Posts tagged with: "financial+services"
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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]
20 Mar 2020, 8:28 am
On March 19th, the New York Department of Financial Services (“DFS”) issued Circular Letter No. 7 (2020) (the “Letter”) urging all regulated entities to do their part to alleviate the adverse impact caused by COVID-19 on consumers and small businesses. [read post]
3 Sep 2019, 1:17 pm
All businesses must be financially stable to survive. [read post]
30 Nov 2017, 1:34 pm
What will the Financial services Executives Accountability Regime (FEAR) look like? [read post]
27 Sep 2019, 2:59 pm
Every year, the Hawaii State Bar Association's Real Property and Financial Services Sections asks my partner Greg Kugle and me to present a Litigation Update for its members. [read post]
29 Apr 2025, 10:19 am
Department of Treasury report that raised concerns about the growing reliance of financial institutions (FIs) on cloud computing. [read post]
16 Sep 2016, 7:34 am
On September 12, New York Governor Andrew Cuomo broke new ground in proposing a state-level regulation that would require banks, insurance companies, and other financial services entities regulated by the New York Department of Financial Services (“NYDFS”) to establish formal cybersecurity programs. [read post]
30 Apr 2018, 2:44 pm
The second presentation of the 23rd Annual Consumer Financial Services Institute, sponsored by the Practising Law Institute, will take place in Chicago on May 7-8, 2018. [read post]
10 Nov 2023, 2:00 am
No. 969-A, which requires the Department of Small Business Services to provide information on local community development financial institutions on the city’s one-stop shop business services portal. [read post]
31 Jan 2024, 8:14 am
That commencement date will be the day on which the revocation of the DRSRs 2017 comes into force under section 1(1) of, and Schedule 1 to, the Financial Services and Markets Act 2023. [read post]
28 Oct 2019, 9:45 am
In the event of a no-deal Brexit the statutory instrument amends: The Criminal Justice Act 1993; The Insider Dealing (Securities and Regulated Markets) Order 1994; The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 and the Data Reporting Services Regulations 2017; The Electronic Commerce and Solvency 2 (Amendment etc.) [read post]
25 Oct 2019, 6:23 am
On 23 October 2019, the Financial Markets Law Committee (FMLC) published a letter to HM Treasury on the Financial Services (Implementation of Legislation) Bill (Bill). [read post]
14 Nov 2023, 1:21 pm
Earlier this month, the New York Department of Financial Services (“NYDFS”) announced that it had finalized the Second Amendment to its “first-in-the-nation” cybersecurity regulation, 23 NYCRR Part 500. [read post]
20 Jul 2022, 11:25 am
The Chancellor stated that the Government’s plans for reforming the UK’s financial services industry would be through a Financial Services and Markets Bill (Bill). [read post]
16 Feb 2016, 12:06 pm
On February 4, 2016, a Financial Industry Regulatory Authority (“FINRA”) panel (the “Panel”) awarded Herbert M. [read post]
17 Aug 2012, 3:43 pm
On August 14, the New York Superintendent of Financial Services announced the resolution of recent charges that a British bank and its U.S. subsidiary engaged in deceptive and fraudulent misconduct in order to move substantial funds on behalf of client Iranian financial institutions that were subject to U.S. sanctions. [read post]
28 Sep 2009, 6:40 am
The bill, being put together in the House Financial Services Committee, would create a new federal agency with a director appointed by the president and confirmed by the senate, who's mission would be to stand up for the consumers with respect to financial markets regulation. [read post]
23 Aug 2009, 6:42 pm
The Treasurer, Wayne Swan MP and the Minister for Financial Services, Superannuation and Corporate Law, Chris Bowen MP, have announced changes to the supervision of Australia's financial markets. [read post]
23 Jan 2007, 7:34 am
The findings are based on interviews with 50 chief executive officers and business leaders and a survey of 305 other executives in the financial-services industry.The recommendations are the latest volley from business groups and politicians seeking to ease the U.S. regulatory framework on concern it's eroding the country's competitive advantage.U.S. may lose financial lead [read post]
21 Nov 2017, 12:41 pm
Brotman Financial Group, Inc., a Timonium-based financial services firm which offers wealth management services to multi-generational families, was given the 2017 Business Philanthropy Award in the small business category from the Maryland Chamber of Commerce during the annual Association of Fundraising Professionals’ National Philanthropy Day Awards Nov. 17 at the Baltimore Marriott Waterfront Hotel. [read post]
