Posts tagged with: "financial+services"
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13 Apr 2017, 8:13 am
A “service provider” is generally defined in Section 1002(26)(A) of Dodd-Frank as “any person that provides a material service to a covered person in connection with the offering or provision by such covered person of a consumer financial product or service, including a person that: (i) Participates in designing, operating, or maintaining the consumer financial product or service; or (ii) Processes transactions… [read post]
17 May 2021, 9:03 am
Continue Reading › The post Ex-Cetera Investment Services Broker May Have Unsuitably Recommended Northstar Financial Services (Bermuda) to Customers appeared first on Investor Lawyers Blog. [read post]
28 Mar 2024, 10:31 am
(Federal law and the law in many jurisdictions already generally bans various kinds of financial discrimination based on race, religion, sex, and the like.) [read post]
18 Jul 2014, 12:08 pm
Our financial education strategy focuses on providing information and tools to help consumers navigate financial choices, and integrating financial capability training into other programs and services where consumers may be seeking assistance. [read post]
10 Apr 2017, 12:28 pm
She started out in the financial services industry as a retirement consultant, helping individuals ... [read post]
14 Aug 2008, 3:41 pm
Ameriprise Financial, the wealth management firm spun off by American Express, will buy H&R Block's financial advisory service for $315 million to expand in Florida, Texas and California. [read post]
27 Jun 2012, 8:10 pm
ASIC has released a revised version of Regulatory Guide 98 Licensing: Administrative action against financial services providers (RG 98) to assist participants in the financial services industry understand when and how ASIC may take administrative action such as a banning action. [read post]
3 Oct 2016, 7:37 pm
The information is based on administrative data that is collected from both traditional financial service providers like commercial banks, microfinance institutions, or other deposit-taking institutions, and providers of digital financial services such as mobile money. [read post]
12 Aug 2012, 7:34 am
The crisis came at the end of a decades-long transformation of the U.S. financial services sector that blurred the boundaries between banking and securities businesses. [read post]
23 Jun 2017, 9:06 am
View The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017, 22 June 2017 [read post]
7 Apr 2014, 12:21 pm
The House Financial Services Committee will question representatives of federal financial regulatory agencies during a hearing tomorrow entitled, “Who’s In Your Wallet: Examining How Washington Red Tape Impairs Economic Freedom. [read post]
20 Dec 2018, 1:40 am
On 19 December 2018, the FCA published a speech by Christopher Woolard (Executive Director of Strategy and Competition, FCA), Opening up and speaking out: diversity in financial services and the challenge to be met. [read post]
20 Aug 2023, 4:04 pm
Meanwhile APRA has revamped its prudential regulation, finalising the long awaited operating risk prudential standard CPS 230, publishing investment governance guidance and committing to an industry wide assessment of the cyber capability of the financial services regime. [read post]
7 Dec 2009, 11:01 am
Schapiro noted that as a result of last year's financial turmoil the country is undergoing a "financial services revolution. [read post]
3 Mar 2008, 6:22 am
/EU complaints against alleged Chinese restrictions on financial services are now official. [read post]
26 Apr 2021, 7:14 am
On April 5, the Consumer Financial Protection Bureau (CFPB) proposed rule changes intended to prevent avoidable foreclosures as emergency federal foreclosure protections put in place due to the global pandemic expire. [read post]
16 May 2016, 8:00 pm
It is not surprising that cyber criminals target financial services companies. [read post]
6 Apr 2010, 5:53 am
The Carlyle Group said on Tuesday that it has raised $1.1 billion for its first fund dedicated to acquiring financial services firms. [read post]
20 Oct 2023, 9:27 am
This gap for financial services has allowed credit unions and state-chartered banks to step in. [read post]
20 Oct 2023, 9:27 am
This gap for financial services has allowed credit unions and state-chartered banks to step in. [read post]
