Posts tagged with: "financial+services"
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7 Jan 2015, 7:21 am
The European Data Protection Supervisor published ‘Guidelines on data protection in EU financial services regulation’ (Guidelines) to be used as a “practical toolkit for ensuring that EU data protection rules are integrated when developing EU financial policies and rules. [read post]
20 Dec 2019, 9:06 am
On an international level, the Financial Stability Board published two reports on financial stability risks stemming from BigTechs and cloud services providers in December 2019. [read post]
25 Jul 2022, 12:46 pm
According to the Financial Industry Regulatory Authority (FINRA), a FINRA arbitration panel has ruled in favor of two Texas investors in a claim alleging two firms, LPL Financial and Financial Resources Group Investment Services, concealed the actions of a registered representative who engaged in unauthorized trading in clients’ accounts. [read post]
29 Nov 2018, 8:28 am
On 28 November 2018, there was published on legsislation.gov.uk The Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018 (the Order), together with an explanatory memorandum. [read post]
9 Jan 2019, 11:31 am
The other brokerage firms are Cadaret Grant & Co., Cusco Financial Services, and Sorrento Pacific Financial. [read post]
New York Department of Financial Services Previews Rigorous Cybersecurity Rules for Financial Sector
19 Nov 2015, 12:17 pm
On November 9, 2015, Anthony Albanese, Acting Superintendent of the New York State Department of Financial Services (NYDFS), issued a letter to a wide array of federal and state financial services regulators that are part of the Financial and Banking Information Infrastructure Committee (FBIIC). [read post]
30 Dec 2021, 8:08 am
Brittex, not Dollar, was the first to use that mark in connection with pawn brokerage and pawn shop services, said the court, and the Board provided no support for the notion that a registrant has priority as to a specific service it was second to offer just because it was first to offer a different specific service (Brittex Financial, Inc. v. [read post]
31 Oct 2019, 8:32 am
On 29 October 2019, the Financial Services Duty of Care Bill 2019-20 (the Bill) had its first reading in the House of Lords. [read post]
18 Jan 2018, 9:10 am
According to a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Hancock Investment Services was censured and fined $100,000. [read post]
9 Feb 2011, 9:03 am
In a written statement, Hinojosa blamed his bankruptcy on a loan he personally guaranteed for his family's meat company.The 8-term congressman serves on the House Financial Services Committee.The New Republic Magazine has an interesting slideshow featuring noted politicians who had been bankrupted including Thomas Jefferson, Abraham Lincoln, Benedict Arnold, William McKinley and George McGovern.Check it out here. [read post]
7 Sep 2017, 8:49 am
The Association for Financial Markets in Europe (AFME) has published a paper on transitional arrangements in financial services following the UK’s departure from the EU. [read post]
8 Dec 2014, 4:00 am
Other intriguing financial innovations include smarter credit cards which can conduct transactions using wireless communications, an investment system for online gambling services and a classroom kit for teaching financial literacy to students. [read post]
10 Aug 2009, 6:17 am
That was the reason for the federal government to offer financial incentives to servicers under Making Home Affordable. [read post]
30 Jul 2024, 9:20 am
Banking regulators have issued a joint statement outlining the potential risks that financial institutions face in arrangements with third parties to deliver bank deposit products and services and examples of risk management practices to manage such potential risks. [read post]
4 Jan 2018, 8:56 am
View FMLC paper on Brexit and impact of WTO rules on financial services, 22 December 2017 [read post]
18 Apr 2022, 2:01 pm
Middletown Valley Bank is a full-service ... [read post]
21 Sep 2011, 3:39 pm
In most states, health-care providers and social-service workers are required to report suspected elder abuse to law enforcement, but only a few states include financial professionals in that list, so unusual transactions such as these often go unnoticed. [read post]
28 Jan 2014, 8:05 pm
Maxx case [Coverage Opinions and more on class actions] “Swipe fee” price controls don’t help in allocating the costs of response and prevention for card data breaches [John Berlau, CEI "Open Market"] and “Financial Disclosures as Regulation” panel video, part of Vermont Law School symposium “The Disclosure Debates” that I participated in last fall; participants include Tennessee lawprof Joan Heminway and moderator Jennifer Taub [YouTube] … [read post]
24 Mar 2017, 6:57 am
The financial services proposals are aimed at the following: Greater resiliency for the Canadian financial sector; A modernized deposit insurance framework that continues to protect the deposits of Canadians and promote financial stability; and Strengthened ability for Canada to combat money laundering and terrorist financing. [read post]
14 Dec 2017, 10:16 am
View Financial Services and Markets Act 2000 (Markets in Financial Instruments) No 2 Regulations 2017 published, 12 December 2017 View Explanatory memorandum to Financial Services and Markets Act 2000 (Markets in Financial Instruments) No 2 Regulations 2017 published, 12 December 2017 [read post]
