Posts tagged with: "financial+services"
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6 May 2019, 7:50 am
This past Wednesday the House Committee on Financial Services’ Subcommittee on Oversight and Investigations held a hearing titled “Examining Discrimination in the Automobile Loan and Insurance Industries. [read post]
14 Feb 2012, 1:50 pm
Who it applies to ASIC’s guidance applies to: • promoters of financial products and financial advice services. [read post]
1 Jul 2022, 11:49 am
In UK Financial Regulators to Oversee Critical Third Parties, our colleagues Lee Rubin and Mark Booth discuss the proposed new regime that will grant UK federal regulators a range of powers over third parties that provide critical services to the financial sector. [read post]
23 Mar 2017, 8:01 am
The European Commission has published its long-awaited Action Plan on Retail Financial Services. [read post]
1 Aug 2012, 2:43 am
A friendly reminder that the AALS Program for the Securities Regulation and Financial Institutions/Consumer Financial Services Sections is fast approaching. [read post]
9 Aug 2023, 9:28 am
This service help employees achieve financial goals, manage financial resources, and improve financial literacy. [read post]
19 Jan 2021, 6:00 pm
For years, they have struggled to access basic financial services—regardless of how successful, promising, or financially sound the particular company is. [read post]
23 Dec 2018, 3:11 pm
While connecting a loved one with support services is the priority when their memory is beginning to fade from age, formation or modification of financial and estate planning to meet their needs during their last years is often a key family decision. [read post]
5 Apr 2019, 3:47 am
You can track the financial services Brexit EU Exit statutory instruments (as well as gain access to our Brexit resources) on our Brexit Pathfinder hub. [read post]
9 Jul 2014, 3:10 pm
Finance is part of everyday life for many 15-year-olds, who are already consumers of financial services, such as bank accounts. [read post]
11 Apr 2012, 8:34 am
He has assisted financial institutions in: the development of financial products and services; the purchase and sale of assets; the resolution of regulatory issues raised by federal and states agencies; and the implementation of risk management strategies. [read post]
5 Mar 2020, 1:13 pm
UBS Financial Services Inc. announced seven financial advisers from its Baltimore and Hunt Valley offices have been named to Forbes’ 2020 list of America’s Best-In-State Wealth Advisers: Bart Gibson, senior vice president-wealth management; Sean Hagerty, senior vice president-wealth management; Kyle Harris, senior vice president-wealth management; Dale Horn, senior vice president- wealth management, Brian Doak, senior ... [read post]
6 Feb 2012, 4:40 am
If passed, the Bill will abolish the Financial Services Authority and create a new regulatory architecture consisting of the Financial Policy Committee (a committee of the Bank of England with responsibility for macro-prudential oversight of the regulatory system), the Prudential Regulation Authority (with responsibility for prudential oversight of banks, insurers and major broker dealers) and the Financial Conduct Authority (with responsibility for market… [read post]
9 Jan 2025, 3:04 am
The remainder of this article provides a high-level overview of some of the more critical future and ongoing financial services-related initiatives for 2025. [read post]
31 Aug 2018, 1:25 pm
Continue reading The post Silver Law Group has filed a FINRA Arbitration Against MetLife Securities / MSI Financial Services and ELE Wealth Advisors Concerning Selling Away Claims appeared first on Securities Arbitration Lawyers Blog. [read post]
25 Jul 2024, 9:09 am
” The draft RTS: Sets out requirements when the use of subcontracted ICT services supporting critical or important functions or material parts thereof by ICT third-party service providers is permitted by financial entities and set out the conditions applying to such subcontracting. [read post]
14 Jan 2025, 8:33 am
On 13 January 2025, the Financial Services and Markets Act 2000 (Ring-fenced Bodies, Core Activities, Excluded Activities and Prohibitions) (Amendment) Order 2025 (the Order) was made and published on legislation.gov.uk, along with an explanatory memorandum. [read post]
27 Aug 2018, 10:36 am
He was previously employed by UBS financial services inc. [read post]
8 Jun 2022, 5:18 pm
This case provides a useful illustration of how the reforms introduced on 13 March 2019 as a result of the Financial Services Royal Commission, extend to cyber risk. [read post]
2 Dec 2009, 6:20 pm
The SEC announced that it has filed fraud charges against Canopy Financial Inc., a Chicago-based health care financial services company, and has frozen the assets of its co-founder who allegedly provided investors with forged financial statements to lure them into... [read post]
