’s Subcommittee on Housing, Community Development and Insurance will hold a hearing entitled, “Drivers of Discrimination: An Examination of Unfair Premiums, Practices and Policies in the Auto Insurance Industry. [read post]
10 Apr 2017, 12:32 pm
Myers has more than 15 years of experience in the financial services industry. [read post]
28 Mar 2022, 7:55 am
The framework is between the European Commission’s Directorate-General for Financial Stability, Financial Services and Capital Markets Union and the Financial Services Agency of Japan. [read post]
