Posts tagged with: "financial+services"
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26 Jul 2023, 9:23 am
The FCA’s Financial Lives survey provides nationally representative data about consumers’ attitudes towards managing their money, the financial products they have and their experiences of engaging with financial services firms. [read post]
17 Nov 2017, 4:54 am
View David Davis speech on financial services after Brexit, 14 November 2017 [read post]
New York Department of Financial Services addresses cybersecurity risks from artificial intelligence
17 Oct 2024, 3:07 pm
On October 16, 2024, the New York Department of Financial Services (“NYDFS” or “DFS”) issued guidance raising awareness about combatting cybersecurity risks arising from artificial intelligence (“AI”) used by DFS licensees, such as insurers and virtual currency businesses. [read post]
20 Dec 2023, 8:07 am
On 25 November 2021, the European Commission (Commission) published a proposal for the Regulation establishing a European single access point (ESAP) providing centralised access to publicly available information of relevance to financial services, capital markets and sustainability. [read post]
21 Nov 2024, 1:14 am
The Financial Services Tribunal upheld the OPFA’s determination. [read post]
16 Jan 2019, 4:04 am
On 15 January 2019, the House of Commons’ Treasury Select Committee (the Committee) published written evidence submitted by the FCA as part of the Committee’s inquiry into consumer access to financial services (the Submission). [read post]
7 May 2012, 1:18 pm
On April 13, 2012 the Consumer Financial Protection Bureau (CFPB) issued Bulletin 2012-03 titled "Service Providers". [read post]
19 May 2021, 1:13 pm
Former SunTrust Advisory Services Investment Adviser Luisa Gonzales Unsuitably Recommended Northstar Bermuda Products A senior investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim seeking up to $500K in damages against Truist Investment Services for losses he suffered in Northstar Financial Services (Bermuda). [read post]
20 Oct 2008, 3:32 am
I do not doubt that behaviorally informed financial services regulation would be an improvement over our current model. [read post]
22 Feb 2018, 4:36 am
View The Financial Services and Markets Act 2000 (Benchmarks) (Amendment) Regulations 2018, 22 February 2018 [read post]
9 Jul 2012, 7:47 pm
In the wealth industry, “financial quarterback” is a cliché term for the idea that advisors coordinate a client’s other financial service providers. [read post]
21 Jul 2009, 5:48 pm
Barney Frank, Chair of the House Financial Services Committee, has announced that his committee's consideration of legislation establishing a Consumer Financial Protection Agency has been delayed from next week until September. [read post]
25 Jul 2019, 8:00 am
We Give Services with a Little Extra People are shy about discussing their financial wellness. [read post]
12 Jan 2023, 5:08 am
Contact local adult protective services, the police, and the senior’s financial institution. [read post]
31 Mar 2017, 2:34 am
View Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2017, 29 March 2017 View Transposition note to Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2017, 29 March 2017 View Impact assessment to Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2017, 29 March 2017 [read post]
28 Dec 2022, 8:55 am
This Article argues that it is time to recognize the policy failure in financial inclusion and give more serious consideration to a menu of stronger regulatory interventions: hard service mandates that impose cross-subsidization among consumers; taxpayer subsidies; and public provision of financial services. [read post]
21 May 2018, 11:26 am
Maryland SB 1068, titled the Financial Consumer Protection Act of 2018, represents a scaled down version of an attempt by state lawmakers to regulate student loan servicers. [read post]
23 Jun 2023, 6:05 am
On 23 June 2023, the Council of the European Union published a note containing its analysis with a view to agreement of the final compromise text of the proposed Directive concerning financial services contracts concluded at a distance and repealing Directive 2002/65/EC. [read post]
10 Mar 2023, 3:01 am
On 9 March 2023, the House of Commons’ Treasury Sub-Committee on Financial Services Regulations published a letter addressed to the FCA, following the FCA’s consultation on Sustainability Disclosure Requirements and investment labels. [read post]
18 Aug 2016, 2:54 pm
Just this month, UBS Financial Services, Inc. submitted a Letter of Acceptance, Waiver and Consent No. 2013038351701 (AWC) that detailed a $250,000 fine for failures in supervision regarding sales of mutual fund shares to investors. [read post]
