Posts tagged with: "financial+services" Results 101 - 120 of 82,486
Sorted by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
3 Oct 2016, 2:21 pm by Daily Record Staff
The PNC Financial Services Group announced that Stuart L. [read post]
12 Oct 2009, 5:38 pm
ASIC has issued Consultation Paper 121 seeking feedback on proposals for changes to online financial services disclosures. [read post]
7 Mar 2012, 6:24 am
The Law Library has just purchased access to the Financial Services Law Library database. [read post]
22 Sep 2022, 8:06 am by The White Law Group
IBN Financial Services Censured and Fined $30,000 for Supervisory Failures  According to a Letter of Acceptance, Waiver and Consent, the Financial Industry Regulatory Authority has reportedly censured and fined IBN Financial Services, Inc $30,000 for supervisory failures. [read post]
6 Sep 2022, 7:05 am by Jonathan Herbst (UK) and Glenn Hall
In our latest podcast on the Financial Services and Markets Bill, Jonathan Herbst and Glenn Hall cover the politics behind the Bill (Apple podcasts / Spotify). [read post]
21 Jan 2014, 8:45 am by John F. Fullerton III
  Below is an excerpt: The economy may be improving, but challenges remain for employers in the financial services industry. [read post]
21 Jan 2014, 8:45 am by John Fullerton III
  Below is an excerpt: The economy may be improving, but challenges remain for employers in the financial services industry. [read post]
The draft statutory instrument (SI) proposes to expand the scope of the financial promotion restriction in section 21 of the Financial Services and Markets Act 2000 (FSMA), by amending the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (2005/1529) (the FPO), to include financial promotions in respect of certain cryptoassets. [read post]
2 Mar 2009, 10:20 pm
In his speech to the 2009 ASIC Summer School, Impact of the Global Financial Crisis on the Corporations and Financial Services Regime, the Minister for Superannuation & Corporate Law described the actions and reforms the government is making in response to the crisis including: review of ratings agencies short selling reform national system to regulate all consumer credit APRA guidelines for executive remuneration [read post]
25 Apr 2018, 2:42 pm by Daily Record Staff
Dale Horn, a senior vice president in wealth managemen with UBS Financial Services Inc., was named to Forbes’ list of Best-in-State Wealth Advisers. [read post]
25 Aug 2023, 8:46 am by Anita Edwards and Taher Ahmed
On 25 August 2023, HM Treasury published Statutory Instruments (SI) 2023 No.937 Financial Services and Markets The Financial Services and Markets Act 2023 (Commencement No.3) (Amendment) Regulations 2023. [read post]
5 Apr 2017, 5:54 am
The growth of investment robo-advisors, web-based insurance exchanges, on-line credit comparison sites, and automated personal financial management services creates significant opportunities and risks for consumers that regulators across the financial services spectrum have yet even to assess, let alone address. [read post]
30 Aug 2022, 7:02 am by Simon Lovegrove (UK)
In our latest podcast on the Financial Services and Markets Bill, Simon Lovegrove and Emily Stone cover the Bill’s provisions on EU retained law (Apple podcasts / Spotify). [read post]
In this latest edition of Regulation Around the World we review recent steps that financial services regulatory authorities have taken as regards Environmental, Social and Governance measures focussing in particular on disclosures, greenwashing and taxonomy. [read post]
28 Nov 2023, 9:05 am by Simon Lovegrove (UK)
The Directive makes targeted modernising amendments to the DMD framework and extends certain rules in the CRD to financial services distance contracts. [read post]
25 Mar 2012, 8:25 am by Simon Lester
Of course, the Annex on Financial Services has this "prudential carve-out": 2. [read post]
15 Nov 2021, 8:40 pm by Simon Lovegrove (UK)
On 11 November 2021, there was published on the legislation.gov.uk website the Financial Services (Gibraltar) (Amendment) (EU Exit) Regulations 2021.These Regulations extend by 12 months the transitional arrangements under Parts 2 and 3 of the Financial Services (Gibraltar) (Amendment) (EU Exit) Regulations 2019, which enable specified categories of Gibraltar-based firms to provide financial services in the United Kingdom and facilitate the… [read post]
25 Jun 2009, 1:14 pm
The Minister for Financial Services, Superannuation and Corporate Law, Chris Bowen MP,has introduced the Corporations Legislation Amendment (Financial Services Modernisation) Bill 2009 into Parliament. [read post]
6 Feb 2008, 8:52 am
The American College, a non-profit institution that provides financial services education, has been tracking this matter. [read post]