Posts tagged with: "financial+services"
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26 Jan 2018, 9:41 am
With effect from July 2016 the German legislator has introduced a regulation to protect whistleblowers within the financial services sector, i.e. companies under the supervision of the German Federal Financial Supervisory Authority (BaFin). [read post]
Financial Crimes Enforcement Network: Customer Due Diligence Requirements for Financial Institutions
31 Jul 2014, 4:49 pm
The proposed amendments would add a new requirement that these entities know and verify the identities of the real people (also known as beneficial owners) who own, control, and profit from the companies they service…The proposed rule benefits from extensive outreach and discussion with financial institutions and regulatory agencies. [read post]
12 Mar 2019, 5:41 am
Andrew Bailey, Chief Executive of the FCA, said: “Consumers and small businesses struggle with the cost and time needed to take firms to court, so it is essential they can receive fair compensation from the Financial Ombudsman Service when things go wrong. [read post]
19 Feb 2019, 7:00 am
Countrywide Pre-Paid Legal Services offers a plan. [read post]
1 Jan 2007, 7:46 pm
Despite the problems, Mr Adams says there is no doubt that the ability to get patents stimulates innovation at companies such as Citigroup, which holds more financial services patents than any other. [read post]
15 Jun 2021, 9:00 pm
Many U.S. taxpayers who own financial assets overseas owe reporting obligations to the Internal Revenue Service (IRS). [read post]
6 Jul 2022, 2:26 am
Debt-servicing remains affordable for most UK businesses. [read post]
9 May 2016, 11:17 am
The December 2015 determination of the Ombud for Financial Service Providers in De Hoop Steenwerwe v Finmar Makelaars reminds us of the duties imposed on FSPs by the FAIS Act and the FAIS General Code. [read post]
14 Feb 2008, 8:04 am
The regulations allow consumers to opt out and prevent a financial institution from using information provided by an affiliated company to market its products and services to the consumer. [read post]
25 Jul 2024, 11:15 pm
They are also entitled to communicate freely and have access to visitors, telephone services, and mail. [read post]
14 Mar 2014, 9:00 am
Thus, the Arizona Adult Protective Services Act (APSA) applied. [read post]
12 Dec 2018, 1:37 pm
It's not easy to distinguish the difference between wealth management, asset management, investment management, financial planning, and estate planning services. [read post]
9 Nov 2015, 6:22 am
HLS Student Financial Services offers this “Prior to Law School” tip site to help you on your way! [read post]
9 Nov 2015, 6:22 am
HLS Student Financial Services offers this “Prior to Law School” tip site to help you on your way! [read post]
28 May 2014, 3:57 am
In examining why some would-be jurors avoid service, Pattis discusses the financial burdern that jury service poses for some. [read post]
23 Feb 2021, 3:57 pm
Offering and advertising credit counseling services. [read post]
23 Dec 2022, 8:23 am
The New York Department of Financial Services (“NYDFS”) published the latest draft of its Proposed Second Amendment to its landmark Cybersecurity Regulation (23 NYCRR 500) on November 9, 2022. [read post]
8 Oct 2008, 10:37 pm
Financial support to the banking industry: "After consultation with the Bank of England and the Financial Services Authority, the Government... [read post]
23 Jan 2014, 9:00 am
Neither a funding portal, nor its officers, directors, partners or persons occupying a similar status with the funding portal, are allowed to: Have any type of financial interest in an issuer (the company raising capital) who is selling securities through the funding portal’s platform; or Receive a financial interest in an issuer as compensation for services provided to or for the benefit of an issuer in connection with the offer and sale of… [read post]
2 Nov 2009, 5:36 pm
So the Consumer Financial Protection Agency ("CFPA") made it out of two House Committees last week: the Financial Services Committee and the Energy and Commerce Committee. [read post]
