Posts tagged with: "financial+services"
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25 Oct 2023, 12:29 pm
Amsouth Investment Services, Inc. [read post]
2 Apr 2020, 10:27 am
Department of Homeland Security guidance establishing insurance services as “essential services” and classifying members of the insurance industry as federally identified “essential critical infrastructure workers” under the broader heading of “Financial Services. [read post]
22 Oct 2020, 8:50 pm
Directive (EU) 2020/1504 of the European Parliament and of the Council of 7 October 2020 amending Directive 2014/65/EU on markets in financial instruments. [read post]
27 Oct 2009, 7:27 pm
Kanjorski (D-PA), Chairman of the House Financial Services Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises. [read post]
28 Feb 2008, 10:03 pm
Plans - Debtor was not liable to former equity holders for alleged fraud at plan confirmation hearing.A bankruptcy court did not clearly err in finding that a Chapter 11 debtor's chief financial officer (CFO) had not testified falsely at a plan confirmation hearing, and that the debtor was not liable in fraud to former equity owners when the bankruptcy court, in alleged reliance on this testimony, confirmed a plan that wiped out existing equity. [read post]
7 May 2012, 3:07 pm
However, your trustee need not be a powerful financial services company. [read post]
29 Sep 2017, 1:57 pm
There have been so many cases involving employees in the financial services industries and their exempt status or lack thereof. [read post]
1 May 2014, 11:17 am
As the managing director for independent advisor services, he was responsible for overseeing almost 14,000 representatives and financial advisors. [read post]
7 Mar 2019, 7:27 am
As we’ve been predicting, including here, the Cybersecurity Regulation adopted by the NY DFS for insurance, banking and other financial services continues to drive the conversation in the U.S. [read post]
28 Sep 2014, 6:17 pm
Financial Services Commissioner winds down, Commissioner Michel Barnier called on his prospective successor, Lord Hill, to continue the effort to have mandated cross-border financial regulatory convergence included in the trade talks with the United States and convince U.S. regulatory partners that this approach will not lower standards but will achieve greater financial stability. [read post]
20 May 2021, 9:09 am
Ballard Spahr Senior Counsel Alan Kaplinsky hosts the conversation joined by Lori Sommerfield, Of Counsel in the firm’s Consumer Financial Services Group. [read post]
19 Dec 2007, 6:57 am
The close links provisions contained in Schedule 6(3) of the Financial Services and Markets Act (FSMA) stem from the BCCI Directive. [read post]
21 Oct 2022, 10:25 am
Tax Expat Tax Services. [read post]
18 Mar 2011, 10:19 am
Legislation reforming the government sponsored enterprises, such as the Federal National Mortgage Association (Fannie Mae) and the Federal Home Loan Mortgage Corporation (Freddie Mac), has been introduced by House Financial Services Committee Chairman Spencer Bachus (R-Ala) and Vice Chairman Jeb Hensarling (R-TX). [read post]
1 Aug 2018, 6:55 am
Last week, Representative Blaine Luetkemeyer, Chair of the House Financial Services Committee’s Subcommittee on Financial Institutions and Consumer Credit, and Representative Scott Tipton sent a letter to Jelena McWilliams, Chair of the FDIC, that identified concerns with the FDIC’s interpretations and regulations surrounding brokered deposits and requested the FDIC to revisit its June 2016 Frequently Asked Questions on Identifying, Accepting and Reporting… [read post]
2 Jul 2019, 7:42 am
(SagePoint Financial) and MML Investors Services, LLC (MML Investors) out of Fort Lauderdale, Florida was barred from the financial industry according to records kept by The Financial Industry Regulatory Authority (FINRA). [read post]
24 Oct 2017, 7:04 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including compliance with federal and state laws and rules. [read post]
5 Jul 2009, 6:13 pm
Someone better tell Robert Risk at Structured Settlement Services that it's no longer 2001 or 2002.The following text currently appears in the basics section of Structured Settlement Services website, ostensibly to educate the public on the essentials of estate tax consequences of structured settlements. [read post]
13 Jun 2018, 7:37 am
According to Nassau’s district attorney, financial advisor Matthew E. [read post]
11 Feb 2013, 11:00 am
With the USPS facing financial and customer service struggles, it is little wonder that many government contractors rely on rival FedEx to deliver important packages. [read post]
