Posts tagged with: "financial+services"
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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]
29 Oct 2020, 7:44 am
We are joined by special guest Isaac Boltansky, Director of Policy Research at Compass Point Research & Trading, for a discussion of the potential implications for the consumer financial services industry should Joe Biden win the Presidency and Democrats win control of the Senate while retaining control of the House. [read post]
17 Aug 2017, 8:54 am
This is the danger and what is concerning in regard to what we are seeing with CPA and Financial Service firms. [read post]
12 Mar 2009, 8:31 am
On Tuesday of this week, Senators Chuck Schumer and Dick Durbin introduced Senate Bill 566, which would create a new government agency, the Financial Product Safety Commission, to help consumers obtain financial products and services without being subject to predatory or deceptive financial practices. [read post]
15 May 2024, 3:07 am
On 14 May 2024, the House of Lords Financial Services Regulation Committee (FSRC) published a letter it received from Nikhil Rathi, the Chief Executive of the Financial Conduct Authority (FCA), concerning reforms to the cost disclosure regime for investment trusts. [read post]
14 Feb 2007, 8:00 am
Nationwide Building Society, a U.K. financial services provider, has been fined $1.9 million after a laptop containing sensitive customer data was stolen from an employee. [read post]
24 May 2021, 1:21 pm
Recovery of Investment Losses involving Northstar Financial Services (Bermuda) LTD Did your broker recommend an investment in Northstar Financial Services (Bermuda) LTD? [read post]
14 Oct 2014, 5:05 am
Most of these statutes, however, provide important exceptions for certain types of financial services industry employers, and / or recognize that financial services employers may have certain criminal background screening obligations imposed by federal law or FINRA The pace of monetary awards by SEC under the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) whistleblower program has increased in 2014; the most recent of… [read post]
14 Oct 2014, 5:05 am
Most of these statutes, however, provide important exceptions for certain types of financial services industry employers, and / or recognize that financial services employers may have certain criminal background screening obligations imposed by federal law or FINRA The pace of monetary awards by SEC under the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) whistleblower program has increased in 2014; the most recent of… [read post]
3 Feb 2020, 9:33 am
On Wednesday, February 5, the House Financial Services Committee will hold the first part of a two-part hearing on “rent-a-bank” structures. [read post]
8 Mar 2019, 5:00 am
Yesterday’s hearing on the CFPB held by the House Financial Services Committee highlighted the continuing partisan divide over the CFPB’s implementation of its consumer protection mission but with Democratic and Republican committee members switching roles from those taken at the hearings at which former Director Cordray appeared. [read post]
7 Oct 2019, 12:48 pm
The post UBS Financial Services Censured & Fined $2,000,000 appeared first on The White Law Group. [read post]
31 Jan 2024, 8:12 am
The draft SI is intended to support the operationalisation of the Overseas Funds Regime (OFR), the new equivalence regime to recognise overseas funds under section 271A of the Financial Services and Markets Act (FSMA) 2000, which was legislated for in the Financial Services Act 2021. [read post]
Operational resilience, banks and financial institutions: What does this mean for service contracts?
27 May 2020, 8:55 pm
Our outsourcing and financial services teams have just published a client briefing exploring how the UK’s proposed operational resilience regulatory framework will impact contractual relationships between regulated firms operating in the financial services sector and their service providers. [read post]
7 Apr 2008, 12:41 pm
From 1 July 2008 the dispute resolution function currently conducted by the Banking and Financial Services Ombudsman ("BFSO") will be conducted by a new company, Financial Ombudsman Service Limited ("FOS"), which will merge BFSO's operations with those of the Insurance Ombudsman Service ("IOS") and the Financial Industry Complaints Service ("FICS"). [read post]
1 Jul 2012, 12:10 pm
ASIC has released updated policy guidance about its approach to facilitating cross-border financial regulation to assist foreign providers of financial facilities, services and products that wish to operate in Australia. [read post]
23 Oct 2020, 5:40 am
The Greensboro and High Point area is fortunate to be served by Family Service of the Piedmont, a local non-profit agency providing families and individuals affordable services in dealing with domestic violence, mental health, child abuse, and financial stability issues. [read post]
16 Feb 2023, 9:47 am
DeFi emerges primarily as a crypto-based alternative and competitive peer-to-peer/pool marketplace of financial services, covering various activities like trading, borrowing, or lending, so far overwhelmingly within the crypto-asset space. [read post]
5 Jun 2024, 8:20 am
Therefore in this note, we set out some of the key developments we expect to see in the area of financial services in the course of the upcoming legislature. [read post]
6 Nov 2019, 11:27 am
Click here for a complete description of PLI’s 24th Annual Consumer Financial Services Institute and to reserve your place today. [read post]
