Posts tagged with: "financial+services"
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26 Apr 2019, 6:36 am
Mireau burrowed money from two of his Ameriprise Financial Services customers, without complying with relevant FINRA rules and internal firm policies. [read post]
1 Jun 2016, 8:34 am
On May 5, 2016, the CFPB issued a proposed rule that would prohibit covered providers of certain consumer financial products and services from using an agreement with a consumer that provides for arbitration of any future dispute between the parties to bar the consumer from filing or participating in a class action with respect to the covered consumer financial product or service. [read post]
26 Jul 2017, 7:00 am
Consider a financial services company that has a list of ongoing clients. [read post]
23 Jun 2021, 8:45 pm
Move forward with its proposal to amend the Financial Services and Markets Act (PRA-Regulated Activities) Order 2013 so that the reference to the EUR 730,000 initial capital requirement (ICR) is removed. [read post]
16 May 2011, 10:11 am
Recently, the Financial Services Committee heard 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]
8 Jul 2020, 4:11 am
In addition to general treatment, the patient may be referred to a specialist palliative care team or local respiratory service for treatment and therapy options. [read post]
1 Aug 2012, 4:42 pm
Noting the timeliness of the SEC report on the municipal securities market, House Financial Services Chair Spencer Bachus (R-ALA), said that he plans to hold hearings on the report in the Fall. [read post]
18 Oct 2022, 11:35 am
House of Representatives Committee on Financial Services, and four other Republican representatives, asked Mr. [read post]
5 Jan 2024, 1:41 pm
John Goodwin LPL Financial LLC MML Investors Servies, LLC Jane Terry Raymond James Financial Services, Inc. [read post]
28 Mar 2019, 11:34 pm
The major facial intent of the Act on Internet-Only Banks is to “…encourage innovative enterprises to enter the financial market while laying the legal framework for the convergence of information and communications technologies (ICT) with financial services, and the creation of new economic growth drivers. [read post]
12 Nov 2010, 1:51 pm
Access the complete 57-page GAO report (click here).Waste Information & Management Services, Inc. [read post]
20 Jul 2023, 8:21 am
For further updates on regulatory developments in the ESG space please visit our Financial Services Regulatory Developments in ESG hub. [read post]
1 May 2024, 6:54 am
Mark Highman, a financial services partner in New York, also provides a US perspective. [read post]
4 Nov 2019, 8:50 am
In our latest financial services and sustainability video, Caroline Herkströter and Simon Lovegrove discuss BaFin’s guidance notice on sustainability risk. [read post]
5 Jul 2023, 10:51 am
Community Financial Services Association of America (CFSA) has filed its brief with the U.S. [read post]
27 Feb 2023, 7:28 am
Supreme Court has granted the certiorari petition filed by the CFPB seeking review of the Fifth Circuit panel decision in Community Financial Services Association of America Ltd. v. [read post]
20 Feb 2024, 10:28 am
For further updates on regulatory developments in the ESG space please visit our Financial Services Regulatory Developments in ESG hub. [read post]
30 Jan 2008, 4:06 am
Countrywide Financial, the mortgage lender and loan servicer, reported a fourth-quarter loss of $422 million Tuesday, but the results were not expected to hinder its proposed $4.1 billion takeover by the Bank of America. [read post]
20 Sep 2007, 9:00 am
Chicago Bulls guard Ben Gordon is suing his former financial advisors for breach of contract and breach of fiduciary duty,... [read post]
23 Dec 2022, 6:23 am
On December 15, 2022, the New York Department of Financial Services (“NYDFS”) published an Industry Letter detailing the Department’s guidance regarding banking organizations that wish to engage in virtual currency-related activities. [read post]
