Posts tagged with: "financial+services"
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2 Oct 2009, 4:25 pm
House Financial Services Committee Chairman Barney Frank released a discussion draft of legislation to regulate over-the-counter ("OTC") derivatives Friday on Capitol Hill. [read post]
3 Jul 2007, 11:14 am
This time to Visa and Mastercard over secondary liability for providing financial services to allegedly infringing websites. [read post]
26 Jul 2007, 10:14 am
The financial services industry wants to back winners, but the latest crop of winners on Capitol Hill seem prone to tax and regulate them. [read post]
7 May 2013, 2:08 pm
On May 1, the FCA published a press release stating that it expects firms to review their regulatory status disclosures as a priority and ensure that they are up to date and accurate following the creation of the FCA and PRA and the renaming of the public Financial Services register. [read post]
19 Nov 2010, 8:07 am
An Internal Revenue Service unit set up to look at wealthy taxpayers and their complicated financial arrangements has started rigorous probes of some hedge-fund managers and other investors it suspects may be trying to evade taxes. [read post]
1 Jul 2008, 9:02 am
., and its financing arm, Dell Financial Services, L.P., engaged in widespread deceptive advertising and business practices. [read post]
10 Nov 2008, 7:43 pm
These obligations relate to reporting requirements and ongoing customer due diligence (OCDD) and will apply to providers of financial, bullion, gambling or money transfer services. [read post]
3 May 2019, 3:30 am
On 2 May 2019 there was published in the Official Journal of the EU, Commission Implementing Decision (EU) 2019/684 of 25 April 2019 on the recognition of the legal, supervisory and enforcement arrangements of Japan for derivatives transactions supervised by the Japan Financial Services Agency as equivalent to the valuation, dispute resolution and margin requirements of Article 11 of EMIR. [read post]
11 Jun 2014, 10:41 pm
Wall Street has many friends in Washington, but House Majority Leader Eric Cantor was a well-placed one who understood how the industry worked and was not afraid to help the financial-services sector, even when he had to take on other members of his own party. [read post]
17 Mar 2014, 3:51 pm
Commodity Futures Trading Commission and the Financial Services Agency of Japan signed a Memorandum of Cooperation which expresses the agencies’ intent to work together to supervise and oversee regulated entities that operate on a cross-border basis in Japan and the United States. [read post]
12 Mar 2013, 6:43 am
Those of us who engage in consumer financial services defense work are often not surprised to see some awfully strange situations on the plaintiff-side of the aisle. [read post]
17 Apr 2009, 2:30 am
The M&A veteran guided Tech Mahindra to victory in its bid for Satyam Computer Services, one of India's largest outsourcing companies. [read post]
3 Sep 2009, 2:49 am
The Minister for Financial Services, Superannuation and Corporate law, Chris Bowen MP, has released the final Regulations and explanatory material in relation to the proposed reforms to termination payments in the Corporations Amendment (Improving Accountability on Termination Payments) Bill 2009. [read post]
23 Sep 2008, 1:28 pm
“The prosecutions of a former Cazenove partner and a father and son accused of insider dealing by the Financial Services Authority (FSA) will proceed to trial after an attempt to have the cases dismissed failed. [read post]
17 Mar 2014, 3:51 pm
Commodity Futures Trading Commission and the Financial Services Agency of Japan signed a Memorandum of Cooperation which expresses the agencies’ intent to work together to supervise and oversee regulated entities that operate on a cross-border basis in Japan and the United States. [read post]
6 Nov 2020, 8:55 pm
On 5 November 2020, there was published in the Official Journal of the EU the decision of the EEA Joint Committee amending Annex IX (Financial Services) to the EEA Agreement by adding to it Commission Implementing Regulation (EU) 2018/165 of 31 January 2018 laying down technical information for the calculation of technical provisions and basic own funds for reporting with reference dates from 31 December 2017 until 30 March 2018 in accordance with Directive 2009/138/EC of the… [read post]
9 Sep 2008, 7:54 pm
The Financial Services Authority is calling for brokers to blow the whistle on any clients or colleagues that may be committing mortgage fraud. [read post]
17 Oct 2018, 6:19 am
The Department of Financial Services’ Disaster Fraud Action Strike Team (DFAST) investigated Aponte after receiving a tip about fraudulent invoices and false rental agreements with letters claiming lost of rent for more than $30,000. [read post]
15 Jun 2010, 2:02 am
Jeffery Tye Brown, 50, Henderson, Nevada, was sentenced to prison following a plea of guilty to felony mortgage fraud in violation of NRS 205.372, a Category C felony, in connection with the operation of DB Financial Services, a foreclosure rescue business located in Henderson. [read post]
7 Jun 2024, 1:37 am
This webinar will feature a discussion from our NRF financial services enforcement team to provide a perspective on greenwashing from an enforcement angle. [read post]
