Posts tagged with: "financial+services"
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26 May 2023, 7:05 am
On 26 May 2023, HM Treasury (HMT) published a policy paper outlining amendments to the Financial Services and Markets Bill (FSM Bill), concerning overseas central counterparties (CCPs). [read post]
18 Dec 2020, 5:07 pm
He has also been affiliated with Charter Advisory Corporation and Tavel Insurance & Financial Services, LLC. [read post]
1 Oct 2007, 10:00 am
On Thursday of last week, the House Committee on Financial Services held hearings on the SEC's access proposal. [read post]
10 Aug 2009, 9:08 pm
It begins by reviewing the current state of consumer protection in financial services and the criticisms of the current regulatory regime. [read post]
25 Jan 2023, 11:28 am
So, what is the problem with the Department of Financial Services investigators? [read post]
30 Jan 2018, 9:03 am
Our latest Brexit and Financial Services video is now available. [read post]
4 May 2008, 6:37 am
More of them are leaving the financial planning industry as reported by Plan Adviser citing a new report by Cerulli Associates, a research firm specializing in the financial service industry. [read post]
2 Jun 2009, 10:47 pm
"Currently, three committees exist at the EU level in the financial services sector, with advisory powers, the Committee of European... [read post]
16 May 2011, 3:35 pm
Consumer Protection, Legal Services, and Financial Stability: An Exchange, Melissa B. [read post]
11 Nov 2014, 9:13 am
As the new European Commission charts a path towards equity funding through securities offerings and away from the dominant bank funding, Financial Services Commissioner Lord Jonathan Hill said that he will launch a wide public consultation on the creation of a Capital Markets Union. [read post]
5 Mar 2008, 5:33 pm
These and other requirements and restrictions appear to accord less favorable treatment to foreign financial information services and service suppliers than that accorded Chinese financial information services and service suppliers which are not affected by these requirements and restrictions. [read post]
7 Mar 2015, 8:00 am
Firms that offer this new service also increase the likelihood of managing and... [read post]
2 Oct 2007, 7:00 am
The Royal Bank of Canada said on Tuesday it would buy the RBTT Financial Group, a banking and financial services group based in the Caribbean, for about $2.2 billion. [read post]
22 May 2018, 5:10 pm
Conducted primarily for the purpose of yielding illicit financial gain, cyber attacks against the financial services industry are increasing in sophistication and are often undetectable, global and instantaneous. [read post]
12 Jan 2012, 5:43 am
On January 5, the state Department of Public Welfare announced it will consolidate the number of organizations providing financial management services to Medicaid enrollees who receive home- and community-based services. [read post]
9 May 2012, 2:30 pm
The Government has released a report into Compensation arrangements for consumers of financial services. [read post]
8 Mar 2012, 7:00 am
In 2012, we no doubt will see the continuation of a significant trend towards the use of mediation to resolve financial services disputes. [read post]
21 Jun 2017, 11:23 am
FINRA Fines Sterne Agee Financial Services for Compliance Issues According to FINRA, Sterne Agee Financial Services (CRD #18456, Birmingham, Alabama) submitted an AWC in which the firm was censured and fined $122,500. [read post]
1 Sep 2012, 8:25 am
The SEC has issued a staff study on what investors want to know about financial professionals and financial intermediaries and investment products and services and when and how they want to receive such information. [read post]
12 Jul 2012, 6:32 am
The Florida Attorney General has initiated a lawsuit on behalf of the Florida Office of Financial Regulation ("FLOFR") against brokerage firm Prime Capital Services, Inc., headquartered in Poughkeepsie, New York, and Florida-based investment adviser, Asset & Financial Planning, Ltd. [read post]
