Posts tagged with: "financial+services"
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26 Oct 2011, 10:49 am
With strong bi-partisan support building for crowdfunding legislation and the President calling for this form or capital raising, the full House Financial Services Committee approved legislation sanctioning crowdfunding to finance new businesses by allowing companies to accept and pool donations of up to $1 million, or $2 million in some cases, without registering with the SEC. [read post]
12 Jun 2011, 10:14 pm
ASIC will also be issuing best practice guidance for advertising financial products and services and credit products and services. [read post]
23 Mar 2016, 1:30 pm
Financial services companies are in an industry specifically targeted by the OFCCP and should expect more audits and greater scrutiny of their compensation practices. [read post]
10 Nov 2022, 8:51 pm
October has been a busy month for regulators with both ASIC and APRA releasing their reports on the 2021/22 financial year. [read post]
2 Sep 2021, 12:18 pm
The Guidance was intended to set regulatory expectations for financial institutions offering Internet-based financial services to both commercial and consumer customers. [read post]
2 Jul 2018, 4:25 am
The Regulations also make minor amendments to certain statutory instruments implementing MiFID II in the UK: the Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2017, the Data Reporting Services Regulations 2017, the Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 and the Financial Services and Markets Act 2000 (Markets in Financial… [read post]
11 Jun 2021, 7:11 am
He is suspected of having funneled funds from Northstar Financial Services (Bermuda) to his other companies. [read post]
19 Dec 2022, 10:58 am
The comparison chart should inform consumers more effectively about the financial service provided to them and allows consumers to easily compare different financial services providers. [read post]
19 Aug 2022, 7:31 am
It is my pleasure to introduce to our blog readers the newest member of our growing Consumer Financial Services Group: Abigail Pressler. [read post]
1 Apr 2019, 12:50 pm
She will also employ her familiarity with e-commerce/mobile payments, data analytics, and other Fintech areas in our Consumer Financial Services Group. [read post]
15 Sep 2015, 4:00 pm
Financial planners should understand... [read post]
18 Nov 2019, 11:17 pm
The National Adult Protective Services Assoc (NAPSA) and the Philly Corp. on Aging have released National Guidelines for Financial Institutions: Working Together to Protect Older Persons from Financial Abuse. [read post]
23 Sep 2009, 1:07 pm
Geithner, Written Testimony before the House Financial Services Committee, on Financial Regulatory Reform (Sept. 23, 2009): At a minimum, reform must achieve these critical objectives: It must provide substantial new protections for consumers and investors. [read post]
15 Oct 2007, 12:44 pm
This is interesting given Australia's commitment to its 3 pillars of financial services regulation (Reserve Bank, APRA, ASIC). [read post]
29 May 2007, 3:43 pm
2007 FSR Update Web Seminar:Wednesday 20 June 2007 at 11am -12 noon Australian Eastern Time The Financial Services Regulation provisions of the Corporations Act require financial service providers to be licensed and comply with strict disclosure obligations. [read post]
19 Sep 2011, 2:33 pm
The Financial Industry Regulatory Authority (FINRA) recently fined UBS Financial Services, Inc. $2.5 million, and required the firm to pay $8.25 million in restitution to customers. [read post]
16 Dec 2022, 11:34 am
Jeffrey Newman is a whistleblower lawyer with the firm Newman & Shapiro and he can be reached at jnewman@newmanshapiro.com or at 978-880-4758 The post Securities and Exchange commission charges financial services professional and associate in $47 Million front running scheme appeared first on Newman & Shapiro. [read post]
8 Dec 2021, 8:45 pm
On 7 December 2021, there was published on the legislation.gov.uk website The Financial Services Act 2021 (Prudential Regulation of Credit Institutions and Investment Firms) (Consequential Amendments and Miscellaneous Provisions) Regulations 2021 together with an explanatory memorandum. [read post]
26 Jul 2017, 12:07 pm
A report prepared by the Democratic staff of the House Financial Services Committee takes aim at Republicans for “attempt[ing] to ensure that the country reverts back to a big bank-oriented regulatory environment and to ‘functionally terminate’ the [CFPB]. [read post]
22 Oct 2024, 12:38 pm
El evento Puerto Rico Financial Services Forum está dirigido a profesionales de la industria bancaria y de seguros. [read post]
