Posts tagged with: "financial+services" Results 4321 - 4340 of 62,668
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William Paynter Alleged to Have Recommended Unsuitable Oil & Gas Investments
18 Dec 2017, 2:06 pm by Adam Weinstein
According to BrokerCheck records financial advisor William Paynter (Paynter), employed by Wells Fargo [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/
HMT publishes draft legislation for regulating cryptoassets
30 Apr 2025, 1:36 am by Hannah Meakin (UK), Anita Edwards and Simon Lovegrove (UK)
On 29 April 2025, HM Treasury (HMT) published a draft statutory instrument (SI), the Financial Services [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
Brent takes a tumble, trade marks invalidated for being descriptive
17 Dec 2018, 9:26 am
services, which includes, inter alia, services for transactions involving commodities, futures, derivatives [read post]
IPKat - http://ipkitten.blogspot.com/
New York Releases Final Guidance for Insurers on Managing the Financial Risks from Climate Change
16 Nov 2021, 1:54 pm by skelly
Following up on proposed guidance released in March, the New York Department of Financial Services (& [read post]
InsureReinsure.Com: The Insurance & Reinsurance Blog - http://www.insurereinsure.com/
Risks of the Staggered Group Resignation Strategy
14 Mar 2013, 2:12 pm by Epstein Becker Green
The scenario of a group departure to a competitor is one that arises time and again in the financial [read post]
Workforce Bulletin - https://www.workforcebulletin.com/
Reforming Culture for the Long Term
4 Apr 2017, 6:20 am
21, 2017], I would like to highlight three issues that are critical to improving culture within the financial [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Choosing the Best Bankruptcy Lawyer
9 Jan 2014, 6:00 am by admin
Filing for bankruptcy can be a wonderful opportunity for an individual to put financial troubles in the [read post]
Lee Bankruptcy Blog - http://leebankruptcy.com/bankruptcy_blog/
FINRA Fines Four Firms for Sales of Leveraged and Inverse ETFs
1 May 2012, 2:22 pm by Securites Lawprof
FINRA announced that it sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial [read post]
Securities Law Prof Blog - https://lawprofessors.typepad.com/securities/
FINRA Fines Raymond James for Unreasonable Commissions
29 Sep 2011, 8:17 am by Securites Lawprof
(RJA) and Raymond James Financial Services, Inc. [read post]
Securities Law Prof Blog - https://lawprofessors.typepad.com/securities/
SEC Settles Insider Trading Charges Against Former SemGroup Officer
26 Oct 2009, 1:53 pm
Spaugy, the former Vice President of Financial Services at SemGroup, LP ("SemGroup"), engaged [read post]
Securities Law Prof Blog - https://lawprofessors.typepad.com/securities/
Getting an estate plan in the State of Victoria, Australia
25 Feb 2008, 10:59 pm
State Trustees" which exists to provide comprehensive estate planning and estate administration services [read post]
Wills, Trusts & Estates Prof Blog - https://lawprofessors.typepad.com/trusts_estates_prof/
Enforcing Section 404 of the Sarbanes-Oxley Act
25 Jul 2007, 4:10 am
delay for non-accelerated filers that could result from the so-called Garrett-Feeney amendment to the Financial [read post]
TheCorporateCounsel.net Blog - http://www.thecorporatecounsel.net/Blog/
Impacts of Arizona's Prop 300 on Undocumented College Students
2 Aug 2007, 8:12 pm
Arizona Republic reports that Nearly 5,000 people in Arizona have been denied in-state college tuition, financial [read post]
ImmigrationProf Blog - https://lawprofessors.typepad.com/immigration/
In the News & Around the Blogosphere
1 Dec 2010, 7:44 pm by White Collar Crime Prof Blogger
Dean Could Be a Preview of Fraud Case Against Kaplan Harvey Silverglate, Forbes, When ‘Honest Services [read post]
White Collar Crime Prof Blog - https://lawprofessors.typepad.com/whitecollarcrime_blog/
Federal Agency Cracks Down On Buy Now, Pay Later — What Does It Mean For Shoppers?
23 May 2024, 9:16 am by JANELLE SESSOMS - FASHIONISTA
Consumer Financial Protection Bureau (CFPB) will begin treating services like Klarna and Afterpay more [read post]
Above the Law - http://abovethelaw.com/
Providing Transportation in the Home and Community-based Services and Texas Home Living Waiver Programs
7 Sep 2015, 7:37 am by Jerri Lynn Ward, J.D.
The purpose of the information letter (IL) is to inform Home and Community-based Services (HCS) and Texas [read post]
Garlo Ward Blog - http://www.garloward.com/blog/
Delayed: DOL’s Fiduciary Rule
2 Mar 2017, 10:51 am by Sharon L. Lippett
Given the potential change in the applicability date, financial services institutions will need to determine [read post]
Workforce Bulletin - https://www.workforcebulletin.com/
IOSCO Secretary General to Address NASAA's Annual Conference
5 Sep 2013, 12:59 pm by John Jascob
Commission at the highest levels of the European Union's political and regulatory system.During his service [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
EU AIFMD: UK Implementation Update
26 Dec 2012, 6:51 am by Noam Noked, co-editor, HLS Forum on Corporate Governance and Financial Regulation,
The UK Financial Services Authority Publishes Consultation Paper on Implementation of AIFMD On November [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Second Circuit Upholds District Court, Rejecting Indian Commerce Clause Claim
28 Oct 2014, 3:14 am by Jeremy Telman
State, Dep't of Financial Services, the Second Circuit upheld the District Court's denial for [read post]
ContractsProf Blog - http://lawprofessors.typepad.com/contractsprof_blog/