Posts tagged with: "financial+services"
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14 Jul 2017, 2:31 pm
The New York Department of Financial Services now allows agents and brokers whose licenses have lapsed/expired within the previous two years to submit an online application to be re-licensed. [read post]
13 Sep 2024, 6:07 pm
Northstar Financial Services (Bermuda) Investors Who Suffered Losses May Be Able To Sue Their Brokers. [read post]
12 Feb 2025, 6:52 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Claire Shaughnessy (Shaughnessy), previously associated with Capital Resource Financial Services, L.l.c., has at least one disclosable event. [read post]
7 Sep 2018, 7:38 am
Now, Massachusetts Financial Services must pay a $1.9M penalty. [read post]
12 Feb 2019, 12:03 pm
The Institute is considered the country’s premier consumer financial services CLE program and this year’s Institute will once again explore in detail important developments in consumer financial services regulation and litigation. [read post]
13 Jul 2023, 8:18 am
The post Were You A Victim Of Investment Fraud By Philip Riposo At United Planners’ Financial Services Of America? [read post]
2 Feb 2023, 7:55 am
On 2 February 2023, the EU Council published a compromise proposal on the proposed Directive on financial services contracts concluded at a distance. [read post]
2 Jul 2020, 5:47 am
The recent announcement by a consumer lender in an SEC filing that it had earmarked $21.7 million to resolve an SEC probe into its FCPA compliance could signal new interest by regulators in enforcing the FCPA against consumer financial services providers with operations outside of the U.S. [read post]
13 Dec 2011, 1:03 am
This will be one of three official on-site Financial Institutions/Consumer Financial Services events at the AALS Annual meeting. [read post]
14 Mar 2011, 6:30 pm
The Financial Services Committee has received testimony regarding the role private equity firms play in preserving existing jobs and creating new ones by providing capital to struggling and growing companies. [read post]
25 Jul 2018, 2:47 pm
Yesterday, the three bills described below were passed by the House Financial Services Committee. [read post]
16 Jan 2014, 12:51 pm
Marc PattersonOn January 14, 2014, the House Subcommittee on Financial Services held a hearing entitled “How Prospective and Current Homeowners Will Be Harmed by the CFPB’s Qualified Mortgage Rule. [read post]
2 Nov 2008, 6:34 pm
As a result of the instability in the financial markets generally and at financial institutions in particular, the financial services industry has experienced significant turnover in 2008. [read post]
26 Jan 2022, 9:23 am
The Framework sets out a structure for its members (the FOS, Financial Conduct Authority, Financial Services Compensation Scheme, the Pensions Regulator and the Money and Pensions Service) to collaborate on matters of common interest to achieve a better outcome for consumers, small businesses and the financial services industry, where compatible with members’ independent statutory roles and functions. [read post]
30 Mar 2023, 10:12 am
The draft statutory instrument (SI) amends the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 (RAO), which specifies types of activities and investments for the purposes of the Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (MiFI Regulations). [read post]
17 Jun 2019, 1:39 pm
Code Chapter 48.110 governing service contracts and protection products guarantees which permit new items to be covered under service contracts and establishes new minimum net worth and financial responsibility requirements for service contract providers. [read post]
21 Jan 2015, 2:00 pm
Mishkin The House Financial Services Committee voted unanimously today to approve the Committee’s oversight plan for the 114th Congress. [read post]
27 Mar 2025, 6:25 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Mario Payne (Payne), previously employed by Raymond James Financial Services, Inc. has been subject to at least one disclosable event. [read post]
15 Nov 2021, 8:32 am
The Regulatory Framework for Investment Tokens covers all parties interested in market, issue, trade, or hold Investment Tokens in or from the DIFC and authorized firms wishing to undertake financial services relating to Investment Tokens. [read post]
30 Nov 2022, 10:00 pm
On October 11, the Bank of England (BoE), the Prudential Regulation Authority (PRA), and the UK Financial Conduct Authority (FCA) (together, the Supervisory Authorities) published a discussion paper (DP5/22) on the safe and responsible adoption of artificial intelligence (AI) in financial services (Discussion Paper). [read post]
