Posts tagged with: "financial+services"
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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]
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 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]
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]
25 Apr 2018, 8:44 am
Our latest financial services and Brexit video is now available here. [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]
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]
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]
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]
7 Jan 2016, 8:23 am
Brotman Financial Group Inc., a financial services firm whose professionals offer wealth management services to multi-generational families, announced that Kevin Appler, CFP has joined the firm as an associate adviser. [read post]
4 Apr 2011, 1:17 pm
ASIC has released updated versions of the following regulatory guides: Regulatory Guide 36 Licensing: Financial product advice and dealing (RG 36); Regulatory Guide 121 Doing financial services business in Australia (RG 121); Regulatory Guide 170 Prospective financial information (RG 170); Regulatory Guide 175 Licensing: Financial product advisers – conduct and disclosure (RG 175). [read post]
5 Aug 2009, 1:30 pm
Earlier this year NYCEDC and ESDC announced that the City and State would target up to $30 million of unused JCRP funds to reinforce efforts to solidify Lower Manhattan as the heart of the financial services industry and to attract financial services companies from overseas. [read post]
24 Oct 2022, 6:20 am
Pacific REGISTER HERE In the seventh installment of the 2022 Trade Secrets Webinar Series, Seyfarth attorneys will focus on trade secret and client relationship considerations in the banking and financial services industry. [read post]
1 Mar 2017, 7:19 am
Although targeted advertising might lead to a sale of a good or service, mere probabilities or possibilities fall short of demonstrating operations necessarily used in the practice, administration, or management of a financial product or service. [read post]
10 Feb 2017, 11:39 am
Delnero On Monday, Chairman Hensarling circulated a memorandum to the House Financial Service Committee Leadership Team suggesting key revisions to the CHOICE Act. [read post]
6 Mar 2019, 7:21 am
The House Financial Services Committee has updated its website to confirm that CFPB Director Kraninger is scheduled to appear at the Committee’s hearing tomorrow entitled “Putting Consumers First? [read post]
2 Nov 2017, 4:01 pm
The financial services team has published a new video on Brexit. [read post]
9 Mar 2015, 8:43 am
Richardson On Tuesday, March 3, CFPB Director Richard Cordray appeared before the House Financial Services Committee to answer questions regarding the Bureau’s Semi-Annual Report to Congress and the President, which it published on December 4 of last year. [read post]
