Posts tagged with: "financial+services"
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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]
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]
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]
1 Mar 2008, 9:45 pm
The Minister for Superannuation and Corporate Law, Senator the Hon Nick Sherry, has announced that the Financial Services Working Group will initially focus its efforts on the development of a short form disclosure document for the First Home Saver Account.A timetable will be established for other products. [read post]
30 Oct 2014, 10:18 am
The Consumer Financial Services Blog - Providing the latest in FDCPA, TCPA, FCRA and other consumer financial services lawsThe much anticipated fall issue of the Consumer Financial Protection Bureau’s Supervisory Highlights report was released yesterday. [read post]
16 Jul 2010, 1:13 pm
Does your company provide loans or some type of other financial service to the public? [read post]
10 Mar 2022, 7:15 am
The CFPB’s recently-issued request for information takes aim at what the CFPB labels “junk fees” charged by consumer financial services providers. [read post]
27 Jul 2014, 6:00 am
When the abuse is in the form of physical abuse or neglect, then Adult Protective Services may step in. [read post]
11 Mar 2020, 9:00 pm
The Financial Stability Board (FSB) published on December 9, 2019, its report on financial institutions’ increasing reliance on third parties to provide cloud computing services (the Report). [read post]
10 Jul 2017, 2:33 am
The speech is entitled Why free trade and open markets in financial services matter. [read post]
18 Dec 2007, 1:02 pm
The UK Financial Services Authority (FSA) has fined Norwich Union Life £1.26 million (AUD 2.95M) for not having effective systems and controls in place to protect customers' confidential information and manage its financial crime risks. [read post]
30 May 2018, 1:18 pm
Continue reading The post Silver Law Group is Investigating Jeffrey Palish of Wells Fargo Clearing Services, LLC for Elder Financial Fraud appeared first on Securities Arbitration Lawyers Blog. [read post]
