Posts tagged with: "financial+services" Results 5001 - 5020 of 62,668
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40 minute briefing on 4 December – Going green: ESG reforms
3 Dec 2019, 8:32 am by Hannah Meakin (UK), Imogen Garner (UK), Hannah McAslan (UK) and Daniel Nevzat (UK)
In this briefing members from our Financial Services team and Government Relations team will discuss [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
New on LLRX – Banks should brace for impact: The Big Techs are coming!
22 Aug 2018, 7:17 pm by Sabrina I. Pacifici
– Data, BI & Analytics expert Siraj Patel discusses the global financial services and products [read post]
beSpacific - http://www.bespacific.com/
FFIEC Issues Risk Management Guidance for Cloud Computing
17 Jul 2012, 12:15 pm by Mike Nonaka
On July 10, the Federal Financial Institutions Examination Council (FFIEC) issued risk management [read post]
Inside Privacy - http://www.insideprivacy.com
E.U. Set to Resume Work on Money Market Fund Legislation
21 Oct 2014, 4:04 pm by James Hamilton
Parliament and the new Financial Services Commissioner signaled their  intent to resume work on [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
The Bane of Being the Butt of Jokes
21 Dec 2021, 2:59 pm
difference between coverage and nothing.The policy in question covered “Management consulting services [read post]
Coverage Counsel - http://nycoveragecounsel.blogspot.com/
Master the Evolving Landscape of Compliance and Risk Management
25 Oct 2022, 4:00 am by Guest Blogger
Financial institutions – and their legal advisors – need to keep up with new regulations, [read post]
Slaw - http://www.slaw.ca/
Elder Abuse Prevention Training Session Held in Schuylkill County, PA
22 Feb 2010, 11:44 am
article on the RepublicanHerald.com, Eileen Barlow, an alliance member and ombudsman for MidPenn Legal Services [read post]
Southern California Nursing Home Abuse Lawyer Blog - https://www.elderneglect.com/
Elder Abuse Prevention Training Session Held in Schuylkill County, PA
22 Feb 2010, 11:44 am by Michael O'Connor & Associates, LLC
article on the RepublicanHerald.com, Eileen Barlow, an alliance member and ombudsman for MidPenn Legal Services [read post]
Southern California Nursing Home Abuse Lawyer Blog - https://www.elderneglect.com/
NY DFS announces multistate investigation of payroll advance industry
7 Aug 2019, 3:40 pm by Jeremy T. Rosenblum and James Kim
The New York Department of Financial Services (DFS) issued a press release yesterday to announce that [read post]
CFPB Monitor - http://www.cfpbmonitor.com
The Gibraltar (Miscellaneous Amendments) (EU Exit) Regulations 2019
27 Mar 2019, 8:18 am by Simon Lovegrove (UK) and Jochen Vester (UK)
You can track the financial services Brexit EU Exit statutory instruments (as well as gain access to [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
Official Listing of Securities, Prospectus and Transparency (Amendment etc.) (EU Exit) Regulations 2019
29 Mar 2019, 5:00 am by Simon Lovegrove (UK) and Jochen Vester (UK)
You can track the financial services Brexit EU Exit statutory instruments (as well as gain access to [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
The Uncertificated Securities (Amendment and EU Exit) Regulations 2019
27 Mar 2019, 8:45 am by Simon Lovegrove (UK) and Jochen Vester (UK)
You can track the financial services Brexit EU Exit statutory instruments (as well as gain access to [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
The Payment Accounts (Amendment) (EU Exit) Regulations 2019
27 Mar 2019, 8:41 am by Simon Lovegrove (UK) and Jochen Vester (UK)
You can track the financial services Brexit EU Exit statutory instruments (as well as gain access to [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
The Benchmarks (Amendment and Transitional Provision) (EU Exit) Regulations 2019
27 Mar 2019, 8:16 am by Simon Lovegrove (UK) and Jochen Vester (UK)
You can track the financial services Brexit EU Exit statutory instruments (as well as gain access to [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
Former Broker Jeffery Fanning Suspended From Industry By FINRA
9 Apr 2018, 10:02 am by Andrew Stoltmann
Former Liberty Partners Financial Services broker Jeffery Fanning was recently suspended from the securities [read post]
Securities Fraud Attorneys Blog - https://blog.stoltmannlaw.com/
Silver Law Group is Investigating Peter Holler of Securities Service Network
29 Jun 2018, 8:28 am by Silver Law Group
We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Grossly Improper Closing Argument and Ineffective Assistance– prosecutor’s blatant misstatement of law and insufficient evidence requires reversal and dismissal of conspiracy and tax charges against one defendant; co-defendant prevails on unreliable loss calculations/sentencing issue and remand for evaluation of ineffective assistance claims: United States v. Davis, _ F.3d _ (D.C. Circuit, No. 15-3044, July 21, 2017)
24 Jul 2017, 9:25 pm by The Blog Team
The IRS was not amused by 2FT Fast Facts Tax Service, a tax preparation service owned by Sherri Davis [read post]
The Federal Criminal Appeals Blog - http://www.federalcriminalappealsblog.com/
William Hobby Subject to 23 Customer Complaints During His Career
20 May 2019, 6:08 am by Staff Attorney
According to BrokerCheck records financial advisor William Hobby (Hobby), formerly employed by UBS Financial [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/
Former Raymond James Advisor Steven Reznik Has Over A Dozen Investment Complaints
3 Feb 2019, 9:45 am by Staff Attorney
According to BrokerCheck records financial advisor Steven Reznik (Reznik), formerly employed by Raymond [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/
Rule Changes Affect the Composition of Arbitration Panels in FINRA Disputes
29 Apr 2015, 12:57 pm by Aime Dempsey and John F. Fullerton III
Fullerton III For financial services industry employers that participate in arbitrations administered [read post]
Workforce Bulletin - https://www.workforcebulletin.com/