Posts tagged with: "financial+services"
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22 Apr 2020, 4:47 am
The financial services regulation hub is hosted on our client knowledge portal, the Institute. [read post]
23 Mar 2020, 9:44 am
On 20 March 2020, there was published on legislation.gov.uk the Financial Services and Markets Act 2000 (Exemption) (Amendment) Order 2020 (Amendment Order). [read post]
27 Dec 2017, 7:25 am
Are you concerned about your investments with Raymond James 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]
17 Nov 2020, 8:50 pm
The purpose of the statutory instrument is to extend by 12 months the transitional arrangements under Parts 2 and 3 of the Financial Services (Gibraltar) (Amendment) (EU Exit) Regulations 2019 (the 2019 Regulations) which enable specified categories of Gibraltar-based firms to provide financial services in the UK and facilitate the access by similar types of UK-based firms to Gibraltar’s financial services market. [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]
13 Jun 2009, 10:20 pm
His speech covers: the new EDR scheme rules due to start on 1 January 2010; the duties of financial advisers; financial product design; the new consumer redit laws; whether the sale of financial products to retail investors should be further regulated. [read post]
7 May 2020, 8:45 pm
On 6 May 2020, there was published on legislation.gov.uk The Financial Services (Miscellaneous Amendments) (EU Exit) Regulations 2020. [read post]
12 Apr 2021, 8:16 am
The Subscribers’ Handbook: Provides an overview of the Financial Services Register as the context for the RES. [read post]
1 Feb 2024, 11:47 am
On 1 February 2024, a statutory instrument (SI) – the Financial Services Act 2021 (Overseas Funds Regime and Recognition of Parts of Schemes) (Amendment and Modification) Regulations 2024 –was published, along with an explanatory memorandum. [read post]
13 Mar 2009, 5:24 am
From Eric Dash, a DealBook colleague: John Chrin, the co-head of JPMorgan Chase's financial institutions group, is stepping down after more than two decades of advising Wall Street and Main Street banks on mergers and acquisitions. [read post]
6 Jun 2011, 6:58 am
Goldman Sachs has agreed to sell its mortgage servicing unit, Litton Loan Servicing, to Ocwen Financial for $263.7 million, ending its ties to an industry steeped in controversy. [read post]
28 Jul 2023, 8:01 am
Then there is paying the bills […] The post 6 Important Steps to Protect Yourself Financially While Divorcing appeared first on Seattle Divorce Services. [read post]
27 Dec 2022, 10:32 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]
8 Mar 2018, 9:01 am
View Chancellor’s HSBC speech: financial services, 7 March 2018 [read post]
8 Mar 2018, 9:01 am
View Chancellor’s HSBC speech: financial services, 7 March 2018 [read post]
8 Aug 2021, 4:05 pm
Treasury consultation on relief to Foreign Financial Service Providers (FFSPs). [read post]
1 Jan 2010, 8:19 pm
They've got their work cut out for them, as this profile of the House Financial Services Committee suggests: [The House Financial Services Committee] is known as a "money committee" because joining it makes fundraising, especially from donors with financial interests litigated [sic] by the panel, significantly easier. [read post]
