Search for: "Ocie Banks"
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16 Jul 2019, 10:18 am
SEC’s Office of Compliance Inspections and Examinations (“OCIE”) Issues Risk Alert. [read post]
24 Jan 2019, 2:36 pm
John Reed Stark Among the agencies largely closed by the current partial U.S. federal government shutdown is the U.S. [read post]
26 Mar 2022, 9:35 am
Both firms extended offers before OCIs started. [read post]
16 Oct 2020, 6:41 am
The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a Risk Alert identifying commonly observed key deficiencies in OCIE’s examinations of advisers to private funds. [read post]
28 Oct 2014, 7:00 am
Pursuant to its statutory authority, it conducts periodic examinations of industry participants, such as investment banks, asset managers, hedge funds, and mutual funds. [read post]
2 Sep 2009, 11:48 pm
Banks have lent students funds without a sharp eye to repayment risk. [read post]
16 Jul 2009, 9:31 pm
The were, in essence, a year behind everyone else and the law school OCI process simply wasn't geared to their schedules.If your goal is ultimately to become a business lawyer and/or corporate titan, and you feel strongly that a JD/MBA will get you there, let me offer a lower-cost alternative. [read post]
31 Dec 2018, 7:50 am
OCI is a permanent, non-deletable messaging system for parents to communicate after separation. [read post]
12 Sep 2015, 10:01 pm
This one surely needs to be investigated, and there would be no better place for OCI or FBI agents to begin that than at 4200 Wisconsin Ave. in Washington, D.C., where the WAPF is located. [read post]
2 May 2022, 4:02 am
Rivera, in her book Pedigree: How Elite Students Get Elite Jobs, places large law firms into a category called “elite professional service” firms (“EPS”), making law firms cousins with investment banking and consulting firms. [read post]
1 Nov 2023, 11:41 am
Artemundi, a US-based art investment company with over 30-year’s worth of experience, in partnership with Swiss bank Sygnum had notably bought Picasso’s Fillette au beret painting to be fractionalized into 4000 pieces of the Art Security Tokens (AST)[7]; another joint undertaking between Rubey and Tokeny had the same idea for introducing the tokenized claims to custodied assets, while the painting (Carnaval de Binche by James Ensor) is being loaned long-term to the Royal Museum… [read post]
16 Apr 2020, 4:55 am
Wyoming Plans to Create New Bank Dedicated for Digital Assets. [read post]
11 Feb 2010, 7:12 am
(Page 3)In the first of the two OCIE examinations, the examiners drafted a letter to the National Association of Securities Dealers (NASD) (another independent third-party) seeking independent trade data, but they never sent the letter, claiming that it would have been too time-consuming to review the data they would have obtained. [read post]
18 Jan 2016, 2:05 pm
Because MLPs are extremely dependent on external sources of capital for growth, as described above, they can be particularly sensitive to reduced bank lending such as investors may see during market crises. [read post]
1 Feb 2010, 6:36 am
Editor’s Note: Eduardo Gallardo is a partner focusing on mergers and acquisitions at Gibson, Dunn & Crutcher LLP. [read post]
26 May 2015, 2:50 pm
” “Regulated” qualified investors are entities that are already regulated by FINMA, such as banks, securities dealers, fund managers, and insurance companies. [read post]
26 May 2015, 2:50 pm
” “Regulated” qualified investors are entities that are already regulated by FINMA, such as banks, securities dealers, fund managers, and insurance companies. [read post]
23 Oct 2017, 4:22 pm
”[19] In early 2017, the New York State Department of Financial Services (“NYDFS”) enacted game-changing regulations which establish new standards for corporate cybersecurity practices.[20] The rules, which went into effect on March 1, 2017, apply to any person operating under or required to operate under a license, registration, charter, certificate, permit, accreditation or similar authorization under the Banking Law, the Insurance Law or the Financial Services… [read post]
23 Oct 2017, 4:22 pm
”[19] In early 2017, the New York State Department of Financial Services (“NYDFS”) enacted game-changing regulations which establish new standards for corporate cybersecurity practices.[20] The rules, which went into effect on March 1, 2017, apply to any person operating under or required to operate under a license, registration, charter, certificate, permit, accreditation or similar authorization under the Banking Law, the Insurance Law or the Financial Services… [read post]
29 Jan 2015, 4:07 am
In April, the SEC Office of Compliance Inspections and Examinations (OCIE) announced that it would be auditing 50 broker-dealers and investment advisors to assess their cyber risks and preparedness. [read post]
