Posts tagged with: "financial+services"
Results 9421 - 9440
of 83,661
Sorted by Relevance
|
Sort by Date
17 Mar 2018, 1:12 pm
The Foreign Account Tax Compliance Act (FATCA) requires a foreign financial institution to appoint a “Responsible Officer” who is obligated to submit periodic compliance certifications to the Internal Revenue Service attesting to the institution’s compliance with various FATCA duties. [read post]
24 Nov 2018, 11:20 am
From December 2010 until August 2014 Stimpson was associated with Signator Financial Services, Inc. [read post]
1 Mar 2008, 8:20 am
Howard Dvorkin of Consolidated Credit Counseling Services in Fort Lauderdale, Florida summarizes the problem. [read post]
30 Jun 2014, 9:00 am
Taken together, the globalization of legal services, the emergence of the in-house law department as the manager of core legal services, and the insourcing of legal work have significant and serious consequences for law firms. [read post]
21 Jun 2011, 7:29 am
The Second Circuit yesterday dealt a blow to Wall Street banks, ruling that a financial news service could publish ratings changes by the banks’ analysts. [read post]
23 Dec 2009, 9:05 am
Boy George The full effect of early release on licence from prison has been discovered by former Culture Club singer Boy George who failed in judicial review proceedings in the High Court to overturn a Probation Service ban preventing him appearing in the final series of “Celebrity Big Brother”. [read post]
4 Sep 2015, 4:48 am
From January 2006 onward Ellman has been registered with NFP Advisor Services, LLC (NFP Advisor). [read post]
12 May 2022, 6:48 am
John Grugan, a partner in Ballard Spahr’s Consumer Financial Services Group, hosts the conversation, joined by Michael Gordon and Lisa Lanham, partners in the Group. [read post]
17 Feb 2010, 6:19 am
The Financial Industry Regulatory Authority (FINRA) announced its first enforcement action involving the sales of reverse convertible notes (RCNs) — fining H&R Block Financial Advisors, Inc., (n/k/a Ameriprise Advisor Services, Inc.) $200,000 for failing to establish adequate supervisory systems and procedures for supervising sales of RCNs to retail customers. [read post]
18 Dec 2019, 4:00 am
Nash Davis is Chair of the Real Estate & Financial Services Practice Group at BoltNagi PC, a full service business law firm on St. [read post]
14 Nov 2013, 8:38 am
The case itself does not involve financial services; it arose from a Fair Housing Act claim that a neighborhood redevelopment plan would have a discriminatory impact on black residents. [read post]
29 Jun 2011, 1:54 pm
Scott Garrett (R-NJ), Chairman of the Financial Services Subcommittee on Capital Markets, H.R. 2308, the SEC Regulatory Accountability Act, with 15 original cosponsors, would require the SEC to abide by President Obama’s executive order that government agencies conduct robust cost-benefit analysis to ensure that the benefits of any rulemaking outweigh the costs, and that both new and existing regulations are accessible, consistent, written in plain language, and easy to… [read post]
27 Jul 2011, 5:45 am
The Financial Industry Regulatory Authority (FINRA) has fined SunTrust Robinson Humphrey (SunTrust RH) and SunTrust Investment Services (SunTrust IS) $5 million for violations connected to sales of auction-rate securities. [read post]
11 Nov 2008, 3:06 pm
Current market conditions are having a significant upheaval in the financial services industry, and many brokers are changing firms, or planning to start their own investment advisory firms. [read post]
18 Aug 2010, 9:15 am
Allegations of Fannie Mae's abuse of the HAMP program by a former executive has prompted Senators to urge the House Financial Services Committee to investigate whether Fannie executives improperly implemented HAMP. [read post]
22 Jan 2018, 1:53 pm
The OCC indicated that banks’ increasing use of third-party service providers and the emergence of new products and services offered through financial technology companies or other industry collaborations warrant heightened supervisory focus. [read post]
17 Mar 2021, 12:14 pm
Because the alternative could suggest Texas is no longer a welcome home to America’s top financial institutions. [read post]
12 Nov 2019, 8:21 pm
Big tech companies see financial services as a way to get closer to users and glean valuable data. [read post]
9 Nov 2022, 7:23 am
The Report discusses the need to adapt existing policy frameworks to account for the change brought about by DeFi to the underlying information structure upon which financial services are provided. [read post]
18 Apr 2023, 1:39 am
The publication is designed to provide guidance to the financial services industry on how to develop, implement and maintain an effective anti-bribery and corruption (ABC) compliance programme, and should be read in conjunction with applicable legislation, regulation, and guidance issued by authorities in the jurisdictions in which a financial institution conducts business. [read post]
