Search for: "Department of Professional and Financial Regulation"
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28 Feb 2010, 6:29 am
Mirvis is a partner in the Litigation Department at Wachtell, Lipton, Rosen & Katz. [read post]
25 May 2012, 3:13 pm
Recognized in Who’s Who In American Professionals and both an American Bar Association (ABA) and a State Bar of Texas Fellow, Ms. [read post]
28 Dec 2014, 4:13 pm
Fortunately, much of this approach has already been developed in innovative Silicon Valley legal departments and has been applied by leading banks. [read post]
23 May 2022, 1:12 pm
It is inevitable that the addiction will begin to reveal itself to colleagues and patients and could result in complaints being filed with the whatever board under the Illinois Department of Financial and Professional Regulation (IDFPR) that issued the professional’s license. [read post]
3 Apr 2020, 5:52 am
The Department of Labor issued new regulations as I noted on Wednesday. [read post]
13 Dec 2023, 3:06 pm
An investor may have a claim for damages against a financial professional even if they did not intend to defraud the investor. [read post]
23 May 2016, 12:00 pm
In 2014, President Obama directed the DOL to update and modernize regulations under the Fair Labor Standards Act governing overtime exemptions for “white collar” employees (i.e., executive, administrative and professional employees). [read post]
20 Mar 2024, 5:44 am
We recommend consulting a real estate professional and talking numbers. [read post]
22 Feb 2016, 8:23 am
Securities professionals would need to create and maintain procedures reasonably designed to ensure cybersecurity. [read post]
26 Aug 2019, 6:37 am
On July 29, 2019, the Department of Labor issued final rules clarifying when an employer group or association, or professional employer organization (“PEO”) may sponsor a defined contribution multiple employer retirement plan (“MEPs”). [read post]
4 Feb 2013, 6:58 pm
The Illinois Department of Financial and Professional Regulation is also charged with issuing physicians' licenses. [read post]
5 Apr 2018, 9:30 pm
Department of Commerce and the U.S. [read post]
8 Jul 2011, 10:40 pm
First Chicago Bank & Trust, Chicago, Illinois, was closed today by the Illinois Department of Financial and Professional Regulation, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver. [read post]
4 Apr 2016, 6:30 am
All that noted, apparently the Department of Labor has some pending regulations regarding financial planners that some fear may extend to affect the advice of Dave Ramsey and others in the media. [read post]
5 Jan 2021, 9:03 pm
Department of Justice and the Federal Trade Commission, for example, can enforce general regulations to address antitrust concerns in the technology industry. [read post]
14 Oct 2019, 3:33 pm
On October 9, 2019, the Centers for Medicare & Medicaid Services (CMS) and the Department of Health and Human Services (HHS) Office of Inspector General (OIG) issued two sweeping proposals aimed at revising the Stark Law and Anti-Kickback Statute (AKS) regulations to adapt to and promote the US health care system’s transformation to value-based payment and delivery models.[1] The proposed rules are part of HHS’s Regulatory Sprint to Coordinated Care Initiative and… [read post]
6 Jun 2019, 3:00 am
Statement at the Open Meeting on Commission Actions to Enhance and Clarify the Obligations Financial Professionals Owe to our Main Street Investors -Chairman Jay Clayton Statement at the Open Meeting on Regulation Best Interest, the Interpretation of the Standard of Conduct for Investment Advisers, the Form CRS Relationship Summary, and the Interpretation of “Solely Incidental”– Commissioner Elad L. [read post]
18 Nov 2018, 8:48 pm
But I was bewildered by those I encountered early in my legal education who simply were indifferent towards politics or any legal topic that did not directly impact their professional pursuits. [read post]
10 Mar 2023, 10:00 am
Voluntarily becoming and remaining certified as a CPEO means that a PEO has met the detailed background, experience, business location, financial reporting, tax compliance, and bonding requirements described in the statute and regulations of the CPEO program. [read post]
9 Nov 2017, 3:44 pm
Below please find first the Department of the Treasury's summary of major elements of the changes, second, the BIS regulations, and third, the much longer OFAC Regulations. [read post]
