Posts tagged with: "financial+services"
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21 Feb 2011, 3:00 am
by Deepak Gupta Next week, I'll be speaking on two panels at the Practicing Law Institute's 16th Annual Consumer Financial Services Institute in New York (February 28-March 1) and, a month later, in Chicago (March 31-April 1). [read post]
19 Dec 2022, 12:34 pm
With nearly $20 billion in annual revenue (and a net profit of $1.4 billion in 2021), Lincoln Financial Group is easily one of the largest financial services and insurance companies in the United States. [read post]
New York Department of Financial Services Proposes First Rule of Its Kind for Financial Institutions
6 Oct 2016, 11:10 am
In November, we reported on a proposal by the New York Department of Financial Services (NYDFS) for an extensive cybersecurity framework for its regulated financial institutions. [read post]
8 Oct 2012, 9:46 am
On October 3, 2012 the SEC charged Chicago-based registered investment adviser, GEI Financial Services, Inc. [read post]
21 Jul 2015, 3:41 pm
The following are among the topics the guides cover: How to receive wages and payment for working How to open a bank account How to pay bills How to shop for a mortgage How to select financial services and products Information on how to submit a complaint about a problem with a financial product or service Read and share the Newcomer’s Guides to Managing Money; also available in Chinese, French, Haitian-Creole, Korean, Spanish, Tagalog and Vietnamese. [read post]
23 Aug 2019, 8:48 am
The two join the firm from the New York State Department of Financial Services (DFS), where they both worked on some of [read post]
5 Aug 2020, 8:55 pm
On 5 August 2020, the PRA published Policy Statement 19/20: Financial Services Compensation Scheme – Temporary High Balances Coverage Extension (PS19/20). [read post]
28 Feb 2008, 3:20 pm
House Committee on Appropriations, Subcommittee on Financial Services... [read post]
29 Jan 2018, 1:57 pm
On January 22, 2018, the Association for Financial Markets in Europe (“AFME“) published a paper on cliff-edge risks in wholesale financial services resulting from Brexit. [read post]
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]
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]
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]
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]
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]
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]
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]
