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]
30 Apr 2019, 10:35 am
The Plaintiffs are Trump, his three oldest children, Donald Trump Jr., Eric Trump and Ivanka Trump, and several businesses that use Deutsche Bank and Capital One financial services. [read post]
4 Feb 2019, 12:50 pm
The consideration comes following the conclusion of the 13-month inquiry by the Royal Commission into Misconduct in the Banking, Superannuation (Pension) and Financial Services Industry. [read post]
16 Jul 2020, 9:41 am
Former Financial Representative Is Facing Criminal Trial for Annuity Fraud The Financial Industry Regulatory Authority (FINRA) has fined Northwestern Mutual Investment Services $350K for failing to properly supervise former stockbroker, Sampson Pearson, which enabled him to defraud customers of $570K. [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]
12 Mar 2013, 7:15 pm
As part of its oversight agenda for the 113th Congress, the Committee will also examine the extent to which a lack of global coordination on financial reforms could place the United States financial services industry at a competitive disadvantage. [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]
28 Feb 2008, 3:20 pm
House Committee on Appropriations, Subcommittee on Financial Services... [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]
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]
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]
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]
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]
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]
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]
9 Jan 2019, 11:31 am
The other brokerage firms are Cadaret Grant & Co., Cusco Financial Services, and Sorrento Pacific Financial. [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]
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]
