Posts tagged with: "financial+services"
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14 Jul 2010, 2:04 pm
What will the impact be for the financial services industry? [read post]
27 Apr 2020, 9:44 am
Debt settlement agencies continue to grow as people search for financial relief. [read post]
11 Mar 2011, 7:26 am
This Government Accountability Office testimony (GAO-11-423T), dated March 10, 2011, states that "in 2009, GAO highlighted management challenges that the Forest Service faced in three key areas—wildland fire management, data on program activities and costs, and financial and performance accountability. [read post]
12 Oct 2011, 4:21 am
"Here the specimen of use does not contain any reference to Applicant's financial advisory services. [read post]
10 Dec 2009, 11:05 am
Tim is a partner in the Washington, D.C. office of Pepper who focuses his practice on bank and financial services regulatory matters. [read post]
16 Aug 2021, 8:54 am
Don’t let a financial advisor talk you into using his or her services, and don’t rely solely on other people’s advice. [read post]
16 Mar 2013, 7:26 am
Plaintiffs alleging injuries by acts of international terrorism have sought to recover treble damages for their injuries from financial institutions on the theory that the financial institutions supplied, directly or indirectly, financial services to the terrorist groups. [read post]
28 Feb 2007, 8:59 pm
The Parliamentary Joint Committee on Corporations and Financial Services has tabled its March 2007 report on its statutory oversight of ASIC. [read post]
25 Jun 2009, 11:25 am
Call for Papers AALS Section on Financial Institutions and Consumer Financial Services "Reforming the Institutional Structure of Financial Regulation" Friday, January 8, 2010, 10:30 a.m.-12:15 p.m. 2010 AALS Annual Meeting New Orleans, Louisiana As the international community struggles to manage the current global financial and economic crisis, policymakers around the globe have proclaimed their commitment to domestic… [read post]
19 Jun 2020, 8:17 am
This update presents ESMA considerations for financial market participants on outsourcing cloud service providers. [read post]
29 Aug 2022, 7:33 pm
According to the CFPB, marketing companies that provide time and space advertising for financial products and services generally fall within an exception to the Consumer Financial Protection Act (“Act”). [read post]
15 Oct 2009, 8:37 am
The House Financial Services Committee approved today legislation to regulate over-the-counter ("OTC") derivatives. [read post]
13 Dec 2018, 2:31 am
On 12 December 2018, HM Treasury published a draft version of the Financial Services (Distance Marketing) (Amendment and Savings Provisions) (EU Exit) Regulations 2019 (the draft SI). [read post]
13 Aug 2012, 4:58 am
On Friday, the Consumer Financial Protection Bureau proposed new mortgage servicing rules. [read post]
2 Aug 2021, 2:08 pm
Most stockbrokers and other financial service representatives genuinely care about their clients. [read post]
6 Jan 2022, 6:22 am
Professor Zywicki shares his views on the current trend of denying access to financial services to politically-disfavored industries or based on political views, whether through the actions of banking regulators, most notably Operation Choke Point, or actions taken by banks on their own initiative. [read post]
3 Nov 2010, 4:22 am
Spencer Bachus (R-AL), who is slated to become the Chair of the House Financial Services Committee. [read post]
4 May 2021, 7:18 am
Alabama Investor Contends The Daughtry Group Owner Unsuitably Invested His Retirement Funds Another investor has stepped forward to file a Financial Industry Regulatory Authority (FINRA) arbitration claim against Kestra Investment Services over financial losses sustained while working with the firm’s former broker, James Blake Daughtry. [read post]
26 Nov 2019, 6:19 am
Alberto Sanchez (CRD#: 4577983) is a now-bared broker formerly with SagePoint Financial (CRD#: 133763), MML Investors Services (CRD#: 10409), and Principal Securities (CRD#: 1137), all at Fort Lauderdale branch locations. [read post]
10 Nov 2011, 11:04 pm
The Korean securities market regulator Financial Services Commission is lifting a three-year ban on short-selling of non-financial stocks, as reported by the Asian Investor today. [read post]
