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5 Dec 2022, 6:31 am
These critics charge that when companies and institutional investors address systemic concerns (by seeking to reduce carbon emissions or increase inclusivity, for example), they are ignoring financial returns, and instead pursuing a climate or racial justice agenda. [read post]
16 Mar 2018, 12:00 am
According to the SAC, in fall 2015, FEI management prepared two sets of financial management projections of combined operations, higher and lower projections. [read post]
14 Jul 2010, 7:27 am
The suit names Frisco Marketing of New York LLC, doing business as SmartBuy and SmartBuy Computers and Electronics; Integrity Financial of North Carolina Inc.; Britlee, Inc., doing business as MilitaryZone; GJS Management Inc. and Rome Finance Company Inc. and Rome Finance Co. [read post]
20 Apr 2015, 6:06 am
McDonald (In re World Health Alternatives, Inc.) [read post]
3 Sep 2014, 7:35 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm NEXT Financial Group, Inc. [read post]
20 Mar 2024, 9:05 pm
Meanwhile, corporations—including AT&T—rebuked lawmakers who denied the election results by withdrawing their financial support. [read post]
17 Feb 2021, 9:22 am
In January 2021, VALIC Financial Advisors, Inc. entered into a settlement with the Financial Industry Regulatory Authority (FINRA) for misconduct related to improper recommendations of variable annuities, in violation of FINRA Rules. [read post]
9 Jun 2009, 8:15 am
An article in The Wall Street Journal comments on the FDIC's "increasingly tough position" toward the management of Citigroup Inc. leading to "a bitter clash between regulators" about the speed and adequacy of efforts to improve the firm's capital position. [read post]
2 Mar 2007, 11:32 pm
Meridian Management Systems Inc., announced today the release of its COSO-standard Sarbanes-Oxley compliance software package. [read post]
29 Jun 2009, 4:59 am
For example, the Task Force defines MSOs as "independent organizations that provide management and administrative services (e.g., financial and legal services, human resources and payroll/benefits management, grants and contract management, bulk purchasing, risk management, real estate consulting, insurance) to multiple organizations, while allowing those organizations to maintain separate identities, governance structures, and programmatic… [read post]
10 Jul 2020, 11:07 am
Oklahoma Center for Orthopaedic and Multi-Specialty Surgery (OCOM), a specialty hospital affiliated with Tenet Healthcare in Oklahoma City, Oklahoma, its part-owner and management company, USP OKC, Inc. and USP OKC Manager, Inc. [read post]
24 Mar 2017, 6:46 am
Financial Crisis, Corporate Governance, and Bank Capital Posted by Sanjai Bhagat, University of Colorado Boulder, on Friday, March 17, 2017 Tags: Agency costs, Banks, Capital requirements, CHOICE Act, Dodd-Frank Act, Executive Compensation, Financial crisis, Financial institutions, Financial regulation, Incentives, Leverage, Liquidity, Management, Mortgage lending, Risk oversight, Risk-taking, Systemic risk, Too big to fail BlackRock’s… [read post]
29 May 2015, 10:48 am
A well-designed regulatory system enables the financial system to work efficiently, effectively, and creatively to support economic prosperity. [read post]
11 May 2018, 7:22 am
He took ZZZZ Best public, managing to trick Ernst & Whinney into certifying the company’s fraudulent financial statements. [read post]
28 May 2015, 4:00 am
” Records do not sit in a single records management system. [read post]
28 Jun 2018, 11:49 am
On June 1, 2018, the Securities and Exchange Commission settled charges with 13 registered investment advisers to private funds: Bachrach Asset Management Inc., Bilgari Capital LLC, Brahma Management Ltd., Bristol Group Inc., CAI Managers & Co. [read post]
17 Feb 2010, 6:19 am
The Financial Industry Regulatory Authority (FINRA) announced its first enforcement action involving the sales of reverse convertible notes (RCNs) — fining H&R Block Financial Advisors, Inc., (n/k/a Ameriprise Advisor Services, Inc.) $200,000 for failing to establish adequate supervisory systems and procedures for supervising sales of RCNs to retail customers. [read post]
31 Oct 2012, 12:28 pm
The Financial Industry Regulatory Authority Inc. recently announced that it has opened up its arbitration system to registered investment advisers (RIAs). [read post]
31 Oct 2012, 12:28 pm
The Financial Industry Regulatory Authority Inc. recently announced that it has opened up its arbitration system to registered investment advisers (RIAs). [read post]
19 Jun 2018, 6:30 am
Chicago-based Medcor, Inc., the leading health navigation firm, has acquired San Francisco-based Talisman Systems Group, Inc., the leading provider of network management services for workers’ compensation and other industries. [read post]
