Posts tagged with: "financial+services"
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22 Sep 2017, 7:44 am
The FCA has published Occasional Paper No. 31 on the ageing population and financial services. [read post]
19 Jul 2016, 9:59 am
On July 14, 2016 the European Commission published a summary of responses to the public consultation launched on December 10, 2015 relating to the Green Paper on retail financial services prepared by the Directorate-General for Financial Stability, Financial Services and Capital Markets Union. [read post]
29 Mar 2021, 12:04 pm
Continue reading The post Lake Forest, Illinois Financial Advisor Victor A. [read post]
16 Apr 2013, 4:00 pm
Last year, 60% of registered investment advisors and financial planners surveyed saw an increase in demand for trustee services. [read post]
2 Apr 2019, 4:59 am
In addition, we are pleased to be joined by Dashiell Caldwell, Deputy Director of Financial Services at HM Treasury who will discuss the UK’s future economic partnership for financial services. [read post]
13 Mar 2019, 3:18 am
In addition, we are pleased to be joined by Dashiell Caldwell, Deputy Director of Financial Services at HM Treasury who will discuss the UK’s future economic partnership for financial services. [read post]
14 Jul 2022, 8:46 am
The New York State Department of Financial Services (DFS) has issued an Industry Letter providing guidance on overdraft and non-sufficient funds (NSF) fees to depository institutions that it supervises. [read post]
26 Oct 2011, 2:08 pm
The full House Financial Services Committee has approved by voice vote and sent to the House floor two pieces of legislation increasing the number of investors permitted to hold shares in either a company or a community bank before the organization is required to register with the SEC or “go public. [read post]
13 Sep 2019, 6:52 am
Additionally, the Bureau alleges the defendants violated the Consumer Financial Protection Act by misrepresenting the expertise of those involved in preparing the materials, by taking advantage of consumers’ inability to understand the material risks, costs, and conditions of the services CFLA and Lehman were selling, and by providing financial services that were not in conformity with federal consumer financial law. [read post]
1 Mar 2017, 7:20 am
The Board denied institution of covered business method review of a patent directed to on-line or web-site registration, finding the patent was not directed to a financial product or service. [read post]
2 Jun 2008, 6:00 pm
Senator the Hon Nick Sherry, Minister for Superannuation and Corporate Law, has released a Green Paper on Financial Services and Credit Reform. [read post]
29 Nov 2023, 7:35 am
Financial abuse can take any of the following forms: Taking money without permission Failing to repay money that is owed Misrepresenting how money will be used Overcharging for services Any of these behaviors is a sure sign of financial elder abuse and should be reported to authorities. [read post]
27 Jun 2012, 1:36 pm
The impact of a breakup of the euro, whether by a large or small Eurozone member, will have significant consequences for US-headquartered financial services providers. [read post]
7 Jul 2020, 8:55 pm
On 2 July 2020, there was published in the Official Journal of the EU (OJ) the following Decisions of the EEA Joint Committee amending Annex IX (Financial Services) to the EEA Agreement: Decision 80/2019 of 29 March 2019 amending Annex IX (Financial Services) to the EEA Agreement [2020/830], which incorporates Delegated Regulations and Implementing Regulations relating to the Capital Requirements Directive IV (CRD IV) and the Capital Requirements Regulation (CRR).… [read post]
15 Nov 2006, 9:10 pm
The Parliamentary Secretary to the Treasurer has released the Corporate and Financial Services Regulation Review Proposals Paper. [read post]
28 Apr 2021, 7:38 am
The senior investor suffered losses when he invested $1.25M in Northstar Financial Services (Bermuda) at the recommendation of Hancock Whitney Investment Services broker, Robin Platt. [read post]
3 Mar 2022, 4:35 am
On 23 February 2022, the Financial Services Tribunal (FST) reinforced that an employee who does not have a “complaint” as provided for, in section 30A of the Pension Funds Act,1956 (PFA) cannot have recourse under the PFA. [read post]
5 Mar 2018, 1:35 pm
Silver Law Group is investigating claims against UBS Financial Services (“UBS”) New York-based stockbroker James Dillon (“Dillon”). [read post]
18 Jun 2009, 7:03 am
The full report, which calls for numerous reforms, including the creation of a Financial Services Oversight Council and heightened supervision of large, interconnected financial firms is available here. [read post]
22 Feb 2017, 1:17 pm
The Cybersecurity Requirements for Financial Services Companies (the Final Rule), promulgated by the New York Department of Financial Services, is the most specific cybersecurity regulation in the country to apply to companies that are not critical infrastructure operators. [read post]
