Posts tagged with: "financial+services"
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13 Feb 2008, 12:30 am
Premier E-Discovery Provider Meets Service Level Agreements and Maximizes Space and Power with Compact, Energy-Efficient Brocade SolutionsSAN JOSE, Calif., Feb. 13 /PRNewswire-FirstCall/ -- Brocade(R) (Nasdaq: BRCD), a leader in data center networking solutions that help enterprises connect and manage their information, today announced that Applied Discovery, a leading provider of electronic discovery services to the nation's top corporations and law firms, is better able to… [read post]
21 Jan 2011, 10:51 am
" Meeting with a prospective adviser to understand how they get compensated for their services as well as determine your comfort level with that individual is essential. [read post]
10 Sep 2020, 1:53 pm
The FSCA brought the application in terms of section 38B of the Financial Advisory and Intermediary Services Act (FAIS Act) and section 96 of the Financial Markets Act (FMA), with the order being granted on 7 September 2020. [read post]
9 Aug 2010, 9:18 am
“By contrast, the hours defendant devotes to lecturing law students about economic and political history, and legislative and judicial decisions regarding financial markets and public corporations, while ‘touch[ing] on regulatory failures in the anti-trust, consumer, and labor areas,’… should be disregarded in calculating defendant’s community service hours. [read post]
2 Oct 2014, 9:21 pm
But the financial services sector is an equally worrisome vulnerable. [read post]
20 Aug 2021, 2:28 pm
Hajra consented to the suspension after FINRA alleged that, while associated with Wells Fargo Clearing Services, LLC in Marietta, GA, Mr. [read post]
16 Feb 2024, 8:13 am
Background Schedule 11 of the Financial Services and Markets Act 2023 (FSMA 2023) makes provision for a special resolution regime for CCPs and grants the BoE additional powers that support its financial stability objective. [read post]
21 Jan 2020, 2:44 pm
It aggregates financial information from banks, credit card companies and other financial services providers with consumer consent, and maintains a database of credit and debit card transactions of tens of millions of consumers. [read post]
22 Aug 2013, 10:18 am
The Opinion first answers a narrow question about potential issues for financial service providers. [read post]
3 Dec 2009, 4:34 pm
The Minister for Financial Services, Superannuation and Corporate Law, Chris Bowen MP,has released the draft Corporations Amendment (Corporate Reporting Reform) Bill 2010 and the accompanying Regulations for comment. [read post]
13 Oct 2011, 12:38 pm
But, the children are providing a valuable service, and may be suffering a financial loss by taking time away from a job to do so, or other activities. [read post]
2 May 2012, 2:54 pm
• The settlement covers home mortgages serviced by Bank of America, JPMorgan Chase & Co., Citigroup Inc., Ally Financial lnc. [read post]
4 Jan 2012, 3:11 pm
In order to be eligible for the safe harbor, a service provider may not benefit financially from infringing activities that it has the right and ability to control. [read post]
15 May 2019, 1:24 pm
According to BrokerCheck records financial advisor Robert Berg (Berg), currently employed by Summit Brokerage Services, Inc. [read post]
9 Dec 2019, 5:34 pm
From November 2011 until March 2017 Almeida was registered with MSI Financial Services, Inc. [read post]
5 Jan 2014, 9:42 am
The Gorup represents ESMA’s key stakeholder constituencies of consumer representatives; users of financial services; financial market participants; employees of financial institution and small and medium sized enterprises; and academics.The Stakeholder Group was set up to facilitate consultation with key financial market stakeholders on all aspects of ESMA’s work. [read post]
19 Jul 2014, 4:12 pm
Jeb Hensarling (R-TX), Chair of the House Financial Services Committee, said that the Committee, in its last major legislative initiative for the 113th Congress, will soon take up a too-big-to-fail legislative package that posits that Dodd-Frank did not end TBTF but actually codified it. [read post]
6 Mar 2019, 4:09 am
The financial services briefing on April 3, 2019 will revert back to the usual seminar format but will be longer than 40 minutes and again focus on Brexit. [read post]
30 Mar 2011, 2:41 pm
Topics will include: What practical steps can financial services institutions implement to protect trade secrets and client relationships What should you do if your trade secrets are improperly removed or disclosed, or if your former employee is violating his/her agreements How do you prosecute a case against a former employee who is a FINRA member Our panel consists of attorneys with… [read post]
27 May 2021, 6:23 am
The Tribunal, relying on section 234(2) of the Financial Services Regulatory Act which empowers the Tribunal, in exceptional circumstances, to order a party to pay costs, ordered costs against the employer (the applicant). [read post]
