Posts tagged with: "financial+services"
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25 Jul 2013, 7:05 pm
A divorce lawyer who strategically approaches your divorce with a long term plan will provide a level of service that cannot be met doing your divorce by yourself or with the help of a lawyer that offers a lower level of service. [read post]
19 Dec 2014, 2:44 pm
The Financial Industry Regulatory Authority (FINRA) filed a complaint against brokerage firm SWS Financial Services, Inc. [read post]
26 Jul 2018, 8:50 am
On 24 July 2018, the Financial Services and Markets Act 2000 (Ring-fenced Bodies and Core Activities) (Amendment) Order 2018 (SI 2018/897) (Amendment Order) was published. [read post]
27 Jul 2022, 8:27 am
The Consumer Financial Protection Bureau (CFPB) is “encouraging” student loan servicers to identify their military borrowers in order to conduct proactive outreach encouraging them to consolidate their loans and submit applications for forgiveness under the Public Service Loan Forgiveness Program (PSLF). [read post]
23 Sep 2021, 8:00 am
This is a unique service for those who have deep financial wellness trouble. [read post]
20 Oct 2015, 5:53 am
Where this happens, such arbitrage can trigger regulatory competition between jurisdictions that may respond to the relocation of financial services (or threats to relocate) by moderating regulatory standards. [read post]
9 Jul 2010, 3:55 am
On 30 June 2010, the UK's Financial Services Authority (FSA) and Financial Reporting Council (FRC) published a joint discussion paper (DP) entitled "Enhancing the auditor's contribution to prudential regulation". [read post]
5 Oct 2009, 11:11 am
Treasury Secretary Geithner testified before the House Financial Services Committee on September 23. [read post]
12 May 2013, 8:02 am
Almost half a decade after the onset of the financial crisis, populist sentiment and the resulting political environment continue to fuel stricter regulation of executive and director compensation, with the latest wave in Europe including substantive restrictions on compensation in the financial services industry and “say-on-pay” initiatives (i.e., initiatives providing for shareholder approval of compensation). [read post]
27 Nov 2018, 5:36 am
In February 2018 Kujawski was terminated by UBS Financial Services, Inc. [read post]
4 Dec 2019, 5:52 am
Schwinn, UIC John Marshall Law School The Second Circuit ruled that Deutsche Bank and Capital One have to comply with subpoenas issued by the House Financial Services and Permanent Select Committee on Intelligence for financial records related to... [read post]
17 Jun 2011, 1:27 am
“Price comparison sites may be in breach of financial advice regulations when they lead customers to insurance policies, regulator the Financial Services Authority (FSA) has said. [read post]
2 Mar 2023, 8:51 am
Countrywide Pre-Paid Legal Services has a financial wellness benefit that seeks to assist people in managing their money affairs. [read post]
9 Feb 2012, 6:48 pm
Today, Jon Walker tweeted that "No one man has done more to protect the power of the financial elites than President Obama. [read post]
8 Jan 2015, 10:56 am
Mishkin The CFPB continues to seek comments on its plans to launch in the winter of 2015 what it describes as “a multi-site financial education demonstration project to provide one-on-one and group financial counseling/coaching services to individuals with disabilities transitioning into the workplace or already employed. [read post]
21 Jun 2022, 6:06 am
However, there are others that you will need to secure the services of a legal representative to undertake. [read post]
17 Jun 2020, 2:05 pm
Before joining Kestra in 2015, Daughtry worked for Ameriprise Financial Services, Securities America, Sterne Agee Financial Services, Wachovia Securities, Southtrust Securities, and Liberty Securities Corporation. [read post]
28 Apr 2014, 8:17 am
The Financial Industry Regulatory Authority (FINRA) recently fined Colorado Financial Service Corporation (Colorado Financial) concerning allegations that the firm violated NASD Rule 3010, and FINRA Rule 2010, among other violations, by failing to establish, maintain, and enforce supervisory procedures reasonably designed to ensure compliance with the securities rules pertaining to the supervision of electronic communications and due diligence review of new… [read post]
18 Feb 2019, 3:31 am
On 14 February 2019, the Financial Stability Board (FSB) published a report on FinTech and market structure in financial services. [read post]
27 May 2012, 12:21 pm
ASIC has refused relief from the requirement to obtain express consent before delivering financial services disclosures online. [read post]
