Search for: "Financial Management Service"
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18 Jul 2014, 5:23 pm
These new deficiencies in Fiscal Service’s information systems controls, along with unresolved control deficiencies from prior audits, collectively represent a significant deficiency in Fiscal Service’s internal control over financial reporting. [read post]
14 Oct 2019, 10:03 am
The podcast features Glen Trudel, a partner in Ballard Spahr’s Consumer Financial Services Group, and Branan Cooper, Venminder’s Chief Risk Officer. [read post]
11 Apr 2012, 8:34 am
He has assisted financial institutions in: the development of financial products and services; the purchase and sale of assets; the resolution of regulatory issues raised by federal and states agencies; and the implementation of risk management strategies. [read post]
14 Nov 2015, 7:51 pm
“In GAO’s opinion, the Internal Revenue Service’s (IRS) fiscal years 2015 and 2014 financial statements are fairly presented in all material respects. [read post]
17 Feb 2021, 9:22 am
The post VALIC Financial Advisors (aka AIG Retirement Services) Settles With FINRA Following Investigation Into Variable Annuity Practices appeared first on Securities Arbitration Lawyers Blog. [read post]
10 Aug 2023, 1:56 pm
Philip Riposo (Philip Anthony Riposo CRD# 400056) is a former broker and investment advisor last registered with United Planners’ Financial Services Of America A Limited Partner (CRD#:20804) of Cave Creek, AZ. [read post]
7 Apr 2015, 2:06 pm
Tasca Key members of the CFPB’s enforcement, regulatory and supervision offices spoke yesterday at PLI’s 20th Annual Consumer Financial Services Institute in New York City. [read post]
23 Jan 2017, 2:53 pm
Thompson, Managing Counsel, Office of Regulations or Kelly T. [read post]
26 Feb 2015, 4:55 pm
Overall, significant progress has been made since the enactment of key federal financial management reforms in the 1990s; however, GAO’s report on the U.S. government’s consolidated financial statements underscores that much work remains to improve federal financial management, and these improvements are urgently needed. [read post]
16 Mar 2023, 6:00 am
Joining Cimplifi to lead CALM managed services is industry-leader Justin Vergara. [read post]
6 Feb 2012, 4:40 am
If passed, the Bill will abolish the Financial Services Authority and create a new regulatory architecture consisting of the Financial Policy Committee (a committee of the Bank of England with responsibility for macro-prudential oversight of the regulatory system), the Prudential Regulation Authority (with responsibility for prudential oversight of banks, insurers and major broker dealers) and the Financial Conduct Authority (with responsibility for market… [read post]
22 Feb 2007, 7:19 am
NASD says that it is fining Raymond James Financial Services $2.75 million for not adequately supervising more than 1,000 producing sales managers across the U.S between 2002 to 2004. [read post]
20 Dec 2011, 10:00 pm
“To stay ahead of the curve, law firms should consider seizing the initiative by asking how they could deliver legal services in a more efficient, cost-effective manner… Firms now need to turn their attention to project management and strategies to manage their costs. [read post]
12 Oct 2011, 4:21 am
"Here the specimen of use does not contain any reference to Applicant's financial advisory services. [read post]
7 Jan 2008, 4:48 am
(Senior) manager/director - audit Your portfolio will comprise primarily of assurance engagements in the financial services sector. [read post]
17 Jun 2007, 9:00 pm
(Senior) manager/director - audit Your portfolio will comprise primarily of assurance engagements in the financial services sector. [read post]
29 Sep 2009, 10:51 am
You can read more about what we discussed during the roundtable in an article in Compliance Week: Managing Risk in the Financial Sector. [read post]
24 Mar 2017, 2:04 am
According to the executive director compliance with these minimum requirements is an ongoing responsibility for the management of financial service providers. [read post]
25 Feb 2020, 7:08 am
Stoltmann Law Offices is investigating claims made by the Securities and Exchange Commission (SEC) against Robert Gravette, Mark MacArthur, and their Registered Investment Advisory firm, Criterion Wealth Management Insurance Services, Inc. [read post]
28 Nov 2023, 9:07 am
Financial wellness can help employees manage stress by providing budgeting, financial planning, and debt management education and resources. [read post]
