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10 Sep 2019, 7:10 am
Confirmations could take any reasonable form, including electronic delivery or delivery through the system already developed by proxy servicing firm Broadridge Financial Solutions. [read post]
9 Sep 2019, 7:42 am
LLC acted as financial advisor and Cooley LLP acted as legal advisor. [read post]
9 Sep 2019, 6:00 am
Her extensive list of career accomplishments also includes service as National Program Leader for Farm Financial Management, Trade Adjustment Assistance, Risk Management Education, and the Beginning Farmer and Rancher Development Programs at the USDA National Institute for Food and Agriculture.Janie holds a JD from Oklahoma City University and an LL.M. in Agriculture and Food Law from the University of Arkansas School of Law. [read post]
9 Sep 2019, 5:00 am
New Burdens Associated with the Obligation of Disclosure and Form CRS Reg BI expressly requires BDs and RRs to make “full and fair” written disclosures at the time of any recommendation, concerning (i) the material fees and costs associated with the transaction, holdings, and accounts; (ii) the type and scope of services; (iii) any limitation on services offered; and (v) any conflict of interest. [read post]
9 Sep 2019, 5:00 am
New Burdens Associated with the Obligation of Disclosure and Form CRS Reg BI expressly requires BDs and RRs to make “full and fair” written disclosures at the time of any recommendation, concerning (i) the material fees and costs associated with the transaction, holdings, and accounts; (ii) the type and scope of services; (iii) any limitation on services offered; and (v) any conflict of interest. [read post]
8 Sep 2019, 9:05 pm
Volcker and his National Commission on the Public Service thirty years ago called the “quiet crisis” in public service. [read post]
8 Sep 2019, 7:51 am
Barrios, formerly registered with UBS Financial Services Inc. [read post]
7 Sep 2019, 4:00 am
She previously served as the Managing Director of Budget and Fiscal Studies for the New York State Senate Finance Committee focusing on financial analysis surrounding public protection, including corrections, criminal justice services, homeland security and emergency services, State Police, victim services and local government issues. [read post]
6 Sep 2019, 5:39 am
, Proxy advisors, State law SEC’s New Guidance on Proxy Voting Responsibilities Posted by David A. [read post]
5 Sep 2019, 11:52 am
To sign up for e-mail updates from the NextGen Financial Services Report, click Here. [read post]
5 Sep 2019, 7:21 am
Royal Alliance Associates Inc FSC Securities Corp Woodbury Financial Services Inc Advisor Group In August 2018, the Massachusetts Securities Division was the first to launch its investigation of GPB Capital. [read post]
5 Sep 2019, 6:26 am
His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. [read post]
4 Sep 2019, 11:02 am
Gunter brings nearly 10 years of financial services knowledge and experience to the firm. [read post]
4 Sep 2019, 8:42 am
Raymond James served as a buyside financial advisor to TCV for this investment. [read post]
3 Sep 2019, 2:00 am
The post Dealing with Employee Engagement for Overtime Employees appeared first on HR Daily Advisor. [read post]
2 Sep 2019, 9:05 pm
The mostly headquarters personnel work as policy advisors, program managers, executives, statisticians, legal counselors, human resources advisors, financial management professionals, communications specialists, real property, material and acquisition services, information technology and information management specialists. [read post]
2 Sep 2019, 12:59 pm
Every year after Labor Day, I take a step back and review the most important current trends and developments in the world of Directors’ and Officers’ liability and D&O insurance. [read post]
30 Aug 2019, 4:37 pm
The tribal attorney serves as an in-house legal advisor, representative, and counselor. [read post]
30 Aug 2019, 5:53 am
, Pay for performance, Proxy advisors, Shareholder value Index Fund Enforcement Posted by Alexander I. [read post]
29 Aug 2019, 2:00 am
The post Supporting Parents in the Workplace: Childcare Benefits appeared first on HR Daily Advisor. [read post]
