Posts tagged with: "financial+services"
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8 Mar 2024, 2:56 am
On 7 March 2024, the Financial Conduct Authority (FCA) published a statement regarding changes to the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (FPO). [read post]
14 Nov 2022, 2:56 am
Often, such deferred payment is granted directly to the consumer by a bank or financial intermediary, which intervenes in the transaction by virtue of an agreement with the seller. [read post]
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]
1 Feb 2010, 12:53 am
As you know, Congress and the Obama administration have placed significant focus this year upon reform of the financial services industry. [read post]
2 Oct 2023, 9:05 pm
The provision of payment services offers Big Tech’s entry into the broader financial service markets, such as credit lending. [read post]
21 Jul 2022, 9:00 am
This service-based approach recognises that some potential CTPs may provide services to many other sectors besides financial services. [read post]
24 Feb 2023, 4:59 pm
Dougherty was previously employed by Wells Fargo Clearing Services LLC. [read post]
12 May 2018, 7:46 am
NEW YORK CITY—The National Rifle Association of America (“NRA”) today announced that it filed a lawsuit against the New York State Department of Financial Services (“DFS”), New York Governor Andrew Cuomo, and DFS Superintendent Maria T. [read post]
New York Department of Financial Services Proposes First Rule of Its Kind for Financial Institutions
6 Oct 2016, 11:10 am
In November, we reported on a proposal by the New York Department of Financial Services (NYDFS) for an extensive cybersecurity framework for its regulated financial institutions. [read post]
28 May 2012, 4:57 am
The advice is solid, at least in cases when the service company has sufficient leverage and/or is strong enough financially to turn away business. [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]
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]
26 Mar 2014, 6:00 am
There has been no shortage of press coverage about the lack of employment diversity in the financial services sector. [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]
28 Feb 2008, 3:20 pm
House Committee on Appropriations, Subcommittee on Financial Services... [read post]
17 Nov 2022, 12:31 pm
On Nov. 9, 2022, the New York State Department of Financial Services (NYDFS) published a proposed second amendment to its cybersecurity regulation. [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]
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]
8 Oct 2012, 9:46 am
On October 3, 2012 the SEC charged Chicago-based registered investment adviser, GEI Financial Services, Inc. [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]
