Posts tagged with: "financial+services" Results 161 - 180 of 83,963
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7 Dec 2022, 8:36 am by Loran Kilson
  The witness list did not include any representatives of the financial services industry testified. [read post]
24 May 2018, 1:52 pm by Andrew Stoltmann
Former Beverly Hills, California-based Stockcross Financial Services broker Herbert Voss was permanently barred from the financial services industry by the Financial Industry Regulatory Authority (FINRA). [read post]
18 Apr 2022, 7:24 am by The White Law Group
FINRA Censures and Fines IBN Financial Services for Unsuitable GPB Funds Sales  According to The Financial Industry Regulatory Authority (FINRA) on April 14, the regulator has censured and fined IBN Financial Services $45,000 and ordered the firm to pay partial restitution of $32,385, plus interest. [read post]
27 Aug 2007, 11:46 pm
Extending the relationship will make it easier for financial services member organizations to protect employees. [read post]
21 Sep 2021, 5:41 am by zamansky
The post Zamansky LLC Investigates Sales of Northstar Financial Services (Bermuda) appeared first on Zamansky LLC. [read post]
A Claimant is Requesting Up to $5M in Damages For Northstar (Bermuda) Losses  An older investor has filed a FINRA arbitration claim over losses she sustained in Northstar Financial Services (Bermuda) while working with Cetera Investment Services, LLC. [read post]
31 Jan 2022, 2:28 am by Fiona Folkson
The restrictions on the making of financial promotions under the Financial Services and Markets Act 2000 (“FSMA”) seek to address such risks. [read post]
27 Jun 2022, 6:32 am
  The CCFPL authorizes the Department of Financial Protection & Innovation to define unfair, deceptive, and abusive acts and practices in connection with the offering or provision of commercial financing or other financial products and services to small businesses, nonprofits, and family farms. [read post]
3 Jul 2024, 4:40 am by Rob Robinson
The application of AI in financial services poses significant regulatory challenges. [read post]
27 Jun 2023, 9:54 am by Simon Lovegrove (UK) and Anita Edwards
On 27 June 2023, HM Treasury announced that the UK and EU have signed a Memorandum of Understanding (MoU) on regulatory cooperation in financial services. [read post]
8 Aug 2012, 4:58 pm by Hunton & Williams LLP
Earlier this year, the Consumer Financial Protection Bureau (“CFPB”) published a Bulletin signaling its intent to regulate and exercise enforcement authority over service providers to financial institutions. [read post]
1 Apr 2012, 5:29 pm by zimmermansguide
   Not many PI firms have experience with this work, but you can get a list of firm who do by calling the New York Department of Financial Services. [read post]
1 Oct 2020, 10:00 pm
As the US Department of Commerce seeks certain financial services data from an expanded list of US financial services providers, most US fund managers, investment advisers, private funds, and registered investment companies will be required to file a BE-180 with the US Department of Commerce by October 30, 2020. [read post]
11 May 2012, 5:08 am by JA Hodnicki
Daniel Sokol GCR Live: Financial Services and Competition Law June 20, 2012 Programme 9.00am: Chairman's introduction Nicholas Levy, Cleary Gottlieb Steen & Hamilton LLP 9.10am: Keynote speech: Antitrust issues in the financial services sector Clive Maxwell, Executive... [read post]
11 May 2012, 5:08 am by JA Hodnicki
Daniel Sokol GCR Live: Financial Services and Competition Law June 20, 2012 Programme 9.00am: Chairman's introduction Nicholas Levy, Cleary Gottlieb Steen & Hamilton LLP 9.10am: Keynote speech: Antitrust issues in the financial services sector Clive Maxwell, Executive... [read post]
1 Oct 2020, 10:00 pm
As the US Department of Commerce seeks certain financial services data from an expanded list of US financial services providers, most US fund managers, investment advisers, private funds, and registered investment companies will be required to file a BE-180 with the US Department of Commerce by October 30, 2020. [read post]
1 Oct 2020, 10:00 pm
As the US Department of Commerce seeks certain financial services data from an expanded list of US financial services providers, most US fund managers, investment advisers, private funds, and registered investment companies will be required to file a BE-180 with the US Department of Commerce by October 30, 2020. [read post]