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13 Nov 2023, 9:05 pm
However, the final Analytic Framework, which “describes the approach the Council expects to take in identifying, assessing, and responding to certain potential risks to U.S. financial stability,”[21]includes additional details on the FSOC’s approach that were not included in the proposal. 1. [read post]
13 Nov 2023, 4:57 pm
The threshold of seriousness Master Bell reflected upon two notable cases, Jameel (Yousef) v Dow Jones & Co Inc [2005] QB 946 and Thornton v Telegraph Media Group Ltd [2011] 1 WLR 1985. [read post]
13 Nov 2023, 5:05 am
”Despite these assurances, AXA’s multifaceted legal complaint alleged four causes of action against Christie’s: (1) gross negligence, (2) negligent misrepresentation, (3) bailment, (4) non-performance.[12] AXA asserted that Christie’s was in breach of the terms of the bailment agreement due to its failure to maintain the collection under a condition that meets the standard of reasonable security. [read post]
12 Nov 2023, 9:23 pm
This is because the vast majority of brokerage firms have mandatory arbitration clauses in their account agreements that require investors to file their disputes through FINRA. [read post]
10 Nov 2023, 1:35 pm
quickly to implement and communicate 2024 health spending account (“HFSA”), high deductible health plan amounts relevant to determining eligibility to contribute to a medical savings account (“MSA”), adoption credit and exclusion limits, and other inflation-adjusted limitations relevant to the annual enrollment, withholding and other year-end tax and benefit planning of workers and their families to assist workers to take into account these… [read post]
10 Nov 2023, 7:01 am
Following the disciplinary action, a customer filed a dispute on 1/26/2023 with no allegations, just the date range of 1/5/12—1/26/23. [read post]
9 Nov 2023, 9:01 pm
Traders are specifically excluded from the dealer definition and are defined as “a person who buys and sells securities for his or her own account, either individually or in a fiduciary capacity, but not as part of a regular business. [read post]
9 Nov 2023, 1:07 pm
quickly to implement and communicate 2024 health spending account (“HFSA”), high deductible health plan amounts relevant to determining eligibility to contribute to a medical savings account (“MSA”), adoption credit and exclusion limits, and other inflation-adjusted limitations relevant to the annual enrollment, withholding and other year-end tax and benefit planning of workers and their families to assist workers to take into account these… [read post]
8 Nov 2023, 10:27 pm
The High Court in CCIG Investments Pty Ltd v Schokman has recently overturned a decision of the Queensland Court of Appeal, shedding light on when wrongful acts occur ‘in the course or scope of an employee’s employment’.[1] Course or scope of employment? [read post]
8 Nov 2023, 10:14 pm
For investors, this rule means that they can expect their broker-dealer to take into account their specific investment profile before making any recommendations. [read post]
8 Nov 2023, 9:05 pm
ENDNOTES [1] Gary Gensler, Chair, Sec. [read post]
8 Nov 2023, 2:00 pm
Kevin Hobbs (Kevin Andrew Hobbs CRD# 4267482) is a previously registered broker whose only employer was PFS Investments Inc. [read post]
8 Nov 2023, 9:24 am
Inc. [read post]
8 Nov 2023, 6:54 am
While Christmas trees bring joy and a festive spirit, they can also be the cause of severe accidents and catastrophic injuries. [read post]
8 Nov 2023, 6:54 am
While Christmas trees bring joy and a festive spirit, they can also be the cause of severe accidents and catastrophic injuries. [read post]
6 Nov 2023, 10:23 am
Shakespeare Foundation, Inc. [read post]
6 Nov 2023, 10:23 am
Shakespeare Foundation, Inc. [read post]
6 Nov 2023, 9:46 am
Previously, he was registered with The Strategic Financial Alliance, Inc. [read post]
6 Nov 2023, 7:48 am
In Guidehouse, Inc., the Department of Defense, Washington Headquarters Services conducted a procurement to acquire audit remediation and sustainment services for the Office of the Under Secretary of Defense (Comptroller). [read post]
6 Nov 2023, 6:31 am
Posted by Subodh Mishra, Institutional Shareholder Services, on Monday, November 6, 2023 Editor's Note: Subodh Mishra is Global Head of Communications at Institutional Shareholder Services (ISS) Inc. [read post]
