Search for: "Prudential Securities"
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13 Apr 2022, 8:46 am
On 13 April 2022, there was published the official translations of the European Securities and Markets Authority’s guidelines concerning delay in the disclosure of inside information and interactions with prudential supervision. [read post]
30 Apr 2020, 11:41 pm
Social Security Administration did that. [read post]
17 Jan 2020, 12:06 am
On Storlie's Uniform Termination Notice for Securities Industry Registration ( the "Form U5"), Prudential's narrative under "Termination Explanation" was "Did not meet management's expectations. [read post]
20 Jan 2010, 4:29 pm
The SEC and General Re Corporation settled fraud charges relating to General Re's alleged involvement in separate schemes by American International Group and Prudential Financial, Inc. to manipulate and falsify their reported financial results. [read post]
22 Jul 2011, 6:07 am
Filing her claim under the authority of ERISA (Employee Retirement Income Security Act of 1974), Alexander has asked the Court to force Prudential to comply with its obligation to pay her disability benefits pursuant to the insurance plan she has with Prudential. [read post]
17 Dec 2020, 8:35 am
We’ve helped thousands of claimants secure their long term disability benefits under a variety of conditions, and we can help you too – just give us a call today to schedule your FREE consultation! [read post]
20 Oct 2011, 3:10 pm
The Act has modified the depositor preference provisions of the Banking Act 1959 to allow for the issuing of covered bonds by ADIs, secured over a pool of assets, in priority to depositors. [read post]
22 Dec 2007, 10:00 pm
The package comprises a response paper and draft prudential standards and prudential practice guides. [read post]
21 Feb 2023, 8:49 am
On 20 February 2023, the European Commission (Commission) published a letter from John Berrigan, regarding the Call for Advice it had issued to the European Banking Authority (EBA) and the European Securities and Markets Authority (ESMA) for the purposes of the reports on the prudential requirements applicable to investment firms. [read post]
20 Jun 2007, 2:56 pm
Financial security and strength ratings, such as those provided by Fitch, Standard & Poors, Moodys, A.M. [read post]
1 Mar 2011, 7:48 am
FNC allegedly claimed that the data was confidential, secure, and private, and that only the lending institution would have access to the data transmitted via AppraisalPort. [read post]
20 Mar 2012, 5:09 am
In addition, Plaintiff applied for and received Social Security Disability benefits through the Social Security Administration. [read post]
13 Aug 2009, 6:15 am
While appealing in theory, these proposals have rarely gained traction because prudential supervision of FDIC insured banks has held up well in comparison to other financial sectors in the United States and against non-U.S. systems of prudential supervision. [read post]
15 Aug 2016, 9:01 am
The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
11 Aug 2022, 8:24 am
On 11 August 2022, the European Securities and Markets Authority (ESMA) published a Memorandum of Understanding (MoU) between itself and South Africa’s Financial Sector Conduct Authority, Prudential Authority and the South African Reserve Bank related to central counterparties (CCPs) established in South Africa. [read post]
1 Mar 2007, 1:04 pm
Both brokers were registered with Prudential Securities Inc., now called Prudential Equity Group, during this time. [read post]
16 Sep 2019, 7:10 am
When the story began, various state securities commissioners started getting complaints from a handful of their respective resident investors about the worthlessness of purchased Prudential limited partnership products. [read post]
27 Apr 2015, 11:16 am
Prudential had alleged that Bank of America and Merrill Lynch made false statements about the quality of $2.1 billion worth of residential mortgage backed securities they sold to Prudential. [read post]
22 Mar 2023, 2:51 am
On 21 March 2023, the European Securities and Markets Authority (ESMA) published a speech, given by Verena Ross, entitled ‘The macro-prudential supervision of investment funds – from a global debate to a balanced European regulatory frameworks’. [read post]
21 Dec 2015, 12:37 pm
On December 16, the EBA published its final report setting out draft RTS on prudential requirements for central securities depositories (“CSDs”) under the Regulation on improving securities settlement and regulating CSDs (Regulation 909/2014) (“CSDR”). [read post]
