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7 Sep 2019, 4:00 am
She previously served as the Managing Director of Budget and Fiscal Studies for the New York State Senate Finance Committee focusing on financial analysis surrounding public protection, including corrections, criminal justice services, homeland security and emergency services, State Police, victim services and local government issues. [read post]
11 Apr 2015, 12:00 pm
Rosen Memorial Award for Service to Victims of Domestic Violence in 2014. [read post]
16 Mar 2020, 12:43 pm
The financial effects of the COVID-19 pandemic and containment efforts has many businesses flailing to reconfigure their staffing and other business models even as Congress is preparing to impose paid COVID related leave mandate on employers with less than 500 employees. [read post]
6 Dec 2023, 3:13 pm
Stamer’s work throughout her career has focused heavily on working with health care and managed care, life sciences, health and other employee benefit plan, insurance and financial services and other public and private organizations and their technology, data, and other service providers and advisors domestically and internationally with legal and operational compliance and risk management, performance and workforce management, regulatory and public policy… [read post]
29 May 2017, 4:00 am
If there were such a civil service advisor, benchers could then justify giving priority to their own sources of income, i.e., to their clients and employers. [read post]
2 Nov 2023, 2:43 pm
CPAs and other financial advisors may also be involved. [read post]
10 Dec 2018, 7:17 am
The article noted that: Out of 37 of the firm’s FINRA-registered brokers, 31 had previously worked with brokerage firms that regulators had expelled, including EKN Financial Services and John Thomas Financial Inc. [read post]
29 Nov 2009, 9:07 am
Frank Armstrong has more than 35 years of experience in the securities and financial services industry and is the founder and principal of Investor Solutions, Inc., a fee-only registered investment advisor, based in Miami. [read post]
5 Jun 2024, 5:42 am
Seeking Professional Guidance: Consulting a financial advisor specializing in long-term care planning can provide invaluable guidance as you navigate the various options and make informed decisions tailored to your individual needs. [read post]
29 Nov 2009, 9:07 am
Frank Armstrong has more than 35 years of experience in the securities and financial services industry and is the founder and principal of Investor Solutions, Inc., a fee-only registered investment advisor, based in Miami. [read post]
27 Jun 2016, 7:00 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including compliance with federal and state laws and rules. [read post]
30 Sep 2016, 6:09 am
Securities and Exchange Commission, on Friday, September 23, 2016 Tags: Anti-corruption, Asset management, Cross-border transactions, Cybersecurity, Disclosure, Exchange-traded funds,FCPA, International governance, Liquidity, Mutual funds, Oversight, SEC, SEC enforcement, Securities enforcement,Securities regulation NYDFS Proposed Cybersecurity Regulation for Financial Services Companies Posted by Joseph Vitale, Schulte Roth & Zabel LLP, on Saturday, September 24, 2016 … [read post]
2 Jan 2008, 12:14 pm
In services: consulting services, financial services, legal services; in infrastructure and utilities: road building, housing, electric power, telecommunications. [read post]
24 Oct 2011, 12:10 pm
The De Larosière report highlighted that one of the problems leading to the financial crisis was an inconsistent implementation of financial services rules leading to a fragmented internal market. [read post]
3 Apr 2022, 9:01 pm
Cybersecurity and data privacy implicate operational, product and service safety and consumer welfare issues. [read post]
16 Jun 2023, 2:24 am
Due Diligence Financial advisors have a fiduciary duty to put their client’s needs ahead of their own. [read post]
18 Jan 2024, 7:42 am
GWG Holdings – FINRA Claims for Recovery GWG Holdings, a Dallas-based financial services firm filed for Chapter 11 bankruptcy protection on April 20, 2022, after failing to make $13.6 million in interest payments to bondholders. [read post]
4 Oct 2022, 2:57 pm
Well known for her extensive work with health care, insurance and other highly regulated entities on corporate compliance, internal controls and risk management, her clients range from highly regulated entities like employers, contractors and their employee benefit plans, their sponsors, management, administrators, insurers, fiduciaries and advisors, technology and data service providers, health care, managed care and insurance, financial services, government… [read post]
1 Mar 2020, 6:03 am
Setzer shared the New York District Attorney’s brief in a Supreme Court case seeking access to Trump’s financial records. [read post]
3 Nov 2009, 5:14 pm
" What the Section does is impose upon investment advisors "a fiduciary duty with respect to the receipt of compensation for services. [read post]
