Posts tagged with: "financial+services" Results 81 - 100 of 63,826
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25 Sep 2012, 8:41 am by Alexis Yee-Garcia
On September 20, 2012, the Financial Services Roundtable (FSR), a trade organization representing the 100 largest financial services companies in the country, announced that former Minnesota Governor Tim Pawlenty will become its new President and Chief Executive Officer on November 1. [read post]
13 Sep 2014, 1:22 pm by James Hamilton
In a groundbreaking move, the new European Commission will have a Commissioner for Financial Services, Financial Stability and Capital Markets, with complete oversight of securities and banking regulation across the E.U. [read post]
31 Jul 2012, 3:12 pm by Nathalie Martin
The crisis came at the end of a decades-long transformation of the U.S. financial services sector that blurred the boundaries between banking and securities businesses.  [read post]
1 Jul 2013, 5:59 am by By MICHAEL J. DE LA MERCED
Intuit is selling its financial services division, which provides online and mobile banking software to banks and credit unions, but will retain Mint.com, the popular personal finances tracking service, and its Open Financial Exchange connectivity unit. [read post]
22 May 2010, 10:59 am by laborprof lpb
Whistleblower Law Blog has a detailed description of the whistleblower provisions of the financial services industry bill. [read post]
9 Aug 2013, 5:00 am by JA Hodnicki
Daniel Sokol Thomas Franchoo, Niels Baeten and Shane Cranley (Linklaters) describe The Application of European Competition Law in the Financial Services Sector. [read post]
15 Nov 2018, 11:30 am by D Daniel Sokol
Fabio Falconi and Lars Suhr describe The Application of European Competition Law in the Financial Services Sector. [read post]
11 Jul 2012, 6:00 am by JA Hodnicki
Daniel Sokol Thomas Franchoo and Marcus Pollard (both Linklaters) describe The Application of European Competition Law in the Financial Services Sector. [read post]
28 Jan 2018, 7:54 pm by Adam Levitin
This Tuesday I'm going to be testifying about "fintechs" before the House Financial Services Committee's Subcommittee on Financial Institutions and Consumer Credit. [read post]
1 Dec 2014, 12:31 pm by Heather Jarvis
Vol. 43 No. 4 The post Proceed with Caution: Evaluating Financial Planning Services appeared first on ABA for Law Students. [read post]
1 Dec 2014, 12:31 pm by Heather Jarvis
Vol. 43 No. 4 The post Proceed with Caution: Evaluating Financial Planning Services appeared first on ABA for Law Students. [read post]
24 Sep 2016, 7:23 am
On Sept. 13, 2016, the New York State Department of Financial Services (“NYDFS”) issued a proposed regulation that would impose new, rigorous cybersecurity requirements on banks, consumer lenders, money transmitters, insurance companies and certain other financial service providers (each, a “Covered Entity”) regulated by the NYDFS (the “Proposed Regulation”). [read post]
2 Aug 2018, 1:04 pm by Fitapelli Kurta
Continued The post FINRA Orders UBS Financial Services to Pay $250,000 in Puerto Rico Bond Case appeared first on Stock Fraud News & Information. [read post]
15 Feb 2016, 10:09 am by rexsecuritieslaw
  On February 5, 2016, MidAmerica Financial Services entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from 2010-2014, MidAmerica Financial Services failed to commit sufficient time, attention and resources to compliance and supervision. [read post]
16 Jul 2009, 3:48 pm
Download   In that case, Arrow Financial Services asked the court for a default judgment. [read post]
9 Jan 2017, 1:06 pm by Fitapelli Kurta
Public records published by the Financial Industry Regulatory Authority (FINRA) on January 9, 2017 indicate that New Jersey-based brokerage firm Tullett Prebon Financial Services has been sanctioned by FINRA. [read post]