Posts tagged with: "financial+services"
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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]
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 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]
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 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]
28 Oct 2020, 11:06 am
Harlan Cardwell III (Tra Cardwell) Prospera Financial Services Financial in Vernon, Texas According to the The Financial Industry Regulatory Authority (FINRA), the regulator reportedly barred ex-Prospera Financial Services advisor, Harlan Cardwell III in all capacities on May 3, 2019 after he failed to respond to FINRA’s December 14, 2018 request for information relating to his November 29, 2018 termination from his firm. [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]
29 Mar 2016, 7:54 am
Helene Raynaud has been named president and CEO at Baltimore-based Guidewell Financial Solutions, a national nonprofit agency offering free credit counseling, debt management, bankruptcy counseling and financial education. [read post]
9 Apr 2021, 3:07 pm
COVID-19 wreaked financial havoc on many Maryland families, prompting the state’s largest credit union, the State Employees Credit Union, to step in to help. [read post]
10 Aug 2023, 1:56 pm
Philip Riposo (Philip Anthony Riposo CRD# 400056) is a former broker and investment advisor last registered with United Planners’ Financial Services Of America A Limited Partner (CRD#:20804) of Cave Creek, AZ. [read post]
