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5 Apr 2022, 9:05 pm
Government ethics rules require panel appointees to submit financial information, a Form450 disclosure. [read post]
24 Sep 2019, 2:00 am
Too many companies rely on a one-dimensional, manager-driven approach to celebrating service anniversaries and career milestones. [read post]
23 Jul 2021, 6:06 am
Barber (UC Davis), Wei Jiang (Columbia), and Adair Morse (UC Berkeley), on Monday, July 19, 2021 Tags: COVID-19, Diversity, Labor markets, Shocks, Stakeholders, Surveys Putting the F into ESG—The Importance of Financial Materiality in ESG Investing Posted by Subodh Mishra, Institutional Shareholder Services, Inc., on Monday, July 19, 2021 Tags: ESG, Institutional Investors, Long-Term… [read post]
15 Sep 2013, 4:51 am
He has served as legal counsel and as a key business and financial advisor to Indian tribes since 1983. [read post]
21 Dec 2020, 11:18 am
However, state TNC statutes do vary as to whether drivers that utilize application-based platforms to deliver goods or services (such as food) can satisfy their financial responsibility requirements through the surplus lines market. [read post]
30 May 2018, 8:42 am
The individual can simply order his or her financial advisor to transfer a portion of the money in his or her current IRA to a new account in the name of his or her (soon to be ex) spouse. [read post]
16 Aug 2017, 12:35 pm
According to the complaint, the traders profited on market-moving news related to 30 impending corporate deals from October 2014 to April 2017.The SEC’s complaint alleges that Rivas frequently tipped his girlfriend’s father, James Moodhe, who traded on the information and used coded conversations and in-person meetings to relay the tips to his friend, Michael Siva, a financial advisor at a brokerage firm. [read post]
29 Aug 2016, 4:00 am
Department of Labor (DOL) issued a new rule – generally referred to as the fiduciary rule*– which seeks to protect workers’ saving and investments for retirement by mandating that their financial advisers act in a fiduciary capacity when providing financial advice for retirement purposes. [read post]
22 Jan 2024, 2:48 pm
However, the CTA creates numerous exceptions such as:Public companies.Larger companies (with a physical US location, > 20 employees, and > $5M in gross receipts/sales).Companies in regulated industries (e.g., financial services, including certain investment companies, fund advisors, and pooled investment vehicles; insurance)Tax-exempt entities.Subsidiaries (e.g., portfolio companies) controlled or wholly owned by an exempt entity (depending on the specific exception… [read post]
4 Oct 2013, 7:23 am
Moreover, the stakes on this case were very high, so there was a lot of incentive on the part of the injured party’s counsel to litigate even the most basic workers' compensation issues.The case arose out of a tragic airplane crash that occurred in January 2006, which killed several financial advisors employed by Morgan Stanley, as well as the owner of the aircraft and a Morgan Stanley customer. [read post]
7 Mar 2016, 7:26 am
In a separate administrative proceeding, the RIEDC’s financial advisor for the bond offering – First Southwest Company LLC – agreed to settle charges that it violated MSRB rules by failing to document in writing the scope of the services the firm was providing in the bond offering until seven months after the financial advisory relationship began. [read post]
9 Apr 2012, 6:06 pm
• Prior to enrollment, schools will provide service members access to an institutional financial aid advisor who will provide a clear and complete explanation of available financial aid to include Title IV, and appropriate loan counseling before offering, recommending, or signing up a student for a school loan. [read post]
10 Jun 2011, 9:00 am
Many banks provide a broad range of banking services to municipalities, they noted, including deposit, basic cash management, lockbox, and short-term lending services. [read post]
15 Apr 2012, 5:51 pm
With the politicalclimate becoming more and more focused on the election, it is only natural that there would be less attention devoted to a law that the financial services industry is committed to pealing back or doing away with altogether. [read post]
8 Apr 2008, 3:48 pm
Hawes is the owner and president of Financial Management Advisory Services (FMAS) and Financial Management Services (FMS) Inc. [read post]
10 May 2019, 6:17 am
When Dual-Class Stock Met Corporate Spin-Offs Posted by Geeyoung Min (Columbia Law School) and Young Ran (Christine) Kim (University of Utah), on Friday, May 3, 2019 Tags: Agency costs, Agency model, Dividends, Dual-class stock, IPO Spinning, IPOs, Management, Mergers & acquisitions, Reorganizations, Shareholder voting, Spinoffs Aiming Toward the Future Posted by Tami Groswald-Ozery, Harvard Law School, on Friday, May 3, 2019 … [read post]
31 Aug 2016, 6:00 am
However, the financial statements failed to disclose that the accrued interest would be allocated solely to Apollo Advisor VI’s capital account, meaning that Apollo Advisor VI was effectively paying interest to itself. [read post]
28 May 2010, 11:30 am
You may also participate in the Advisor Plan, which is sold exclusively through financial advisors and has different investment options and higher fees and expenses as well as financial advisor compensation [read post]
22 Jul 2009, 6:25 am
Representative Barney Frank (D-MA), House Financial Services Chairman, declared his support for the legislation and circulated it to other members of the committee with the near-term objective of marking up the legislation this week. [read post]
7 Sep 2016, 11:38 am
Nevertheless, proponents argue that it lowers the cost of providing consumer products and services. [read post]
