Search for: "Department of Professional and Financial Regulation"
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1 May 2024, 10:16 pm
Additionally, Kabir Sethi, LPL’s managing director and chief product officer, departed from the company on March 31, 2024. [read post]
7 Dec 2019, 8:15 am
In a recent article, Leah Butler, Heejin Lee, and Bonnie Fisher critique a proposal from the Education Department to amend regulations relating to campus sexual and gender-based violence. [read post]
5 Aug 2011, 6:07 pm
Bank of Shorewood, Shorewood, Illinois, was closed today by the Illinois Department of Financial and Professional Regulation—Division of Banking, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver. [read post]
3 Aug 2012, 1:26 pm
Waukegan Savings Bank, Waukegan, 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]
16 Apr 2020, 6:57 pm
The displaced financial professionals are temporarily exempt from New Hampshire’s registration and/or notice filing requirements if: (1) the financial professional is working from a location outside the jurisdiction where he/she/it is currently registered (because of COVID-19); (2) the financial professional was properly registered and/or notice filed with the required securities regulators and self-regulatory organizations as of… [read post]
17 Nov 2008, 1:30 pm
The Department of Labor issued 762 pages of regulations covering the FMLA. [read post]
27 Nov 2023, 11:27 am
Department of the Treasury’s Financial Crimes Enforcement Network in conjunction with the Internal Revenue Service’s Criminal Investigation (CI) issued notice FIN-2023-Alert007…↓ READ MORE ↓ ICI Member LOG IN or SUBSCRIBE today! [read post]
2 May 2011, 3:15 pm
The Department will use the National Quality Strategy to develop programs, regulations, new initiatives, and tools for evaluating the Federal health care efforts. [read post]
4 May 2020, 10:07 pm
But, because of COVID-19, those licenses have been delayed by Governor Pritzker’s Executive Order 2020-34 for the duration of the Gubernatorial Disaster Proclamations or until the Illinois Department of Financial and Professional Regulation announces a new date. [read post]
4 Feb 2023, 11:48 am
Data privacy authorities and other regulators are flexing their muscles, increasing the frequency and severity of enforcement actions under GDPR, CCPA, COPPA, and other regulations. [read post]
6 Sep 2022, 7:47 am
While the FATF maintains its grey and black lists, it does not itself have a sanctioning tool to regulate commercial financial activity. [read post]
7 Jan 2024, 7:00 am
The fear of potential financial consequences can be overwhelming, and the process can be emotionally taxing. [read post]
10 Jul 2019, 4:00 am
Summary and History We can say with precision what is spent by the various Law Society departments but assigning those costs to the regulatory functions of the Law Society is not straightforward based on the financial statements. [read post]
6 Aug 2013, 2:51 pm
We represent investors and financial professionals across the country, and have been doing so for decades. [read post]
5 Feb 2024, 10:06 am
In the following guest post, Anne Catapano, VP Financial Lines Claims, Ascot Insurance Company, Christina Errico, VP, Professional Liability Claims Manager, Ascot Insurance Company, Elan Kandel, Member, Bailey Cavalieri LLC, James Talbert, Associate, Bailey Cavalieri LLC and Tyler Hopkins, Associate, Bailey Cavalieri LLC, review the past year’s key management and professional liability insurance coverage decisions. [read post]
23 Jan 2023, 1:27 pm
In advance of holding an offshore wind lease sale in the Gulf of Mexico, which is expected this summer, the Department of Interior recently took several steps to update the offshore wind regulatory framework. [read post]
20 Jul 2007, 8:38 pm
The Washington Department of Financial Instututions "notes the growth in the use of professional designations which state or imply that a person has special expertise, certification or training in financial planning," as quoted in a release by the North American Securities Administrators Association Inc. [read post]
16 Jan 2008, 5:49 am
Auditors and corporate finance departments must be able to use professional judgment without being second-guessed if countries continue to adopt principle-based accounting standards, the chief executives of the top six global accounting networks argued in a white paper on Tuesday.The paper, presented at a Global Public Policy Symposium in New York, urged regulators and other stakeholders to create a system where reasonable auditor judgments are accepted. [read post]
8 Nov 2017, 7:17 pm
The leading federal anti-money laundering (AML) regulator, FinCEN’s mission is to safeguard the financial system from illicit use and combat money laundering and promote national security through the collection, analysis, and dissemination of financial intelligence and strategic use of financial authorities. [read post]
8 Jan 2024, 10:00 am
Department of Financial Services – Virtual Currency Licensing (2022-S-18) The Department of Financial Services (DFS) oversees the activities of nearly 3,000 financial institutions, including 21 virtual currency licensees with assets totaling more than $175 billion. [read post]
