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7 Nov 2023, 9:01 pm
”[8]; “customer information” is defined in the Safeguards Rule as “non-public personal information” about a customer, which includes “personally identifiable financial information,” that is not publicly available[9]; “acquisition” of customer information, pursuant to the FTC’s adopting release, “will be presumed to include unauthorized access” to such information unless the financial institution “ha[s] reliable evidence… [read post]
7 Nov 2023, 9:26 am
Hegarty, Special Agent in Charge of the Department of Defense, Office of Inspector General, Defense Criminal Investigative Service, Northeast Field Office. [read post]
6 Nov 2023, 11:16 am
Other concerns include: Improper supervision and records violations Failure to diligently supervise officers’, employees’, and agents’ opening and handling of accounts Failure to protect customers and the markets from fraud and corruption Improper enforcement of trading limits assigned by regulators Inadequate construction of a customer identification program as part of the firm’s compliance program Failure to file suspicious… [read post]
6 Nov 2023, 11:00 am
Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees. [read post]
6 Nov 2023, 4:37 am
What if your team of 10 employees triples in a few years? [read post]
4 Nov 2023, 5:25 pm
This is not the first time in this case that my office has had email issues with E/C/SA’s counsel’s office. [read post]
4 Nov 2023, 3:40 am
The Management suspended the employee and issued a Charge memo. [read post]
3 Nov 2023, 1:00 pm
An internet-communication platform in Puerto Rico sues a grab-bag of federal prosecutors, FBI agents, and employees of two competitors. [read post]
3 Nov 2023, 7:00 am
If you disagree with the audit findings, your Enrolled Agent can also help you file an appeal, representing your case to the IRS Appeals Office. 941 Employment Payroll Problems Employers are required to file Form 941, the Employer’s Quarterly Federal Tax Return, to report income taxes, social security tax, or Medicare tax withheld from employee’s paychecks, and to pay the employer’s portion of social security or Medicare tax. [read post]
3 Nov 2023, 4:06 am
Pursuant to Rule 2.120(c)(1), the discovery deposition of a natural person (an officer, director, managing agent, or designee of a party) residing in a foreign country, if taken in a foreign country, must be taken upon written questions "unless the Trademark Trial and Appeal Board, upon motion for good cause, orders that the deposition be taken by oral examination, or the parties so stipulate. [read post]
2 Nov 2023, 12:59 pm
An LLC needs an EIN number in order to open business bank accounts, hire employees in the U.S., and obtain business licenses. [read post]
1 Nov 2023, 8:46 am
The Amended Rule requires that a notification event must be treated as “discovered” as of the first day on which the event is known, and deems financial institutions to have knowledge of a notification event “if the event is known to any person, other than the person committing the breach, who is the financial institution’s employee, officer, or other agent. [read post]
31 Oct 2023, 9:03 pm
Other agents mentioned included Yersinia enterocolitica, Shigella, Cryptosporidium, and Hepatitis E virus. [read post]
31 Oct 2023, 5:40 am
Office for the Coordination of Humanitarian Affairs. [read post]
27 Oct 2023, 3:34 pm
Department of Health and Human Services Office of Inspector General (HHS-OIG). [read post]
27 Oct 2023, 10:23 am
This means no part of the income or assets can benefit insiders, such as board members, officers, or key management employees. [read post]
27 Oct 2023, 7:03 am
The new offence also applies to organisations and employees who are based overseas where an employee or agent commits a fraud offence under UK law or which targets UK victims. [read post]
25 Oct 2023, 7:17 pm
The key here is that the employee or officer acted with the intent to benefit the corporation. [read post]
25 Oct 2023, 3:56 am
An anonymous Ukrainian military officer confirmed that the majority of the unit’s 50 members are indigenous people of Siberia who are eager to fight against what they perceive to be Russian imperialism both inside their homelands and in Ukraine. [read post]
24 Oct 2023, 7:57 am
Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees. [read post]
