Search for: "Financial Asset Securities Corporation"
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18 Dec 2018, 12:40 pm
Oppenheimer also discusses the pledge the G20 nations made earlier this month regarding their commitment to regulate crypto-assets to further a resilient and open global financial system. [read post]
18 Apr 2012, 7:35 am
A survey conducted by the Association for Financial Markets in Europe (AFME), and published on 11 April 2012, suggests that the proposed Solvency II rules will dramatically reduce the willingness of insurers to invest in securitisation assets. [read post]
10 Apr 2008, 9:50 am
Recently, Finra sent a survey to financial companies asking them to provide a breakdown of the total auction-rate securities holding by customer type, how the securities are classified on customer statements, and how the securities were marketed. [read post]
24 Nov 2022, 9:00 pm
Securities and Exchange Commission, on Friday, November 18, 2022 Tags: Asset management, Disclosure, ESG, Financial regulation, SEC enforcement, Stewardship Remarks by Commissioner Peirce before FINRA’s Certified Regulatory and Compliance Professional Dinner Posted by Hester M. [read post]
24 Nov 2022, 9:00 pm
Securities and Exchange Commission, on Friday, November 18, 2022 Tags: Asset management, Disclosure, ESG, Financial regulation, SEC enforcement, Stewardship Remarks by Commissioner Peirce before FINRA’s Certified Regulatory and Compliance Professional Dinner Posted by Hester M. [read post]
28 Jul 2013, 10:20 pm
The first entity was registered with the Securities and Exchange Commission (SEC) as a broker-dealer and was also a member of the Securities Investor Protection Corporation (SIPC), the organization that, under the authority of the Securities Investor Protection Act (SIPA), provides insurance to brokerage customers in the event of the broker’s insolvency. [read post]
29 May 2021, 7:40 am
This post is based on his Testimony Before the Subcommittee on Financial Services and General Government, U.S. [read post]
20 Jul 2018, 4:45 am
” Like many RIAs, Temenos charged an advisory fee to its customers based upon a percentage of assets under management. [read post]
7 Mar 2022, 4:05 am
” Second, the AG acting under N-PCL § 112(a)(7) in her deemed status as a member, director, or officer of the NRA alternatively demands dissolution under N-PCL § 1102(a)(2) where the “directors or members in control of the corporation have looted or wasted the corporate assets, have perpetuated the corporation solely for their personal benefit, or have otherwise acted in an illegal, oppressive or fraudulent manner. [read post]
3 Oct 2023, 12:46 pm
BOI reports are directly submitted to the Financial Crimes Enforcement Network, or “FinCEN”, an arm of the U.S. [read post]
13 Aug 2020, 6:14 am
Our associate members include non-U.S. asset owners with about $4 trillion in assets, and a range of asset managers with more than $40 trillion in assets under management. [read post]
7 Mar 2014, 7:47 am
Koogler FINRA (the Financial Industry Regulatory Authority) is soliciting public comment on a proposed rule set (LCFB Rule 14-09) for firms that meet the definition of “limited corporate financing broker” (LCFB). [read post]
31 Jul 2021, 8:44 am
The role of the board and basics There seems little doubt that boards are responsible for overseeing trust as a corporate asset. [read post]
13 Oct 2021, 8:32 am
OMFIF conducted extensive research using data from central banks, securities exchanges and international financial institutions. [read post]
15 Apr 2021, 3:39 pm
However, Congress and the law enforcement community were concerned that anonymous ownership of corporations and LLCs aided criminals in the commission of crimes like terrorism, money laundering, piracy, tax evasion, and securities fraud. [read post]
10 Jan 2020, 6:10 pm
RP Digital Security serves some of the largest law firms, financial institutions and insurance providers in the region. [read post]
22 Nov 2019, 5:51 am
Recent Cyber Attacks Target Asset Management Firms Posted by Jeannie S. [read post]
8 Oct 2018, 7:56 am
However, Wright recognized that in a digital world an asset which is properly described as a commodity might also appear to be security. [read post]
23 Nov 2015, 4:13 pm
All of the fraud was completed as the CEO assured investors that the corporation was financially healthy and stable. [read post]
17 Jun 2019, 1:29 pm
Middlemarch Partners, through its subsidiary Middlemarch Securities, LLC, served as the financial advisor to Elevate in the Kayne Partners transaction. [read post]
