Posts tagged with: "financial+services"
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1 Jul 2022, 11:49 am
In UK Financial Regulators to Oversee Critical Third Parties, our colleagues Lee Rubin and Mark Booth discuss the proposed new regime that will grant UK federal regulators a range of powers over third parties that provide critical services to the financial sector. [read post]
19 Jan 2021, 6:00 pm
For years, they have struggled to access basic financial services—regardless of how successful, promising, or financially sound the particular company is. [read post]
28 May 2017, 9:30 pm
Some of the problems that plague the financial services industry in its current, human-based form are likely to persist in dealings with robo-advisors. [read post]
12 Nov 2020, 10:39 am
On 5 November, the Financial Conduct Authority, the UK’s financial services regulator, permanently banned three men convicted of non-financial criminal offences from ever working in the financial services industry, on the basis that they do not meet criteria defining a fit and proper person. [read post]
11 Apr 2012, 8:34 am
He has assisted financial institutions in: the development of financial products and services; the purchase and sale of assets; the resolution of regulatory issues raised by federal and states agencies; and the implementation of risk management strategies. [read post]
9 Jul 2014, 3:10 pm
Finance is part of everyday life for many 15-year-olds, who are already consumers of financial services, such as bank accounts. [read post]
23 Mar 2017, 8:01 am
The European Commission has published its long-awaited Action Plan on Retail Financial Services. [read post]
14 Feb 2012, 1:50 pm
Who it applies to ASIC’s guidance applies to: • promoters of financial products and financial advice services. [read post]
5 Mar 2020, 1:13 pm
UBS Financial Services Inc. announced seven financial advisers from its Baltimore and Hunt Valley offices have been named to Forbes’ 2020 list of America’s Best-In-State Wealth Advisers: Bart Gibson, senior vice president-wealth management; Sean Hagerty, senior vice president-wealth management; Kyle Harris, senior vice president-wealth management; Dale Horn, senior vice president- wealth management, Brian Doak, senior ... [read post]
27 Aug 2018, 10:36 am
He was previously employed by UBS financial services inc. [read post]
31 Aug 2018, 1:25 pm
Continue reading The post Silver Law Group has filed a FINRA Arbitration Against MetLife Securities / MSI Financial Services and ELE Wealth Advisors Concerning Selling Away Claims appeared first on Securities Arbitration Lawyers Blog. [read post]
25 Jul 2024, 9:09 am
” The draft RTS: Sets out requirements when the use of subcontracted ICT services supporting critical or important functions or material parts thereof by ICT third-party service providers is permitted by financial entities and set out the conditions applying to such subcontracting. [read post]
1 Aug 2012, 2:43 am
A friendly reminder that the AALS Program for the Securities Regulation and Financial Institutions/Consumer Financial Services Sections is fast approaching. [read post]
6 Feb 2012, 4:40 am
If passed, the Bill will abolish the Financial Services Authority and create a new regulatory architecture consisting of the Financial Policy Committee (a committee of the Bank of England with responsibility for macro-prudential oversight of the regulatory system), the Prudential Regulation Authority (with responsibility for prudential oversight of banks, insurers and major broker dealers) and the Financial Conduct Authority (with responsibility for market… [read post]
6 Sep 2020, 10:18 am
Consumer Financial Services Law. [read post]
10 Mar 2022, 7:15 am
The CFPB’s recently-issued request for information takes aim at what the CFPB labels “junk fees” charged by consumer financial services providers. [read post]
1 Mar 2008, 9:45 pm
The Minister for Superannuation and Corporate Law, Senator the Hon Nick Sherry, has announced that the Financial Services Working Group will initially focus its efforts on the development of a short form disclosure document for the First Home Saver Account.A timetable will be established for other products. [read post]
5 Apr 2019, 3:47 am
You can track the financial services Brexit EU Exit statutory instruments (as well as gain access to our Brexit resources) on our Brexit Pathfinder hub. [read post]
18 Dec 2007, 1:02 pm
The UK Financial Services Authority (FSA) has fined Norwich Union Life £1.26 million (AUD 2.95M) for not having effective systems and controls in place to protect customers' confidential information and manage its financial crime risks. [read post]
8 Jun 2022, 5:18 pm
This case provides a useful illustration of how the reforms introduced on 13 March 2019 as a result of the Financial Services Royal Commission, extend to cyber risk. [read post]
