Posts tagged with: "financial+services"
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20 May 2013, 8:37 am
These regulations amend sections of the Financial Services and Markets Act 2000 (FSMA) as part of the implementation of the Directive amending the Prospectus Directive and Transparency Directive (2010/73/EU). [read post]
15 Aug 2023, 8:41 am
The letter sets forth that, following Royal Assent of the Financial Services and Markets Act 2023 (the Act) on 29 June 2023, the FCA will be undertaking a review, which will assess how FCA regulated firms are complying with their legal and regulatory obligations regarding the risk management and treatment of PEPs, as well as their relatives and close associates, and their application of the FCA’s guidance FG17/6: The treatment of politically exposed persons for anti-money… [read post]
11 Oct 2007, 10:36 am
Ark-La-Tex Financial Services, LLC, Case No. 07-0444-CG-M, 2007 WL 2460753 (S.D. [read post]
16 Apr 2019, 4:32 pm
The mid-size southern city has been firmly financially rooted in a sprawling healthcare services industry and Christian book publishing since the 1980s, and has been growing for some time. [read post]
24 May 2007, 11:01 pm
As we approach the 12 June 2007 start date for AML/CTF compliance reporting obligations, AUSTRAC has produced a Self Assessment Questionnaire (SAQ) to assist the financial services sector, bullion dealers and gambling establishments meet their obligations under the incoming anti-money laundering and counter-terrorism financing system. [read post]
21 Nov 2017, 8:43 am
The FCA has published a guide to completing the application process to cancel a firm’s authorisation under Part 4A of the Financial Services and Markets Act 2000. [read post]
12 Jan 2010, 8:04 am
Lots of news today about a Congressional plan to create a special bankruptcy court for financial services firms. [read post]
20 Dec 2023, 7:54 am
On the webpage the FCA explains that a client bank is the name for a list of clients or accounts maintained by someone who provides financial services. [read post]
23 Feb 2022, 8:23 am
In this episode, Hannah Meakin and Albert Weatherill from the financial services team are joined by Verity Quartermain, a member of Norton Rose Fulbright’s IP and Technology disputes team, to discuss the recent attention around crypto advertising. [read post]
31 Oct 2018, 9:20 am
On 30 October 2018, the FCA published a Dear CEO letter, drawing attention to a number of pending civil claims in the High Court, together with the judgment handed down in the case of R (Berkeley Burke SIPP Administration Limited) v Financial Ombudsman Service Limited, which is still open to appeal by the claimant. [read post]
9 Jan 2019, 11:40 am
Florida Department of Financial Services Bureau of Insurance Fraud investigators arrested Jose Alberto Vargas for allegedly attempting to defraud Boat U.S. out of $14,000. [read post]
25 Feb 2009, 7:18 am
A friend of mine who works for Congress invited me to see Bernanke testify before the House Financial Services Committee. [read post]
3 Jul 2007, 10:39 am
A database manager at Fidelity National Information Services, a leading financial processing company, stole 2.3. million consumer records and sold them to a data broker, who then sold them to direct marketing companies, according to an announcement from Fidelity on Tuesday. [read post]
14 Mar 2012, 12:38 pm
What is most concerning about the bill is that it fails to acknowledge the financial implication of smart meter opt-outs. [read post]
9 Jan 2010, 3:00 am
Nina Olson released her annual report to Congress on Jan 6, warning that the IRS is less able to meet taxpayer's needs for services and that its collection practices are "harming financial struggling taxpayers without producing significant revenue gains". [read post]
6 Mar 2012, 6:59 am
The Planning Act 2008 (Commencement No. 2) (England) Order 2012 The National Health Service Pension Scheme and Injury Benefits (Amendment) Regulations 2012 The Syria (European Union Financial Sanctions) (Amendment) Regulations 2012 The Civil Courts (Amendment) Order 2012 The Environmental Permitting (England and Wales) (Amendment) Regulations 2012 The Control of Asbestos Regulations 2012 The Education (Induction Arrangements for School Teachers) (England) (Amendment) Regulations… [read post]
25 Jul 2011, 2:41 pm
., a communications and sales marketing consultancy that assists financial services firms create brand identities for their organizations and develop and implement effective new marketing strategies and programs. [read post]
5 Mar 2007, 1:32 pm
BOSTON--(BUSINESS WIRE)--Mirus Capital Advisors, a middle-market investment bank, announced today that it has advised Lextranet ®, a leading provider of hosted litigation support software, on its sale to Merrill Corporation, a global provider of technology-enabled services for the legal, financial, real estate and other corporate markets.Boston-based Lextranet offers a suite of advanced Web-based tools that help corporate and law firm attorneys review documents, manage… [read post]
22 Apr 2013, 11:25 am
On April 19, the FCA and PRA (who together have taken over the powers of the FSA) published their respective approaches to investigating and reporting on regulatory failure, as required under the Financial Services Act 2012 (FS Act). [read post]
8 Feb 2018, 4:15 am
The modification applies to a firm that is receiving employees from another part of their group who are being transferred as part of a ring-fencing transfer scheme under section 106B of the Financial Services and Markets Act 2000 (FSMA). [read post]
