Posts tagged with: "financial+services"
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17 Sep 2020, 10:57 am
Also, Receiving FA services the Financial Advisor Succession Accounts as a participant under the Agreement, and generally if Receiving FA departs the Firm for any reason during the Post-Retirement Period, then generally the Firm will re-assign the Financial Advisor Succession Accounts for servicing to another receiving FA so Post-Retirement Payments can continue until the end of the Post-Retirement Period. [read post]
3 Feb 2022, 7:16 am
Based on his work at the intersection of technology and financial services, Todd shares his perspective on how this new environment is likely to impact providers of various types of consumer financial services, particularly non-bank fintech companies. [read post]
20 May 2013, 5:47 am
Primerica Financial Services is a multi-level marketing company that sells life insurance and investments. [read post]
29 Jan 2020, 9:37 am
On 28 January 2020, there was published on the legislation.gov.uk website, the Financial Services (Consequential Amendments) Regulations 2020 (the Regulations), together with an explanatory memorandum. [read post]
25 Nov 2020, 8:55 pm
The comparative guide, Senior management responsibility in financial services, allows clients to better understand how senior management responsibility in different types of financial services firm other than insurers is being treated in different jurisdictions around the world. [read post]
13 Nov 2013, 10:56 am
The law states that “any person having reasonable cause to believe that a disabled adult is in need of protective services shall report such information. [read post]
12 Apr 2014, 8:05 pm
Via American Banker: “The Federal Financial Institutions Examination Council said Thursday that it expects “financial institutions to incorporate patches on systems and services, applications, and appliances using OpenSSL and upgrade systems as soon as possible to address the vulnerability. [read post]
18 Jun 2013, 1:20 pm
Deloitte Financial Advisory Services agreed to a one-year suspension from consulting work at financial institutions regulated by the New York State Dept. of Financial Services because of alleged misconduct during its consulting work at Standard Chartered on anti-money laundering issues.... [read post]
25 Oct 2019, 6:31 am
The EBA explains that the DMFSD was established to provide a legal framework governing the distance marketing of financial services. [read post]
2 Mar 2010, 1:34 am
The Financial Services Authority (FSA) issued a Dear CEO letter (the Letter) on 23 February 2010 stating that it was concerned that many insurance intermediaries could not demonstrate that they had adequate financial resources.The Letter notes that this failure has caused some firms to underestimate future demands on them which in turn required additional funding to be injected into the regulated firm. [read post]
2 Mar 2010, 1:34 am
The Financial Services Authority (FSA) issued a Dear CEO letter (the Letter) on 23 February 2010 stating that it was concerned that many insurance intermediaries could not demonstrate that they had adequate financial resources.The Letter notes that this failure has caused some firms to underestimate future demands on them which in turn required additional funding to be injected into the regulated firm. [read post]
29 Mar 2024, 11:47 am
Wilhelm was previously registered with Fortune Financial Services and Truist Investment Services, and that he previously had offices in Roanoke, Virginia, Moneta, Virginia, and Lynchburg, Virginia. [read post]
26 Jan 2009, 1:36 pm
Immediately report any instance of elder abuse to Adult Protective Services or the police department. [read post]
6 Mar 2018, 5:52 am
The post Ameriprise Financial Services Allegedly Overcharges Retirement Customers appeared first on White Securities Law. [read post]
21 Mar 2022, 10:00 pm
On March 11, 2022, the UK Financial Conduct Authority (FCA), the Bank of England, and the Office of Financial Sanctions Implementation (OFSI) released a joint statement reiterating that all UK financial services firms, including the cryptoasset sector, are expected to ensure compliance with economic sanctions. [read post]
29 Sep 2009, 10:41 am
On September 30, 2009, the House Financial Services Committee, chaired by Representative Barney Frank, will hold hearings on H. 3126, titled "the Consumer Financial Protection Act" which would create an independent Consumer Financial Protection Agency. [read post]
21 Mar 2022, 10:00 pm
On March 11, 2022, the UK Financial Conduct Authority (FCA), the Bank of England, and the Office of Financial Sanctions Implementation (OFSI) released a joint statement reiterating that all UK financial services firms, including the cryptoasset sector, are expected to ensure compliance with economic sanctions. [read post]
21 Mar 2022, 10:00 pm
On March 11, 2022, the UK Financial Conduct Authority (FCA), the Bank of England, and the Office of Financial Sanctions Implementation (OFSI) released a joint statement reiterating that all UK financial services firms, including the cryptoasset sector, are expected to ensure compliance with economic sanctions. [read post]
21 Mar 2022, 10:00 pm
On March 11, 2022, the UK Financial Conduct Authority (FCA), the Bank of England, and the Office of Financial Sanctions Implementation (OFSI) released a joint statement reiterating that all UK financial services firms, including the cryptoasset sector, are expected to ensure compliance with economic sanctions. [read post]
21 Mar 2022, 10:00 pm
On March 11, 2022, the UK Financial Conduct Authority (FCA), the Bank of England, and the Office of Financial Sanctions Implementation (OFSI) released a joint statement reiterating that all UK financial services firms, including the cryptoasset sector, are expected to ensure compliance with economic sanctions. [read post]
