Posts tagged with: "financial+services"
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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]
2 Aug 2021, 2:08 pm
Most stockbrokers and other financial service representatives genuinely care about their clients. [read post]
13 Aug 2012, 4:58 am
On Friday, the Consumer Financial Protection Bureau proposed new mortgage servicing rules. [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]
19 Feb 2019, 3:47 pm
Three FinTech developments were considered: new providers of bank-like services competing or co-operating with established financial services providers; the provision of financial services by large technology companies (BigTech); and reliance on third-party providers for cloud services. [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]
10 May 2021, 10:00 pm
The significance of D&I has long been discussed and highlighted by the regulator, but the announcement marks a further shift in the FCA’s level of focus on D&I and should be read alongside the collection of recent FCA speeches on the lack of gender and ethnic diversity at a senior level in financial services. [read post]
10 May 2021, 10:00 pm
The significance of D&I has long been discussed and highlighted by the regulator, but the announcement marks a further shift in the FCA’s level of focus on D&I and should be read alongside the collection of recent FCA speeches on the lack of gender and ethnic diversity at a senior level in financial services. [read post]
10 May 2021, 10:00 pm
The significance of D&I has long been discussed and highlighted by the regulator, but the announcement marks a further shift in the FCA’s level of focus on D&I and should be read alongside the collection of recent FCA speeches on the lack of gender and ethnic diversity at a senior level in financial services. [read post]
31 Jan 2017, 12:47 pm
Is Ditech Financial, formerly known as Green Tree Servicing, failing to accurately update the payments you’ve made on your mortgage? [read post]
16 Nov 2017, 10:12 am
Consumer Financial Project Bureau (CFPB) announced in early November, 2017 that it has filed a lawsuit against Freedom Debt Relief, which is the largest debt settlement services provider in America. [read post]
10 May 2021, 10:00 pm
The significance of D&I has long been discussed and highlighted by the regulator, but the announcement marks a further shift in the FCA’s level of focus on D&I and should be read alongside the collection of recent FCA speeches on the lack of gender and ethnic diversity at a senior level in financial services. [read post]
10 May 2021, 10:00 pm
The significance of D&I has long been discussed and highlighted by the regulator, but the announcement marks a further shift in the FCA’s level of focus on D&I and should be read alongside the collection of recent FCA speeches on the lack of gender and ethnic diversity at a senior level in financial services. [read post]
