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10 Mar 2021, 7:34 am
Firms reacted well to operating in this new environment, and the SEC will not be playing "gotcha" in light of these necessary changes, she assured.Bernstein also asked about SEC enforcement actions following the completion of the Enforcement Division’s Share Class Selection Disclosure (SCSD) Initiative, which provided investment advisers a mechanism to self-report disclosure violations related to conflicts of interest on mutual fund fees. [read post]
9 Mar 2021, 9:05 pm
The two approaches are mutually reinforcing, not mutually exclusive.] [read post]
9 Mar 2021, 9:03 pm
Before public trading begins, the underwriters resell some of their shares to institutional investors, such as mutual funds and credit unions. [read post]
9 Mar 2021, 2:31 pm
The energy mutual fund invests 80% of its assets in energy and energy-related companies. [read post]
9 Mar 2021, 10:36 am
The TCA does not clearly regulate the area of financial services, nor it provides detailed regulation for automatic mutual recognition of professional qualifications. [read post]
9 Mar 2021, 9:52 am
"Providing public access to judicial records is the duty and responsibility of the Judicial Branch. [read post]
9 Mar 2021, 7:20 am
Many tech houses provide “out of box” or “off the shelf” solutions which often hold the allure of a lower price point. [read post]
9 Mar 2021, 3:58 am
These categories of brokers are not mutually exclusive. [read post]
9 Mar 2021, 3:00 am
This Rule provides exemptions for state-regulated advisers from state RIA registration. [read post]
8 Mar 2021, 12:27 pm
Northwestern Mutual Life Insurance Co., No. 084836 (Sup. [read post]
8 Mar 2021, 12:19 pm
The post FINRA Bars Stockbrokers For Failing To Provide FINRA With Information February 2021 appeared first on Securities Arbitration Lawyers Blog. [read post]
8 Mar 2021, 8:02 am
Facebook created its Oversight Board to review the platform’s content moderation decisions and provide legitimacy to the moderation process, but it remains to be seen whether the result will be wiser decisions or escalating mistakes. [read post]
8 Mar 2021, 3:58 am
As Jin notes, the two goals are mutually supportive. [read post]
7 Mar 2021, 11:07 pm
HaystackID, a provider of eDiscovery services recently noted as a worldwide leader by industry research and advisory firm IDC, will serve as the inaugural update sponsor. [read post]
7 Mar 2021, 5:15 pm
The publication of these priorities is supposed to provide a framework for those registered persons and entities to prepare for the onslaught of SEC examiners. [read post]
5 Mar 2021, 3:10 pm
The Effect of Mutual and Multifaceted Securitization Paul Kirby & Laura J Shepherd, Women, Peace, and Security: Mapping the (Re)Production of a Policy Ecosystem Reyko Huang & Mohammad Ayatollahi Tabaar, We Are All Coethnics: State Identities and Foreign Interventions in Violent Conflict Sefa Secen, Explaining the Politics of Security: Syrian Refugees in Turkey and Lebanon Maria Josua, What Drives Diffusion? [read post]
5 Mar 2021, 2:58 pm
The parents shall treat each other with mutual respect and shall foster in the child respect for the other parent. [read post]
5 Mar 2021, 11:59 am
For example, the Help Center post examines how Facebook’s vaccine policy intersects with that of coordinated harm and hate speech to demonstrate that it is challenging to address content by placing it in mutually exclusive categories. [read post]
4 Mar 2021, 8:24 am
In this regard, firms and fund complexes can expect examiners to review the consistency and adequacy of the disclosures provided to clients regarding these strategies. [read post]
4 Mar 2021, 7:41 am
By adhering to (and updating) the employee handbook, the owners/administrators and the staff will have a mutual understanding of expectations and an avenue for performance reviews. [read post]
