Posts tagged with: "financial+services"
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Book Review: From Turmoil to Tomorrow: The Emerging New World of Municipal Finance by Robert W. Doty
21 Dec 2010, 2:29 pm
House Committee on Financial Services in the wake of our recent financial crisis. [read post]
2 Mar 2010, 7:44 pm
There are two key structural problems with consumer protection in financial services. [read post]
9 May 2024, 9:01 pm
Certification on digital financial assets that have been approved by the New York Department of Financial Services is not required. [read post]
27 Nov 2023, 7:32 am
The Board rendered a rare reversal of a failure-to-function refusal, finding the USPTO's evidence insufficient to establish that the phrase FOLLOW THE LEADER is incapable of serving as a source indicator for credit card incentive program, credit card financial, travel information, ticket reservation, travel advisory, salon and spa reservation, and concierge services. [read post]
10 Dec 2018, 3:43 pm
(operator) and MVI Field Services, LLC (Quick Turn Around area (QTA) sub) are experienced contractors. [read post]
1 May 2019, 6:05 am
The taskforce’s reports would focus on eight topics, including the “most serious issues” for senior investors regarding financial products and services and the existing policies and procedures of market participants such as broker-dealers and investment advisers. [read post]
16 Jul 2008, 9:34 pm
Service providers would be required to hold an Australian financial services licence. [read post]
15 Jan 2008, 2:14 am
Financial terms of the sale were not disclosed. [read post]
6 Jul 2022, 10:12 am
GWG, a financial services company, owes $1.6 billion in “L Bonds,” financial instruments that pooled the money of investors to buy life insurance policies on the secondary market, with promises that the investors would make a profit from gains made after policyholders had died. [read post]
30 Nov 2021, 8:40 pm
On 29 November 2021, the European Securities and Markets Authority (ESMA) published a letter from John Berrigan, Deputy Director-General for Financial Stability, Financial Services and Capital Markets Union, European Commission, to Irene Tinagli, Chair of the Committee on Economic and Monetary Affairs, European Parliament and Andrej Šircelj, President of the Ecofin Council, Council of the European Union. [read post]
10 Aug 2023, 6:31 am
” On July 12, 2023 the House Financial Services Committee (HFSC) held a hearing entitled “Protecting Investor Interests: Examining Environmental and Social Policy in Financial Regulation,” chaired by HFSC Chair Rep. [read post]
6 Jul 2009, 2:14 am
We have previously reported on the UK Financial Services Authority's (FSA) temporary ban on the short selling of stocks in the UK financial sector (which has now expired) and the ongoing disclosure requirements in relation to new and existing short positions. [read post]
7 Jul 2009, 1:49 pm
Minnesota-based Woodbury Financial Services, Inc. recently advised its registered representatives that it has adopted several very controversial personnel policies. [read post]
3 May 2016, 6:21 am
SFX Financial Advisory Management Enterprises is wholly-owned by Live Nation Entertainment and specializes in providing advisory and financial management services to current and former professional athletes. [read post]
15 Sep 2016, 3:13 pm
Levin Republican Congressman Randy Neugebauer, who chairs the House Financial Services Committee’s Subcommittee on Financial Institutions and Consumer Credit, and Democratic Congressman W. [read post]
6 May 2022, 12:19 pm
Weighing in on all things financial services, top securities industry lawyer, Jenice L. [read post]
10 Aug 2023, 6:31 am
” On July 12, 2023 the House Financial Services Committee (HFSC) held a hearing entitled “Protecting Investor Interests: Examining Environmental and Social Policy in Financial Regulation,” chaired by HFSC Chair Rep. [read post]
9 Jan 2017, 3:01 pm
On January 3, 2017, the EBA published a letter (dated December 23, 2016) that was sent to the Director-General Financial Stability, Financial Services and Capital Markets Union (“FISMA“), by Andrea Enria, EBA Chairman, requesting the revision of deadlines for the submission of certain draft technical standards required under the CRD IV and the CRR. [read post]
5 Jun 2014, 8:50 am
The Financial Industry Regulatory Authority (FINRA) recently barred Ameriprise Financial Services (Ameriprise) broker Jeffrey Davis (Davis) concerning allegations that the broker committed securities fraud by converting client funds. [read post]
2 Jul 2019, 12:22 pm
On June 25, the European Securities and Market Authority (ESMA) published a letter (dated June 17) sent by Steven Maijoor, ESMA Chair, to Olivier Guersent, European Commission Director General for Financial Stability, Financial Services and Capital Markets Union (CMU), on the annual review required by Article 17 of Commission Delegated Regulation (EU) 2017/583 on transparency requirements for non-equity instruments (RTS 2). [read post]
