Posts tagged with: "financial+services"
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10 Jun 2011, 9:35 am
Steven Kobayashi, a former UBS Financial Services Advisor in Walnut Creek, California, has agreed to serve over 5 years in prison for securities fraud. [read post]
4 Apr 2019, 10:43 am
On April 2, 2019, the FDIC issued Financial Institution Letter FIL-19-2019 (the “Letter”) to remind financial institutions about certain contractual provisions and other requirements pertaining to technology service provider contracts. [read post]
12 Jul 2023, 9:13 am
Some noted that Big Tech firms’ incentives for entering or expanding in financial services may vary, depending on their ecosystem of core products and services. [read post]
25 Jun 2021, 7:01 am
Continue Reading › The post SSEK Law Firm Investigates Claims That Raymond James Financial Services Marketed Northstar Financial Services (Bermuda) Recommendations To Investors Through UNFCU appeared first on Investor Lawyers Blog. [read post]
9 Nov 2023, 9:51 am
The SI relates to the introduction of a new special resolution regime for CCPs under Schedule 11 of the Financial Services and Markets Act 2023. [read post]
12 Nov 2007, 9:32 pm
Press release, November 9, 2007: "The Financial Services Roundtable today unveiled the Blueprint for U.S. [read post]
8 Jan 2020, 6:38 am
“There is great synergy between KDV and Rick’s practices in consumer financial services, professional liability and commercial litigation,” said Michael A. [read post]
13 Feb 2014, 7:35 am
Many financial institutions outsource these functions, and such services would likely subject large financial institutions to similar CFPB scrutiny. [read post]
11 Oct 2007, 12:34 am
ASIC and Standards Australia have launched a new handbook, Reference Checking in the Financial Services Industry (pdf), which provides employers with a reference-checking framework that can be applied to financial advisers. [read post]
15 Aug 2013, 12:48 pm
At a hearing during the First Session of the 113thCongress held before the August recess examining Titles I and II of the Dodd-Frank Act and the attendant orderly liquidation authority for systemically important financial institutions, House Financial Services Committee Chair Jeb Hensarling (R-TX) said that there is a growing consensus that Dodd-Frank did not end too big to fail (TBTF) as applied to large, complex financial firms. [read post]
17 Feb 2021, 9:22 am
The post VALIC Financial Advisors (aka AIG Retirement Services) Settles With FINRA Following Investigation Into Variable Annuity Practices appeared first on Securities Arbitration Lawyers Blog. [read post]
19 Sep 2017, 4:15 am
The post Trump nominates financial services inventor Margaret Weichert to serve as OMB’s deputy director of management appeared first on IPWatchdog.com | Patents & Patent Law. [read post]
3 Aug 2012, 5:00 am
Mercedes-Benz Financial Services USA LLC, ___ Cal.App.4th ___ (Jun. 29, 2012; pub. ord. [read post]
26 Aug 2019, 1:15 pm
Financial services employers, though, like employers in other significantly public-facing industries, must address a broader array of concerns—ranging from threating behavior by clients, to domestic abuse spilling over into the workplace. [read post]
8 May 2018, 4:14 pm
On April 27, 2018, various financial regulators in China promulgated new measures further opening up the financial services industry to foreign investment, regulating non-financial entities investing in financial institutions and tightening up control over the conduct of asset management business by financial institutions. [read post]
11 Feb 2013, 11:18 am
Dukes,” was published in the January 2013 edition of Banking & Financial Services Policy Report. [read post]
21 Oct 2011, 3:59 pm
The Financial Services Committee will vote on a package of bills next week that will reduce SEC regulatory barriers to spur small business growth and job creation. [read post]
30 Nov 2011, 6:33 pm
The House Financial Services Committee has approved bi-partisan legislation clarifying that commercial end users would not be subject to margin requirements for uncleared swaps. [read post]
29 Mar 2011, 3:47 pm
Financial Ombudsman Service, Financial Services Authority and the Office of Fair Trading Consumer complaint (emerging risks and mass claims): Feedback... [read post]
5 Feb 2010, 12:55 pm
This week's job is another in-house position with one of Lateral Link's financial services clients. [read post]
