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20 Jul 2022, 6:32 am
At the same time, the European Financial Reporting Advisory Group (EFRAG) is working to establish the reporting standards for the European Union’s Corporate Sustainability Reporting Directive (CSRD). [read post]
2 Apr 2013, 1:56 pm
(Photo credit: Wikipedia)As a former Chicago denizen, "TUOL" thought the 10-year agreement under which the tabloid Chicago Sun-Times agreed to be published by the rival broadsheet Chicago Tribune (see "TUOL" post 7/20/11) was the most unlikely and worst financial decision since Oscar Madison and Felix Unger decided to share an apartment.Now, according to a Tribune article about a story originally uncovered by blogger Robert Feder (the Sun-Times former tv beat… [read post]
12 Sep 2018, 8:05 am
” Regulatory Sandbox: The fragmented nature of the U.S. financial regulatory system (federal and state) requires fintech firms to engage with several, even dozens of, regulators, which causes significant burdens in terms of time, money, and startup capital. [read post]
3 Aug 2010, 12:10 pm
You can also include a date or a specific occurrence like your incapacity or illness as the time when you want your document to be canceled and your Agent's power to act for you to end.WHEN DO THE POWERS TAKE EFFECT? [read post]
26 Jan 2024, 1:35 pm
Paternal Parenting Time For most unmarried fathers, gaining parenting time is a priority, establishing their ability to have a close relationship with their child. [read post]
26 Jul 2018, 10:32 am
Joshua Ellis was with LPL Financial in its Kennesaw, Georgia office until October 2017 when he was discharged for failing to timely respond to inquiries from the firm’s compliance department. [read post]
14 May 2013, 8:46 am
The first program, entitled “Fair Lending,” discussed recent fair lending developments on the federal enforcement front and in private class action litigation, focusing on what may happen as the consumer Financial Protection Bureau attempts to enforce fair lending laws for the first time in the auto finance segment of the industry. [read post]
17 May 2018, 8:00 am
One can accidently forget to pay the credit card bill on time. [read post]
2 Jun 2008, 8:39 pm
And the Boomer clients will need to take the time to learn what their young advisers bring to the table. [read post]
12 Apr 2018, 7:43 am
Yesterday, Mick Mulvaney made his first appearance as CFPB Acting Director before the House Financial Services Committee to present the Bureau’s Semi-Annual Report to Congress for the period beginning April 1, 2017, and ending September 30, 2017, a period of time when Richard Cordray was still the Director. [read post]
Financial Advisor Gina Chaney Discharged From Employment in Connection with Equity-Indexed Annuities
22 Feb 2018, 4:00 am
Chaney was employed with Center Street of Stone Mountain, GA, for only a brief period of time in 2017. [read post]
10 Nov 2022, 3:42 pm
“We remain laser-focused on the things we can control during these difficult economic times. [read post]
15 May 2019, 7:21 am
Mutual of Omaha is certainly a viable target for Matthes’s fraudulent scheme since at all times he was a registered representative of the firm and as such, Mutual of Omaha had a duty to supervise his activities. [read post]
27 Jul 2010, 2:08 pm
Excellent and thought-provoking article at Knowledge@Wharton, entitled, "Turning Shanghai into a Global Financial Hub: So Much to Do, So Little Time. [read post]
31 May 2011, 8:44 pm
The New York Times says that someone familiar with this matter told the newspaper that the prosecutor is seeking information related to the financial crisis. [read post]
23 Oct 2024, 8:16 am
However, this provides an added incentive, if one were needed, for firms to devote time, attention and resources to their financial crime controls and ensuring that they are ready for when the offence comes into force in 2025. [read post]
11 Jan 2022, 8:25 am
By the time a bankruptcy stay is lifted, any money you’d hope to win in a lawsuit may be gone. [read post]
10 Sep 2021, 5:17 am
It would seem obvious why a financial advisor would accept the life time bar – they do not want to provide FINRA with any information because FINRA is on to something. [read post]
15 Apr 2007, 10:01 pm
Once your divorce is finalized, it is time to begin laying the groundwork for your future. [read post]
7 Dec 2023, 2:06 pm
His previous employers include LPL Financial LLC (CRD# 6413), also of Coral Springs, Invest Financial Corporation (CRD# 12984) of Fort Lauderdale, and Middlebury Securities LLC(CRD#122602) of Boca Raton. [read post]
