Posts tagged with: "financial+services"
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10 Mar 2020, 9:03 pm
On 10 March 2020, ASIC published its media release announcing the new regulatory framework for foreign financial services providers (FFSPs) providing financial services to wholesale clients in Australia. [read post]
27 Jul 2018, 8:00 am
John Bryant has been registered with American Portfolios Financial Services in Clifton Park, New York since March 2018. [read post]
30 Mar 2008, 6:52 pm
Third, the United States could move to a single regulator for all financial services as adopted in the United Kingdom. [read post]
10 Jan 2021, 11:50 pm
Tax Expat Tax Services. [read post]
24 Oct 2016, 2:05 pm
Financial services are considered at section 4 of the report in the context of TTIP. [read post]
29 Jan 2021, 8:50 pm
On 28 January 2021, there was published on the legislation.gov.uk website The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2021 together with an explanatory memorandum. [read post]
22 Nov 2010, 7:24 am
The Federalist Society's Financial Services Practice Group hosted this panel discussion on "The Constitutionality of the Dodd-Frank Financial Services Reform Act" at the 2010 National Lawyers Convention on Friday, November 19, 2010. [read post]
16 Jul 2018, 6:23 am
On 13 July 2018, there was published on the legislation.gov.uk website, The Financial Services (Banking Reform) Act 2013 (Commencement No. 1) (England and Wales) Order 2018. [read post]
30 Oct 2009, 12:11 pm
House Financial Services Committee. [read post]
19 Jun 2013, 10:09 am
The City of Boston will be forwarding calls from residents to the Consumer Financial Protection Board when the callers have questions or complaints about financial products and services, the city announced yesterday. [read post]
8 Apr 2020, 8:10 am
Lamkin, who is now a Calton & Associates broker, is accused of borrowing $1.3M in total from an LPL Financial Services customer between 2011 and 2017 without getting written approval from or notifying the broker-dealer. [read post]
12 Nov 2006, 1:22 am
When Elizabeth Brown signed off from her guest blogging stint last spring, she linked to her article entitled E Pluribus Unum - Out of Many, One: Why the United States Needs a Single Financial Services Agency, where she argues in favor of a "single financial services regulator similar to the UK's Financial Services Authority. [read post]
3 Apr 2007, 1:52 pm
In the latest BFSO Bulletin (number 53, pdf) the Banking and Financial Services Ombudsman gives guidance for banks and other members of the BFSO dispute resolution scheme in dealing with customers in financial difficulty (where maladministration or another claim which might affect legal liability of the lender does not arise). [read post]
11 Jul 2016, 8:20 am
Correct Rx Pharmacy Services Inc. announced the appointment of Gabrielle Melka, CPA, as chief financial officer. [read post]
14 Nov 2023, 6:20 am
Digitalisation can lead to greater efficiency and innovation in the provision of financial services and support greater diversity of financial services providers. [read post]
16 Sep 2014, 3:52 am
., Serial No. 77582970 (June 27, 2013), wherein the Board reversed a refusal to register the mark CASHFLOW UNITS for "investment products, namely, wealth management and performance tracking, and providing financial advisory and financial portfolio management services. [read post]
12 Jul 2012, 9:02 am
In this post, we address the Consumer Financial Protection Bureau ("CFPB"), whose central mission is "to make markets for consumer financial products and services work for Americans--- whether they are applying for a mortgage, choosing among credit cards, or using any number of other consumer financial products. [read post]
24 Mar 2020, 12:43 pm
The speed at which the COVID-19 situation is evolving means that financial services firms are having to work rapidly to ensure that their business services can continue to operate. [read post]
23 May 2011, 11:55 am
We work with many qualified financial planners to assist clients with comprehensive estate and financial planning. [read post]
27 May 2015, 6:58 am
The suggestion to adopt a definition limiting financial services or products to a particular industry, financial services industry, was considered but not adopted during rulemaking as the statute does not limit the program expressly to financial institutions, and such a narrow construction of the statute would be contrary to the legislative history of Section 18. . . . [read post]
