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30 Jan 2020, 3:25 pm
OCIE also will examine the use of “robo-advisers,” or investment tools and platforms used by RIAs to provide investor services automatically. [read post]
30 Jan 2020, 8:17 am
The appointment is for a two-year position with the possibility of a third year by mutual agreement, beginning In August 2020.The fellow will assume significant academic, advising and administrative responsibilities. [read post]
30 Jan 2020, 6:22 am
Continuous dialogue with audit committees on areas of mutual importance helps us to advance our mission and may assist audit committees in fulfilling their duties. [read post]
30 Jan 2020, 6:16 am
This was based on the allegations that Matthes refused to provide documents and information requested by FINRA in respect of an investigation initiated against him by FINRA. [read post]
30 Jan 2020, 6:16 am
This was based on the allegations that Matthes refused to provide documents and information requested by FINRA in respect of an investigation initiated against him by FINRA. [read post]
30 Jan 2020, 3:30 am
The school provided some accommodations, but not others. [read post]
29 Jan 2020, 2:04 pm
We hold that they do not.The Patent Act creates two mutually exclusive pathways to challenge an adverse decision by the PTO. [read post]
29 Jan 2020, 4:55 am
The firm provides a full suite of legal services to the investment management community, including hedge fund, private equity fund, venture capital fund, mutual fund formation, adviser registration, counterparty documentation, SEC, CFTC, NFA and FINRA matters, seed deals, hedge fund due diligence, employment and compensation matters, and routine business matters. [read post]
28 Jan 2020, 9:30 pm
The administrative apparatus of the state plays a crucial role in providing these requisites. [read post]
28 Jan 2020, 9:58 am
An employee’s right to engage in concerted activity for the purposes of mutual aid and protection or for collective bargaining is fundamental to the NLRA. [read post]
28 Jan 2020, 6:00 am
In some cases, NRSROs did not provide complete, current, or accurate records to SEC staff upon request. [read post]
27 Jan 2020, 2:09 pm
The forum, which is open to the public, provides an opportunity to share insights on disability topics. [read post]
27 Jan 2020, 8:31 am
The two Opinions update two of the SPC’s two major policy documents on cross-border issues: the 2015 Opinion on Providing Services and Guarantees for the Belt & Road (BRI Opinion, and Opinion on Providing Guarantees for the Building of Pilot Free Trade Zones (FTZ Opinion). [read post]
27 Jan 2020, 7:35 am
In addition to the above requirements, physician non-competes must provide that: (1) physician will not be denied access to a list of his patients whom he had seen or treated within one year of termination of the contract or employment; (2) physician will have access to medical records of the physician’s patients upon authorization of the patient and any copies of medical records for a reasonable fee as established by the Texas Medical Board under Section 159.008, Occupations Code;… [read post]
27 Jan 2020, 6:49 am
This post will provide an overview of the UKJT’s guidance on the enforceability of smart contracts. [read post]
27 Jan 2020, 3:58 am
” Section 8.2 (“Violation of Restrictions”) providing that any “disposition” of a member’s interest without the other members’ consent will be treated as a withdrawal and the disposer of interest shall be deemed “terminated” giving the other members the option to purchase their interest at fair market value as provided in Section 3.3. [read post]
27 Jan 2020, 1:50 am
Economists Emmanuel Saez and Gabriel Zucman, who have consulted with presidential candidates on their tax plans, define net wealth as financial and nonfinancial assets at their market prices, net of debts.[9] Financial assets include corporate equity, private business assets, and other fixed income assets, such as liquid assets and deposits, bonds, and mutual funds. [read post]
25 Jan 2020, 9:24 pm
Articles 5 & 6 provides for acquisition of citizenship by birth and post partition migration. [read post]
24 Jan 2020, 12:32 pm
A judicial decision does not require the Executive Branch to abandon its views about what the law provides, for the doctrine of offensive non-mutual issue preclusion does not apply to the United States. [read post]
24 Jan 2020, 10:34 am
State Street – In June 2019, State Street Bank and Trust Company agreed to pay over $88 million to settle SEC charges that it overcharged thousands of mutual funds and other registered investment company clients for expenses related to the firm’s custody of client assets. [read post]
