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28 Jan 2020, 7:00 am
Financial Advisor Tom A. [read post]
28 Jan 2020, 2:00 am
Indeed, the effects of financial stress have been well documented. [read post]
27 Jan 2020, 1:42 pm
Do You Have Investment Loses With Steven Reznik Or Raymond James Financial Services? [read post]
27 Jan 2020, 2:01 am
The post Student Loan Assistance Benefits Employers and Employees appeared first on HR Daily Advisor. [read post]
27 Jan 2020, 2:00 am
In fact, the survey showed that 90% of executives in health care, consulting, and financial services believe that AI will be transformative at their organizations in the next 5 years. [read post]
24 Jan 2020, 4:08 pm
Approximately 14 million data subjects (with respect to non-financial personal data) and over five million payment cards were affected. [read post]
24 Jan 2020, 5:18 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including compliance with federal and state laws and rules. [read post]
23 Jan 2020, 3:16 pm
Peters, a registered investment advisor, defrauded clients by steering them to investments in which he had a personal financial interest, stole clients’ funds, and made misstatements to the SEC. [read post]
22 Jan 2020, 6:28 am
” The National Association of Insurance and Financial Advisors’ New Jersey chapter were reportedly proponents for the new law. [read post]
21 Jan 2020, 7:07 am
In fact, regulators have fined broker-dealers and Money Service Businesses (MSBs) millions of dollars for failing to file SARs on agent fraud, questionable transactions by investment advisors, account takeover, and breaches of personal data. [read post]
21 Jan 2020, 6:22 am
To date, the Forum has published more than 7,500 posts by more than 6,000 different contributors, including prominent academics, public officials, executives, legal and financial advisors, institutional investors, and other market participants. [read post]
20 Jan 2020, 1:23 pm
The New York Department of Financial Services has announced that Leandra English, who formerly served as CFPB Deputy Director, has joined the NYDFS executive team as Special Policy Advisor. [read post]
20 Jan 2020, 5:25 am
“With financial knowledge in general, people tend to be overconfident,” he said. [read post]
17 Jan 2020, 5:54 am
Posted by by the Harvard Law School Forum on Corporate Governance & Financial Regulation, on Friday, January 17, 2020 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of January 10-16, 2020. [read post]
16 Jan 2020, 12:28 pm
Financial Advisor Mark J. [read post]
16 Jan 2020, 6:35 am
In terms of what firms need to do the factsheet covers the following headlines: (i) establish where your LIBOR exposures are; (ii) check your contract terms; (iii) familiarise yourself with SONIA, and what it means for you / your business; and (iv) speak to your bank, product provider, consult with a financial services professional or advisor. [read post]
16 Jan 2020, 6:35 am
In terms of what firms need to do the factsheet covers the following headlines: (i) establish where your LIBOR exposures are; (ii) check your contract terms; (iii) familiarise yourself with SONIA, and what it means for you / your business; and (iv) speak to your bank, product provider, consult with a financial services professional or advisor. [read post]
15 Jan 2020, 10:02 am
Two lawyers have the ability and expertise, but lack the financial resources to set up distinct ancillary businesses with disclaimers. [read post]
14 Jan 2020, 5:45 am
Posted by Subodh Mishra, Institutional Investor Services, Inc., on Tuesday, January 14, 2020 Editor's Note: Subodh Mishra is Executive Director at Institutional Shareholder Services, Inc, G. [read post]
13 Jan 2020, 6:33 pm
No business wants to get hit with a bill or judgement for unpaid overtime or other wages and penalties under the Fair Labor Standards Act (“FLSA”). [read post]
