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28 Jun 2023, 2:05 am
The post How Automation Supports Humanity at Work appeared first on HR Daily Advisor. [read post]
29 Jul 2021, 9:12 pm
Importantly, the Regime strengthens the Banking Executive Accountability Regime (BEAR), and extends the regime, in line with the recommendations from the Financial Services Royal Commission, to insurers and registrable superannuation entity licensees (all APRA-regulated entities). [read post]
30 Sep 2019, 2:00 am
The post 4 Technology Opportunities Most Businesses Don’t Take Advantage Of appeared first on HR Daily Advisor. [read post]
6 Aug 2019, 2:58 pm
FINRA Rule 3270 (formerly NASD Rule 3030) prohibits FINRA financial advisors from engaging in outside businesses unless they are properly disclosed to and approved by the advisor’s brokerage firm. [read post]
14 Dec 2023, 9:01 pm
The New York Department of Financial Services (NYDFS) has finalized amendments (“Amended Regulation”) to its cybersecurity rule (“Cybersecurity Rule”) that applies to financial institutions licensed by the NYDFS. [read post]
14 Apr 2012, 1:06 pm
He observes that "the DOL is conducting an increasing number of investigations of financial service providers, including registered advisers, banks and trust companies (both as trustees or custodians but also as asset managers), and consultants. [read post]
10 Mar 2022, 2:05 am
To be competitive in the war for talent, companies need to step up with better healthcare, continued education and certifications, unrestricted emergency savings vehicles, access to short-term financial liquidity, robust retirement matches, ready access to mental health services, safe spaces to deal with addictions, inclusive work environments, and many more things to foster the holistic wellness of each employee. [read post]
28 Mar 2023, 12:25 pm
Here is the abstract: In recent years, many corporate attorneys have tried to function not merely as legal advisor to their clients, but as business consultants to them, and even as investors in their enterprises. [read post]
28 Jun 2012, 6:38 am
The complex bankruptcy transaction was named “Healthcare Services Turnaround of the Year” at the annual awards gala in Chicago. [read post]
3 Sep 2024, 7:13 am
Automated trading algorithms and AI-based financial advisory services are reducing the need for human traders and financial advisors. [read post]
15 Apr 2022, 6:24 am
Many GWG Investors have already hired attorneys to file FINRA arbitration claims against their financial advisor. [read post]
5 Feb 2024, 9:05 pm
The National Association of Insurance and Financial Advisors (NAIFA), an opponent of the proposed rule, argues that existing state and federal measures already sufficiently protect investors. [read post]
18 Aug 2015, 6:23 am
From January 2003, until May 2007, Honingstock was registered with UBS Financial Services, Inc. [read post]
3 Aug 2015, 6:17 am
Thereafter, from December 2009, through February 2012, Delguercio was associated with UBS Financial Services Inc. [read post]
19 Sep 2014, 2:11 am
”In total, approximately 2000 of the total 33 000 investors have lodged complaints against their financial advisors regarding investments in Sharemax.Termination of rescue proceedingsAs part of the liquidation process, Sars also applied for the termination of the rescue proceedings for Sharemax Investment as a the requirements for business rescue had not been fulfilled. [read post]
26 Dec 2016, 12:02 pm
It can involve the services of a variety of professionals, including your lawyer, accountant, financial planner, life insurance advisor, banker and broker.Estate planning covers the transfer of property at death as well as a variety of other personal matters and may or may not involve tax planning. [read post]
9 Oct 2012, 3:53 pm
Also, a customer of Infinity was acting as a commodity trading advisor and trading client accounts even without a power of attorney or the necessary registration. [read post]
30 May 2011, 1:30 pm
It would also expand the Secret Service’s authority to use funds to advance under cover operations. [read post]
28 May 2021, 7:21 am
However, a financial advisor or brokerage firm cannot argue that they currently lack the “bona fide ability to pay”. [read post]
19 Feb 2021, 7:56 am
Allstate Financial Services, LLC Timothy Melvin Horace Mann Investors, Inc. [read post]
