Search for: "Association of Supervisory "
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6 Jun 2024, 9:05 pm
Tarullo recommended that, although idealistic, stress testing to set capital minimums should be administered in a more dynamic fashion with more supervisory discretion allowed. [read post]
5 Jun 2024, 3:38 pm
Triad Advisor allegedly failed to establish and maintain a reasonable supervisory system to achieve compliance with suitability requirements. [read post]
5 Jun 2024, 1:45 pm
January 2016 – Former Crown Capital advisor Eric Kuchel (CRD #4118500, Yorba Linda, California) was barred from association with any FINRA member in any capacity. [read post]
5 Jun 2024, 10:52 am
David Lerner Associates was required to make changes to its supervisory systems, training programs, and advertising procedures as part of the settlement. [read post]
3 Jun 2024, 4:31 am
” Kefalas alleged that he was “vested with the vast majority of the managerial and supervisory duties” for this part of the venture, in exchange for which he would receive a “12.5% share of the profits” from sale or redevelopment of a building on Maiden Lane. [read post]
31 May 2024, 11:49 am
Supervisory and Record Keeping Violations May 9, 2024: The Financial Industry Regulatory Authority (FINRA) reportedly reached a settlement with Merrill Lynch addressing supervisory and recordkeeping deficiencies related to the execution of retail equity orders. [read post]
30 May 2024, 7:28 am
In addition to the fine, Thrivent must certify within 120 days that it has remediated these issues and implemented a compliant supervisory system, according to FINRA. [read post]
29 May 2024, 10:13 am
In particular, it generally requires that the processing either comply with one of the French Supervisory Authority’s (“CNIL”) standards (such as the méthodologies de référence or “MRs” – hereafter Health Data Standards”) or be specifically authorized by the CNIL. [read post]
29 May 2024, 6:30 am
Posted by Gregg Beechey, Zac Mellor-Clark, Nishkaam Paul, Fried, Frank, Harris, Shriver & Jacobson LLP, on Wednesday, May 29, 2024 Editor's Note: Gregg Beechey and Zac Mellor-Clark are Partners and Nishkaam Paul is an Associate in Fried Frank’s Asset Management Practice Group. [read post]
29 May 2024, 6:30 am
Posted by Gregg Beechey, Zac Mellor-Clark, Nishkaam Paul, Fried, Frank, Harris, Shriver & Jacobson LLP, on Wednesday, May 29, 2024 Editor's Note: Gregg Beechey and Zac Mellor-Clark are Partners and Nishkaam Paul is an Associate in Fried Frank’s Asset Management Practice Group. [read post]
28 May 2024, 11:38 am
On 23 – 24 May 2024 there was a Case Management Conference in Lawrence & ors v Associated Newspapers Ltd KB-2022-003316. [read post]
17 May 2024, 11:26 am
The Report outlines how FINRA seemingly stepped up its investigatory efforts in 2023, levying $89 million in fines against member firms and associated persons. [read post]
16 May 2024, 8:11 am
Digitalisation raises regulatory and supervisory implications for both banks and supervisors. [read post]
15 May 2024, 8:58 am
Next steps The PRA states that it will engage collectively with firms and trade associations in H2 2024 to discuss the findings of the letter, and it will include it as a topic for discussion at the June CEOs conference. [read post]
15 May 2024, 6:02 am
For Members of the Supervisory Board, a corresponding clause should be included in the articles of association. [read post]
13 May 2024, 9:05 pm
This is aside from the costs associated with too-big-to-fail (TBTF). [read post]
12 May 2024, 6:05 am
It is now clear that AI-related regulatory concerns likely will also extend to supervisory efforts of U.S. states as well, as reflected in the Colorado legislature’s May 8, 2024 passage of the Colorado Artificial Intelligence Act. [read post]
7 May 2024, 7:35 am
Promissory notes are closely monitored by regulators, with short-term notes often being associated with fraudulent schemes. [read post]
6 May 2024, 5:01 am
But other cases allowed pseudonymity for challenges to school board policies on teaching views associated with Critical Race Theory, or on gender identity. [read post]
2 May 2024, 6:53 am
” “It’s hard to have eyes on what your associates and staff are doing when they’re not on-site. [read post]
