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30 Oct 2020, 6:01 am
Securities and Exchange Commission, on Tuesday, October 27, 2020 Tags: Broker-dealers, Disclosure, Form CRS, Investment advisers, Regulation Best Interest, SEC, Securities regulation The Impact of COVID-19 on Shareholder Activism in the Retail Industry Posted by Keith E. [read post]
27 Oct 2020, 6:20 am
Good afternoon and welcome to the SEC’s Staff Roundtable on Regulation Best Interest and Form CRS. [1] We hope that this event provides useful information to broker-dealers and investment advisers in complying with these key regulatory enhancements. [read post]
26 Oct 2020, 8:13 am
Under the second prong, the applicant’s interest must be “a present substantial interest in the subject matter of the lawsuit . . . . [read post]
25 Oct 2020, 4:00 am
Every week we present the summary of a decision handed down by a Québec court provided to us by SOQUIJ and considered to be of interest to our readers throughout Canada. [read post]
18 Oct 2020, 4:00 am
Every week we present the summary of a decision handed down by a Québec court provided to us by SOQUIJ and considered to be of interest to our readers throughout Canada. [read post]
16 Oct 2020, 7:10 am
The Securities and Exchange Commission today announced the agenda and panelists for the October 26, 2020, roundtable where Commission staff and FINRA will discuss initial observations on Regulation Best Interest and Form CRS implementation. [read post]
16 Oct 2020, 6:41 am
The SEC is seeking injunctions, disgorgement of allegedly ill-gotten gains with prejudgment interest and financial penalties. [read post]
16 Oct 2020, 6:28 am
The purpose of Form CRS is to provide a succinct summary of the business of the Investment Adviser or Broker-Dealer to provide a retail investor with the proper information to make an informed decision regarding whether an investment advisory or brokerage relationship is in the best interest of the investor. [read post]
16 Oct 2020, 4:19 am
Prodded by the IM director to speak on investment management issues, Crenshaw said that Regulation Best Interest, which became effective this summer, is a priority and that the Commission needs to make sure that it lives up to its potential. [read post]
13 Oct 2020, 6:22 am
The staff also explained that a filer may provide separate responses for the firm itself and its individual financial professionals.Form CRS. [read post]
11 Oct 2020, 4:00 am
Every week we present the summary of a decision handed down by a Québec court provided to us by SOQUIJ and considered to be of interest to our readers throughout Canada. [read post]
6 Oct 2020, 3:00 am
The negative declaration included three mitigation measures to reduce impacts to less-than-significant levels: (i) CS-CR-1 (monitoring during construction with an action plan to be developed based upon resources which are discovered), (ii) CS-CR-2 (notification steps if human remains discovered), and (iii) CS-CR-3 (excavation program if the site cannot be avoided). [read post]
5 Oct 2020, 4:05 pm
CRS via LC – CRS Seminars on Disruptive Technologies: Videos, Updated October 5, 2020. [read post]
5 Oct 2020, 1:12 pm
Premium processing fees are going up (the bad news), but premium processing will be available for more types of cases (the good news) according to changes included in the recently passed Continuing Resolution (CR) that will fund the government until December 11, 2020. [read post]
5 Oct 2020, 9:05 am
The Founders crafted the Electoral College as a compromise that balanced population-based voting and state interests when it came to electing a president and vice president. [read post]
28 Sep 2020, 1:09 pm
The Securities and Exchange Commission today announced October 26 as the date for its roundtable at which Commission staff and the Financial Industry Regulatory Authority (FINRA) will discuss initial observations on Regulation Best Interest and…Read the Full Press ReleaseHave a securities law question? [read post]
27 Sep 2020, 4:00 am
Every week we present the summary of a decision handed down by a Québec court provided to us by SOQUIJ and considered to be of interest to our readers throughout Canada. [read post]
16 Sep 2020, 3:23 pm
CRS via LC – Patent Law: A Handbook for Congress, September 16, 2020: “A patent gives its owner the exclusive right to make, use, import, sell, or offer for sale the invention covered by the patent. [read post]
14 Sep 2020, 12:11 am
, e incluso vería con buenos ojos que se exigiese esa doble instancia siempre que se precisase con claridad la naturaleza y entidad de infracciones que deben ser equivalentes a los delitos ( y de este modo fijar doctrina clara para todos los países) pero no me gustan los razonamientos débiles y tortuosos, de manera que sí el Tribunal Europeo de Derechos Humanos ejerce una función sobre todos los europeos, me considero un ciudadano con derecho a la sana… [read post]
10 Sep 2020, 7:24 am
” “Messi Transfer: Barcelona Fire Law Firm For ‘disloyalty’ And ‘conflict Of Interest’“– “The report states that Barcelona have blamed the law firm for disloyalty and conflict of interest. [read post]
