Posts tagged with: "financial+services"
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1 Apr 2016, 6:00 am
Did you know that your State Bar of Texas Member Discount Program offers discounted tax preparation services, along with great deals on other financial wellness products and services? [read post]
2 Apr 2020, 7:48 pm
ASIC releases new regulatory regime for foreign financial services providers On 10 March 2020, ASIC published its media release which announced the new regulatory framework for foreign financial services providers (FFSPs) providing certain financial services to wholesale clients in Australia. [read post]
6 May 2019, 6:55 am
The New York Department of Financial Services has announced the creation of a new “powerhouse” Consumer Protection and Financial Enforcement Division. [read post]
28 Jan 2019, 4:28 am
The paper covers the draft Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (draft FSMA SI) which onshores the Financial Services and Markets Act 2000 (FSMA). [read post]
5 Dec 2023, 5:14 am
The correct interpretation of section 154 (which entitles the Financial Services Conduct Authority to make a debarment order after consultation) is that it does not exclude the Authority from receiving submissions and then considering its decision whether a person has contravened a financial sector law, such as the FAIS Act. [read post]
2 Nov 2020, 9:06 am
Oversight also relates to third parties that provide critical services to a financial institution, and other systems to be determined by the CBCS that have a critical function in promoting financial stability. [read post]
26 Nov 2009, 2:11 am
"Consumers will be able to bring class actions against banks, insurers and other financial services firms if the Government's Financial Services Bill comes into force. [read post]
3 Jan 2019, 1:15 am
To gain access to PathfinderPLUS, please contact the financial services team. [read post]
20 Oct 2020, 8:56 pm
HM Government published its response on 11 March 2020, announcing that it and the UK financial services regulators were creating a Financial Services Regulatory Initiatives Grid to help firms plan ahead and improve co-ordination and transparency across the regulatory landscape for financial services. [read post]
27 May 2022, 12:40 pm
Francis Amsler and Marc Lobarde Were the UBS Financial Brokers of Record A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded a Houston, Texas, couple $3.9 million in their claim against UBS Financial Services (UBS). [read post]
5 Apr 2022, 12:18 pm
Investors’ Worked With Ex-McNally Financial Broker Michael O’Meara An older couple from Washington State has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against McNally Financial Services and its former broker Michael Charles O’Meara. [read post]
19 Nov 2020, 8:50 pm
(EU Exit) Regulations 2019; The Financial Services (Miscellaneous) (Amendment) (EU Exit) Regulations 2019; The Financial Services (Miscellaneous) (Amendment) (EU Exit) (No. 2) Regulations 2019; The Financial Services (Electronic Money, Payment Services and Miscellaneous Amendments) (EU Exit) Regulations 2019; The Capital Requirements (Amendment) (EU Exit) Regulations 2019; The Risk Transformation and Solvency 2 (Amendment) (EU Exit)… [read post]
20 Aug 2024, 3:03 pm
Senior Investor Seeks Up to $5M in Damages After Texas Financial Advisor Allegedly Stole His Money The Shepherd Smith Edwards and Kantas Elder Financial Exploitation Law Firm (investorlawyers.com) represents a disabled retiree in his seven-figure FINRA lawsuit requesting up to $5M in damages from UBS Financial Services. [read post]
2 Nov 2010, 11:55 am
According to the legislation, these requirements apply to the following service providers: • financial institutions; • investment banking firms; • mortgage banking firms; • asset management firms; • brokers; • dealers; • financial services entities; • underwriters; • accountants; • investment consultants; and • providers of legal services. [read post]
26 Feb 2010, 9:43 am
Blake Held: Objections to the qualifications of arbitrators or the procedure of an arbitration hearing must be raised prior to or during the arbitration hearing or are deemed to have been waived.Facts and Analysis: Aaron Holland set up a customer account with Penson Financial Services, Inc. in 2007 by signing a Combined Customer Account Agreement. [read post]
13 Jun 2011, 3:43 am
The PTO refused registration of the mark LION GLOBAL RESOURCES for various financial services [GLOBAL INVESTORS disclaimed] in view of the registered mark LION for partly identical financial services. [read post]
22 Dec 2007, 1:12 pm
Over at Money Law, Marie Reilly has an interesting post on the movie "It's A Wonderful Life" (click on link to view) and the history of the financial services... [read post]
10 May 2019, 2:40 am
Kevin King had established and built KPMG's financial services legal team in London. [read post]
20 Jul 2017, 2:08 am
The Financial Services Consumer Panel (FSCP) has published a position paper on consumers and competition. [read post]
28 May 2024, 5:01 pm
Report Your Suspicions: Report your concerns to the nursing home administrator, local Adult Protective Services, or the police, depending on the severity of the situation. [read post]
