Posts tagged with: "financial+services" Results 2821 - 2840 of 62,669
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UBS Loses a $3 Million FINRA Arbitration Award
3 Sep 2015, 8:35 am by Lax & Neville LLP
A FINRA arbitration panel ordered UBS Financial Services Incorporated of Puerto Rico and UBS Financial [read post]
New York Securities Lawyer Blog - http://www.newyorksecuritieslawyerblog.com/
FCA publishes review findings on treatment of PEPs and launches guidance consultation
18 Jul 2024, 8:36 am by Anita Edwards and Simon Lovegrove (UK)
On 18 July 2024, the Financial Conduct Authority (FCA) published the results of its multi-firm review [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
Advisor Herbert Voss Barred By Financial Regulator Over Unauthorized Trading
12 Jul 2018, 6:01 am by Staff Attorney
According to BrokerCheck records financial advisor Herbert Voss (Voss), formerly associated with Stockcross [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/
Chair White's Testimony on the Volcker Rule
7 Feb 2014, 2:23 pm by Eric C. Chaffee
On February 5, 2014, Chair Mary Joe White offered testimony before the House Financial Services Committee [read post]
Securities Law Prof Blog - https://lawprofessors.typepad.com/securities/
House Passes Bailout
3 Oct 2008, 12:40 pm
Passes Bailout BillDespite "no" votes from a majority of Republican representatives, the financial [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Official: Finances force nearly century-old Maryland charity to close
21 Sep 2018, 6:14 am by Associated Press
An official with a 91-year-old Episcopal nonprofit says financial challenges have forced the charity [read post]
On the Record - http://thedailyrecord.com/ontherecord/
UK Government Drafts Legislation to Implement LIBOR Reforms Based on Wheatley Report
11 Dec 2012, 7:43 am by James Hamilton
Services Bill, which is currently before Parliament. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Remarks by Chair Gensler Before the FBIIC and FSSCC
15 Apr 2022, 5:30 am
This post is based on his recent remarks before the Joint Meeting of the Financial and Banking Information [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Remarks by Chair Gensler Before the FBIIC and FSSCC
15 Apr 2022, 5:30 am
This post is based on his recent remarks before the Joint Meeting of the Financial and Banking Information [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
House Leaders Ask for Audit of Financial Stability Oversight Council
23 Jun 2011, 3:29 pm by James Hamilton
House Financial Services Chair Spencer Bachus (R-AL) and Oversight and Investigations Subcommittee Chair [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Broker Christopher Jumalon in Navy Federal Investment Services, LLC Firm Has Customer Complaint
6 Jun 2025, 6:30 am by Staff Attorney
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/
NYDFS releases guidance on third-party service provider risks
30 Oct 2025, 11:21 am by David Kessler (US) and Susan Ross (US)
On October 21, 2025, the New York Department of Financial Services (NYDFS) issued guidance to help licensees [read post]
Data Protection Report - http://www.dataprotectionreport.com/
David Valentine | Service Coordination Inc.
11 Apr 2023, 2:04 pm by Daily Record Staff
Service Coordination Inc., a nonprofit organization and community provider of service and advocacy for [read post]
On the Record - http://thedailyrecord.com/ontherecord/
"HOW RETIREMENT PLANNING SHORTCHANGES WOMEN"
23 Sep 2010, 9:00 am by Jason C. Hunter, Estate Planning Attorney
"There is a dirty little secret in legal and financial services. [read post]
Utah Estate Planning - https://hunterestategroup.com/blog/
PNC becomes latest large bank to raise base wages to $18 an hour 
30 Aug 2021, 8:02 am by Associated Press
PNC Bank is the latest large U.S. financial services company to increase wages in a bid to keep and attract [read post]
On the Record - http://thedailyrecord.com/ontherecord/
Commission letter on the DLT Pilot Regime
9 May 2024, 1:39 am by Simon Lovegrove (UK)
The European Commission (Commission) has published a letter from Mairead McGuinness (Commissioner for Financial [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
Commission 2018 work programme: financial services aspects
25 Oct 2017, 8:31 am by Nilu De Silva and Simon Lovegrove
complete Banking Union, together with the Capital Markets Union, will help build the stable and integrated financial [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
At Last, the Final DFS Cybersecurity Regulations….
20 Mar 2017, 3:37 am by Rosemary McKenna
DFS has been working on the regulations since its 2013-2014 studies on cybersecurity risks to financial [read post]
Workplace Privacy, Data Management & Security Report - http://www.workplaceprivacyreport.com
FCA Says Big Data Use by Insurers Generally Working Fine—Data Protection Concerns Flagged
27 Sep 2016, 8:40 am by Tim Wright
The UK’s financial services regulator, the Financial Conduct Authority (FCA), has recently published [read post]
SourcingSpeak - http://www.sourcingspeak.com/
Using Balloon-Style Immediate Annuities in VA Planning
23 May 2011, 3:26 am by Robert Kraft
This guest post is courtesy of Dale Krause and Krause Financial Services. [read post]
Kraft Elder Law Blog - http://www.kraftelderlaw.com/blog/