Posts tagged with: "financial+services"
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25 Jan 2023, 11:28 am
So, what is the problem with the Department of Financial Services investigators? [read post]
26 May 2023, 7:05 am
On 26 May 2023, HM Treasury (HMT) published a policy paper outlining amendments to the Financial Services and Markets Bill (FSM Bill), concerning overseas central counterparties (CCPs). [read post]
4 May 2008, 6:37 am
More of them are leaving the financial planning industry as reported by Plan Adviser citing a new report by Cerulli Associates, a research firm specializing in the financial service industry. [read post]
7 Mar 2015, 8:00 am
Firms that offer this new service also increase the likelihood of managing and... [read post]
22 May 2018, 5:10 pm
Conducted primarily for the purpose of yielding illicit financial gain, cyber attacks against the financial services industry are increasing in sophistication and are often undetectable, global and instantaneous. [read post]
8 Mar 2012, 7:00 am
In 2012, we no doubt will see the continuation of a significant trend towards the use of mediation to resolve financial services disputes. [read post]
21 Jun 2017, 11:23 am
FINRA Fines Sterne Agee Financial Services for Compliance Issues According to FINRA, Sterne Agee Financial Services (CRD #18456, Birmingham, Alabama) submitted an AWC in which the firm was censured and fined $122,500. [read post]
1 Sep 2012, 8:25 am
The SEC has issued a staff study on what investors want to know about financial professionals and financial intermediaries and investment products and services and when and how they want to receive such information. [read post]
28 Nov 2012, 11:02 am
Torian is a partner in the Financial Services Regulatory Group, resident in the Philadelphia office. [read post]
11 Nov 2014, 9:13 am
As the new European Commission charts a path towards equity funding through securities offerings and away from the dominant bank funding, Financial Services Commissioner Lord Jonathan Hill said that he will launch a wide public consultation on the creation of a Capital Markets Union. [read post]
23 Dec 2019, 7:51 am
On 20 December 2019, the FCA published a press release providing an update on its Financial Services Regulatory Partners Phoenixing Group. [read post]
19 Dec 2018, 4:04 am
On 18 December 2018, the FCA published a webpage concerning the draft Financial Services Contracts (Transitional and Saving Provision) (EU Exit) Regulations 2019. [read post]
31 Jan 2022, 8:26 am
The Report, which details how effectively CFPB-regulated entities demonstrate their commitment to D&I, is based on the CFPB’s FY2020 study analyzing publicly available D&I information from the websites and annual reports of 270 financial services entities. [read post]
9 Aug 2012, 7:52 am
Earlier this year, the Consumer Financial Protection Bureau (“CFPB”) published a Bulletin signaling its intent to regulate and exercise enforcement authority over service providers to financial institutions. [read post]
26 Nov 2018, 4:01 am
The ordinance’s preamble identified specific characteristics of alternative financial services businesses, including: the high fees associated with using alternative financial services; permissive regulations enabling such establishments to charge high interest rates; and the proliferation of alternative financial services businesses. [read post]
5 Jan 2022, 7:22 am
Some banking entities provide other services to their customers, such as financial planning and notary services. [read post]
12 Jul 2012, 6:32 am
The Florida Attorney General has initiated a lawsuit on behalf of the Florida Office of Financial Regulation ("FLOFR") against brokerage firm Prime Capital Services, Inc., headquartered in Poughkeepsie, New York, and Florida-based investment adviser, Asset & Financial Planning, Ltd. [read post]
7 Feb 2008, 12:52 pm
This is a joint publication by HM Treasury, the Financial Services Authority and the Bank of England. [read post]
25 Sep 2019, 6:30 am
The Committee on Financial Services will hold a hearing entitled, “Examining Legislation to Protect Consumers and Small Business Owners from Abusive Debt Collection Practices,” on Thursday, September 26, 2019, at 10:00 a.m. in room 2128 of the Rayburn House Office Building. [read post]
10 Feb 2021, 7:31 am
Continue Reading › The post Woodbury Financial Services Broker Robert Ginsberg Accused of Unsuitable Investment Recommendations appeared first on Investor Lawyers Blog. [read post]
