Posts tagged with: "financial+services"
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14 Feb 2007, 8:00 am
Nationwide Building Society, a U.K. financial services provider, has been fined $1.9 million after a laptop containing sensitive customer data was stolen from an employee. [read post]
29 Nov 2023, 7:35 am
Financial abuse can take any of the following forms: Taking money without permission Failing to repay money that is owed Misrepresenting how money will be used Overcharging for services Any of these behaviors is a sure sign of financial elder abuse and should be reported to authorities. [read post]
14 Oct 2014, 5:05 am
Most of these statutes, however, provide important exceptions for certain types of financial services industry employers, and / or recognize that financial services employers may have certain criminal background screening obligations imposed by federal law or FINRA The pace of monetary awards by SEC under the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) whistleblower program has increased in 2014; the most recent of… [read post]
14 Oct 2014, 5:05 am
Most of these statutes, however, provide important exceptions for certain types of financial services industry employers, and / or recognize that financial services employers may have certain criminal background screening obligations imposed by federal law or FINRA The pace of monetary awards by SEC under the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) whistleblower program has increased in 2014; the most recent of… [read post]
3 Feb 2020, 9:33 am
On Wednesday, February 5, the House Financial Services Committee will hold the first part of a two-part hearing on “rent-a-bank” structures. [read post]
31 Jan 2024, 8:12 am
The draft SI is intended to support the operationalisation of the Overseas Funds Regime (OFR), the new equivalence regime to recognise overseas funds under section 271A of the Financial Services and Markets Act (FSMA) 2000, which was legislated for in the Financial Services Act 2021. [read post]
7 Apr 2025, 9:43 am
Thurston Springer Financial Supervisory Failures Thurston Springer Financial, a full-service broker-dealer based in Indianapolis, has reportedly agreed to a $150,000 fine and a censure as part of a settlement with FINRA for a series of compliance and supervisory failures on March 31st, 2025. [read post]
28 Sep 2014, 3:50 pm
Available at SSRN: http://ssrn.com/abstract=2500767 “London dominates the European financial services industry, being the centre-point for advanced financial services, skilled labour, and the complex array of services needed to invest beyond Europe’s borders. [read post]
5 Jun 2024, 8:20 am
Therefore in this note, we set out some of the key developments we expect to see in the area of financial services in the course of the upcoming legislature. [read post]
8 Mar 2019, 5:00 am
Yesterday’s hearing on the CFPB held by the House Financial Services Committee highlighted the continuing partisan divide over the CFPB’s implementation of its consumer protection mission but with Democratic and Republican committee members switching roles from those taken at the hearings at which former Director Cordray appeared. [read post]
16 Feb 2023, 9:47 am
DeFi emerges primarily as a crypto-based alternative and competitive peer-to-peer/pool marketplace of financial services, covering various activities like trading, borrowing, or lending, so far overwhelmingly within the crypto-asset space. [read post]
23 Oct 2020, 5:40 am
The Greensboro and High Point area is fortunate to be served by Family Service of the Piedmont, a local non-profit agency providing families and individuals affordable services in dealing with domestic violence, mental health, child abuse, and financial stability issues. [read post]
7 May 2019, 7:20 am
On 3 May 2019, the FCA announced that it had launched the Financial Services Regulatory Partners Phoenixing Group, in a bid to tackle the ongoing issue of phoenixing in financial services. [read post]
3 Sep 2020, 4:30 pm
Michael Mahon was named chief financial officer of Penn-Mar Services, a provider of services for people with intellectual and developmental disabilities. [read post]
1 Mar 2012, 6:45 am
Christopher Flowers tells the Super Return private equity conference that valuations for financial assets in the euro zone were currently the lowest he had seen in his entire career. [read post]
6 Nov 2019, 11:27 am
Click here for a complete description of PLI’s 24th Annual Consumer Financial Services Institute and to reserve your place today. [read post]
27 Jul 2022, 5:57 pm
Merrill brings more than 30 years of experience working in the financial services industry. [read post]
29 Jun 2023, 11:32 am
The speech discusses the FCA’s growth and competitiveness objective under the new Financial Services and Markets (FSM) Act. [read post]
2 May 2024, 7:45 am
On 25 April 2024, the Financial Conduct Authority (FCA) published a letter that it sent to the House of Lords Financial Services Regulation Committee (FSRC) regarding its proposed changes, set out in Consultation Paper CP24/2, to its approach to publicising enforcement investigations. [read post]
7 Jan 2008, 12:25 pm
The University of Connecticut School of Law is hosting a Junior Scholar Workshop on Banking and Cosnumer Financial Services Law on May 28-29th. [read post]
