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28 Dec 2020, 2:00 am
“[M]any of those new roles come with duties focused on mitigating the risk of COVID-19’s spread, such as COVID Guidelines Associate in the Home & Commercial Services industry and Virtual Administrative Assistant in the Insurance & Financial Services industry,” reports CareerPlug. [read post]
27 Dec 2020, 12:49 pm
The Financial Industry Regulatory Authority (FINRA) is authorized by Congress to regulate the financial services industry and operates the largest arbitration forum for securities disputes. [read post]
24 Dec 2020, 3:00 pm
Your Investment Advisor or Broker Made Trades Solely in Order to Generate Fees While investment advisors and brokers are entitled to earn a reasonable fee when they perform services for their clients, they are not permitted to make recommendations or execute trades solely for the purpose of generating a fee. [read post]
22 Dec 2020, 1:21 pm
Croatian Agency for Supervision of Financial Services published a detailed notice on its website on 1st December 2020 confirming no temporary permission regime for UK entities providing cross border financial services. [read post]
22 Dec 2020, 10:02 am
Alame has been affiliated with Insight Advisors, LLC in Newtown, Pennsylvania, and Gate Key Financial, L.L.C., in Raleigh, North Carolina. [read post]
22 Dec 2020, 9:43 am
Financial Reports. [read post]
21 Dec 2020, 5:17 pm
Currently non-treatment involved Covered Entities participating in care coordination and case management can only receive and share the minimum necessary PHI as their lack of involvement in treatment disqualifies them for reliance upon the treatment exception to the Privacy Rule’s general requirement to limit disclosures to the minimum necessary.The Proposed Rule also would allow Covered Entities to disclose PHI to community-based organizations, home and community-based… [read post]
21 Dec 2020, 11:18 am
However, state TNC statutes do vary as to whether drivers that utilize application-based platforms to deliver goods or services (such as food) can satisfy their financial responsibility requirements through the surplus lines market. [read post]
21 Dec 2020, 7:26 am
Lacewell, superintendent, New York State Department of Financial Services. [read post]
21 Dec 2020, 3:00 am
Even if their services aren’t needed immediately, they can help develop a litigation strategy, assist in gathering financial evidence, and rebut the evidence of opposing experts. [read post]
18 Dec 2020, 5:07 pm
He has also been affiliated with Charter Advisory Corporation and Tavel Insurance & Financial Services, LLC. [read post]
18 Dec 2020, 5:58 am
Freedman, Olshan Frome Wolosky LLP, on Friday, December 11, 2020 Tags: Disclosure, EDGAR, Filings, Financial reporting, Rule 302(b), SEC, SEC rulemaking, Securities regulation Board Considerations for an Uncertain 2021 Posted by Holly J. [read post]
18 Dec 2020, 2:00 am
The post Despite Increasing COVID-19 Cases, 2021 Hiring Forecasts Look Positive appeared first on HR Daily Advisor. [read post]
17 Dec 2020, 9:03 pm
The new rule provides exemptions for advisors who give time-limited advice about Rollover IRAs, among other things. [read post]
17 Dec 2020, 8:30 pm
EPA Can’t Claw Back Names of ‘Happy Hour’ Oil Lobbyists Courthouse News Service – Nicholas Iovino | Published: 12/9/2020 The U.S. [read post]
16 Dec 2020, 2:00 am
The post Tips for Dealing with Employees’ Abusive Social Media Posts appeared first on HR Daily Advisor. [read post]
15 Dec 2020, 2:23 pm
FINRA has also censured Tomlinson’s employer, New York financial services firm R.F. [read post]
15 Dec 2020, 12:21 pm
FINRA has suspended financial advisor Drew R. [read post]
15 Dec 2020, 10:01 am
Infinity Financial Services, an Oakland, CA-based firm founded 13 years ago by a former Merrill Lynch broker, failed to contact former employers and had no procedures for conducting searches of public records, according to an “acceptance, waiver and consent letter” it signed with Finra. [read post]
15 Dec 2020, 6:07 am
Studies of financial services industries have consistently found evidence of conflicted advice. [read post]
