Search for: "Principal Financial Services Incorporated"
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30 Nov 2023, 9:01 pm
Such conditions would include, but not be limited to, a market condition as described in Question 128D.16 or a condition that results in vesting upon the earlier of the holder’s actual retirement or the satisfaction of the requisite service period. [read post]
27 Nov 2023, 9:34 am
Another special kind of breach of fiduciary duty rooted in agency law, the faithless servant doctrine holds that “[o]ne who owes a duty of fidelity to a principal and who is faithless in the performance of his services is generally disentitled to recover his compensation, whether commissions or salary,” from the first act of disloyalty. [read post]
20 Nov 2023, 9:01 pm
., loss of principal).2 SIPA largely incorporates the Bankruptcy Code and allows the SIPA trustee to recover property transferred by the debtor that would have been customer property if and to the extent that the transfer would have been voidable or void under the Bankruptcy Code.3 Irving H. [read post]
2 Nov 2023, 9:05 pm
” The Federal Trade Commission (FTC) amended a rule that protects consumers from financial data breaches. [read post]
27 Oct 2023, 9:25 pm
Financial accommodation – Before providing any financial accommodation to clients for investing in VA-related products, the intermediary should satisfy itself of the client’s ability to meet the obligations arising from leveraged or margin trading in VA-related products. [read post]
24 Oct 2023, 4:36 pm
” The Supreme Court in Lachaux did seek to impugn this practice which has now been incorporated into the latest version of the King’s Bench Division Guide (2023) at paragraph 17.34. [read post]
9 Oct 2023, 6:32 am
Posted by Laura D. [read post]
9 Oct 2023, 6:32 am
Posted by Laura D. [read post]
3 Oct 2023, 12:46 pm
If a third-party incorporation service does the filing for a company, the second company applicant will be an employee or representative of that service company. [read post]
29 Sep 2023, 6:39 am
If an incorporation service assisted with forming the company, the second company applicant will be the employee who directly submitted the formation documents to the state. [read post]
24 Sep 2023, 9:01 pm
In summary, these are: Ownership and interests in land or real property acquired prior to July 1, 2023—a foreign principal or Relevant Chinese Person that owns or acquires interests in land or real property that is subject to the restrictions set out above before July 1, 2023, may continue to own or hold such land or real property.[14] However, such foreign principal must register their property ownership with the Department of Agriculture and Consumer… [read post]
17 Sep 2023, 9:48 am
Fifth , the financial relationship between the tribe and the entity. [read post]
10 Sep 2023, 7:49 am
In contrast, the court sanctions the misrepresentation that the plaintiff had a principal place of business in Chicago. [read post]
24 Aug 2023, 7:35 am
If you used an incorporation service to form your LLC or corporation, the agent who submitted your company formation documents to the state needs to be reported as a company applicant. [read post]
18 Aug 2023, 3:43 am
The principal offences under the UKBA have an even broader jurisdictional scope. [read post]
9 Aug 2023, 9:01 pm
The release of the Capital Proposal was marked by significant dissents by principals of the FDIC and Federal Reserve. [read post]
6 Aug 2023, 5:40 am
August 2, 2023Appellate Division, First DepartmentAge 29 Law allows unmarried children through age 29, regardless of financial dependence, to be covered under a parent’s group health insurance policy In B.D. [read post]
1 Aug 2023, 11:55 pm
Municipal Bonds Gone Bad In 2015 The Financial Industry Regulatory Authority (FINRA) announced that it has censured and fined UBS Financial Services Incorporated of Puerto Rico (UBS PR) $7.5 million for supervisory failures related to the suitability of transactions in Puerto Rican closed-end fund (CEF) shares. [read post]
1 Aug 2023, 4:28 pm
DCAA’s mission is to conduct contract audits and to provide accounting and financial advisory services to all Department of Defense (DoD) components responsible for procurement and contract administration. [read post]
1 Aug 2023, 4:27 pm
Companies and investors incorporate ESG principles because they understand that long-term financial performance and sustainability may be impacted by business practices that are materially different than short-term return-on-investment. [read post]
