Posts tagged with: "financial+services"
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17 Feb 2025, 4:55 am
On 13 February 2025, the Office of Financial Sanctions Implementation (OFSI) published its Financial Services Threat Assessment Report. [read post]
5 Nov 2009, 11:10 am
House Financial Services Committee Passes Legislation Reforming SEC, PCAOB and SIPC OversightThe House Financial Services Committee has passed legislation reforming the SEC to strengthen its powers, better protect investors, and efficiently and effectively regulate the securities markets. [read post]
8 Mar 2024, 2:51 am
Background The Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (FPO) contains exemptions from the restriction on communicating financial promotions, including exemptions that enable financial promotions for unlisted companies to be made to high-net-worth individuals and self-certified sophisticated investors. [read post]
6 Feb 2020, 12:59 pm
Transforming Paradigms – A Global AI in Financial Services Survey: “This report presents the findings of a global survey on AI in Financial Services jointly conducted by the Cambridge Centre for Alternative Finance (CCAF) at the University of Cambridge Judge Business School and the World Economic Forum in Q2-Q3 2019. [read post]
17 Mar 2011, 4:25 am
The International Network of Financial Services Ombudsman Schemes will hold its sixth annual meeting in Vancouver, British Columbia on September 19-22, 2011. [read post]
2 Jul 2024, 7:44 am
The post Provider Advocates Launches New Financial Services Website appeared first on PaperStreet. [read post]
22 Jul 2010, 8:45 am
ABSTRACT: The central role of financial services in the drama of the economic crisis that... [read post]
22 Jul 2010, 8:45 am
ABSTRACT: The central role of financial services in the drama of the economic crisis that... [read post]
11 Dec 2017, 2:07 pm
Stoffels CRD# 5891072 Silver Law Group is investigating former Dallas, Texas UBS Financial Services broker Clint H. [read post]
28 Jan 2015, 12:48 pm
Mishkin The Financial Services Roundtable and CFPB are joining forces in a nationwide public-private initiative to promote effective financial education. [read post]
7 Jul 2023, 8:01 am
On 7 July 2023, the text of Financial Services and Markets Act was published. [read post]
8 Jun 2010, 8:18 am
A handful of lobbying firms have dominated the business of representing financial services firms in their efforts to battle an overhaul of regulations governing the industry, according to an analysis by the Center for Public Integrity. [read post]
7 Aug 2018, 12:48 pm
Dan Altman has joined the Pikesville office of Homebridge Financial Services Inc. as a mortgage loan originator. [read post]
14 Jan 2019, 1:10 pm
John Maloney (CRD #726108) has been employed by Woodbury Financial Services Inc. since June 2016. [read post]
29 Oct 2015, 11:30 am
Evans, University of New South Wales (UNSW) Faculty of Law; ThinkEvans Pty Ltd, Deborah Healey, University of New South Wales (UNSW) - Faculty of Law, Marina Nehme, UNSW Australia and Rob Nicholls examine Competition in Financial Services. [read post]
12 Jan 2018, 2:37 am
On 7 March 2016 the Senior Managers and Certification Regime (SM&CR) was introduced to improve accountability in the financial services sector. [read post]
11 Aug 2022, 8:28 am
On 11 August 2022, the House of Commons’ Treasury Committee published a letter from the Bank of England (BoE) regarding the Financial Services and Markets Bill. [read post]
3 Oct 2011, 8:05 pm
Arrow Financial Services. [read post]
14 Aug 2018, 6:13 am
Stoltmann Law Offices continues to investigate Anthony Diaz, a broker with IBN Financial Services in Pennsylvania. [read post]
15 Sep 2022, 9:12 pm
Notably, ASIC announced an extension of the transitional relief for foreign financial services providers from the requirement to hold an Australian Financial Services licence. [read post]
