Search for: "DWS International, Inc. "
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18 Apr 2024, 9:01 pm
One of the hallmarks of PCCE is that it brings together academics, regulators, and industry professionals, and allows us to have candid conversations about corporate misconduct and the ways in which we can all work together to improve compliance. [read post]
22 Jan 2024, 8:14 am
Felsenfeld entered the securities industry in April 2002, and was registered from then until June 2004 with Mogan Stanley DW Inc. [read post]
29 Nov 2023, 9:01 pm
The off-channel communications actions were also significant in that the respondents agreed to retain independent compliance consultants and undertake comprehensive reviews of their internal policies and procedures. [read post]
18 Oct 2023, 9:01 pm
Securities and Exchange Commission (SEC) announced a US$19 million settlement with the investment adviser DWS Investment Management Americas Inc. [read post]
28 Nov 2022, 9:02 am
DWS Distributors Inc. [read post]
21 Nov 2022, 9:02 am
DWS Distributors Inc. [read post]
28 Sep 2022, 12:37 pm
And DWS Distributors Inc. and DWS Investment Management Americas, Inc. [read post]
28 Sep 2022, 8:06 am
;Credit Suisse Securities (USA) LLC;Deutsche Bank Securities Inc. together with DWS Distributors Inc. and DWS Investment Management Americas, Inc. [read post]
22 Jun 2022, 9:05 pm
The next day, the head of DWS resigned. [read post]
27 May 2021, 11:42 am
After entering the industry, Cahill spent twenty-one years with Morgan Stanley DW INC, from 1984 to 2005. [read post]
27 May 2021, 11:42 am
After entering the industry, Cahill spent twenty-one years with Morgan Stanley DW INC, from 1984 to 2005. [read post]
15 Sep 2020, 1:11 pm
Previous employers include Wells Fargo Clearing Services, LLC (CRD#:19616) of Hauppage, NY, RBC Capital Markets, LLC (CRD#:31194) if Jericho, NY, and Morgan Stanley DW INC. [read post]
4 Feb 2020, 5:00 am
Recent Headlines in the IP World: Christina Farr: Amazon Just Filed a Bunch of International Trademarks for ‘Amazon Pharmacy’ (Source: CNBC) Andrew Hard: Kannalife, Inc. [read post]
23 Jan 2018, 7:15 am
Previous registrations include Morgan Stanley & Co., Morgan Stanley DW Inc., SunAmerica Securities, Franklin-Lord Incorporated, Kemper Securities Group, Boettcher & Company, Shearson Lehman Hutton Inc., EF Hutton & Company Inc., and Hutchison Financial Corporation. [read post]
20 Nov 2015, 8:00 am
But there is no requirement to provide the costly auditor’s attestation of the effectiveness of internal control over financial reporting or to comply with the costly disclosure obligations of the Exchange Act and the Sarbanes-Oxley Act. [read post]
20 Oct 2014, 8:14 am
DW explains that the Swedish government received a report of “foreign underwater activity,” which prompted the search. [read post]
21 Jun 2013, 6:43 pm
Philip Morris USA, Inc., 449 F. [read post]
15 Aug 2012, 7:49 am
Samsung - http://bit.ly/Ps8bMw (@ComplexD) Reports and Resources Big Data, Big Impact: New Possibilities for International Development (PDF) http://bit.ly/MrkOvz (World Economic Forum) Why Appointment of Special Masters in eDiscovery Disputes is Vital to Civil Justice Progress (PDF) http://bit.ly/P4EcOG (Zachary Parkins) Who Are The Technology Providers For Predictive Coding? [read post]
15 Aug 2012, 7:49 am
Samsung - http://bit.ly/Ps8bMw (@ComplexD) Reports and Resources Big Data, Big Impact: New Possibilities for International Development (PDF) http://bit.ly/MrkOvz (World Economic Forum) Why Appointment of Special Masters in eDiscovery Disputes is Vital to Civil Justice Progress (PDF) http://bit.ly/P4EcOG (Zachary Parkins) Who Are The Technology Providers For Predictive Coding? [read post]
15 Aug 2012, 7:49 am
Samsung - http://bit.ly/Ps8bMw (@ComplexD) Reports and Resources Big Data, Big Impact: New Possibilities for International Development (PDF) http://bit.ly/MrkOvz (World Economic Forum) Why Appointment of Special Masters in eDiscovery Disputes is Vital to Civil Justice Progress (PDF) http://bit.ly/P4EcOG (Zachary Parkins) Who Are The Technology Providers For Predictive Coding? [read post]
