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Tag Archives: Firms
Canada's Financial Services Firms Prepare for E-mail Archiving Mandate
Will multi-million dollar fines, criminal indictments, and exorbitant e-discovery costs play a role in Canada’s financial services future? Possibly, if Canadian securities dealers, portfolio managers, and other financial services firms violate the pending legislation proposed by the Canadian Securities Administrators. By year’s end, these firms will be subject to tough, new e-mail storage and retrieval rules defined in National Instrument 31-103 (NI 31-103).
Among other requirements, NI 31-103 mandates that registered firms keep their records — including electronic messages — in a durable form that can be “promptly” provided to regulators if a record is requested within two years of its creation. After two years, requested records must be delivered in a “reasonable period of time.” In fact, NI 31-103 requires firms to keep some records for seven years after the departure of a client.
Posted in Financial Services
Tagged Archiving, Canada's, Email, Financial, Firms, Mandate, Prepare, Services
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How Sell and Rent Back Firms are Influenced by the Regulation of Financial Services Act 2005
The Regulation of Financial Services Act 2005 is one of the most important pieces of regulation that sell and rent back providers will have to deal with. This is a law that works to help with getting all providers to be sure that they report their processes correctly. This is so all providers in the United Kingdom can be interpreted as legal ones that work with security and fairness in mind for customers. It also works in order to make all activities and processes that a provider can work with ones that are fair for everyone.
Posted in Financial Services
Tagged 2005, Back, Financial, Firms, Influenced, Regulation, Rent, Sell, Services
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Financial Service Firms and it Manager Jobs
Information technology has become the backbone of the modern financial services sector in the United Kingdom. Firms in London and elsewhere throughout the region cannot rely anymore on fax machines or land lines to provide top notch services to their clients. Instead, customers and corporate clients expect their financial service provider to have high speed networks and mobile phones. Financial services, in essence, require instant access and constant contact between consultants and clients.
Financial Services Firms Exiting Asset Management
As confidence in the economy and financial markets improves, the tempo of corporate transactions is picking up. Recently, information technology consulting firms Affiliated Computer Services and Perot Systems received buyout offers for $6.7 billion and $3.9 billion respectively.
The pace of initial public offerings is increasing as well. Companies have raised more than $11 billion through IPOs since the turn of the month. Spanish bank Grupo Santander sold a 16% stake in Banco Santander Brasil to raise a whopping $8 billion. Actuarial data provider Verisk Analytics raised $1.9 billion through an IPO.
Large financial services firms are taking advantage of robust capital markets and busily shedding their asset management businesses.
Posted in Financial Services
Tagged Asset, Exiting, Financial, Firms, Management, Services
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Financial Services Public Relations in New York: Firms Need to Demonstrate ROI
Financial services public relations in New York is a highly competitive field. Many firms refer to themselves as experts in the field; however, few have the track record and credentials to justify such a designation.
A leader in this niche space will possess both and rank among the leading financial services public relations firms in New York and beyond. The firm specializes in the development and execution of communications programs for companies in financial and technology industries. The firm’s efforts connect clients with the decision makers and influencers who matter most, helping build recognition and credibility for clients’ companies, products, services and brands through public relations and marketing by reaching such audiences as bank presidents, mortgage professionals, insurance executives, securities traders, or bond buyers. A leading PR firm helps clients build awareness among target audiences—media, opinion leaders, customers, prospects, strategic partners, employees and analysts—to become industry thought leaders.
Posted in Financial Services
Tagged Demonstrate, Financial, Firms, Need, Public, Relations, Services, York
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