Search for: "Financial Consulting and Trading International, Inc."
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1 Jul 2016, 12:47 pm
If you are in need of legal services, contact us to schedule a one-on-one consultation today. [read post]
1 Jul 2016, 12:23 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 contractors and… [read post]
23 Jun 2016, 10:21 am
A $180,000 wrongful termination settlement that Foothill Packing, Inc. just paid to settle Department of Labor charges illustrates the potential Catch-22 tightrope that employers must walk when choosing between citizens and resident aliens with visas for hiring and firing decisions. [read post]
16 Jun 2016, 2:48 pm
Morgan Stanley Engaged an Independent Consulting Firm and Law Firm to Investigate the Data Security Incident. [read post]
31 May 2016, 4:05 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 contractors and… [read post]
26 May 2016, 12:05 pm
Health plans and health insurers, health care providers, healthcare clearinghouses (Covered Entities) and their business associates should verify that their copying charges and other policies and practices for responding to requests of individuals for copies and other access to protected health information (PHI) comply with the Privacy and Security Rules (Privacy Rule) of the Health Insurance Portability & Accountability Act of 1996 (HIPAA) as construed in a new Frequently Asked Question (FAQ… [read post]
24 May 2016, 9:31 am
The firm relied primarily on its registered representatives to ensure that customers received appropriate UIT sales-charge discounts, despite the fact that the firm did not effectively inform and train representatives and their supervisors to identify and apply such sales charge discounts.MidAmerica Financial Services, Inc. [read post]
11 May 2016, 11:31 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has censured Stephens Inc., of Little Rock, Arkansas, and fined the firm $900,000 for allegedly inadequately supervising firm-wide internal “flash” emails sent by its research analysts to convey information about companies and industries the firm covered. [read post]
6 May 2016, 11:45 am
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 contractors and… [read post]
5 May 2016, 8:25 am
On April 14, 2016, the International Swaps and Derivatives Association, Inc. [read post]
5 May 2016, 8:25 am
On April 14, 2016, the International Swaps and Derivatives Association, Inc. [read post]
29 Apr 2016, 4:47 am
— via Suzanne Lucas, the Evil HR Lady, at Inc. [read post]
27 Apr 2016, 9:01 am
A Fellow in the American College of Employee Benefit Counsel, the American Bar Foundation and the Texas Bar Foundation, Cynthia Marcotte Stamer is a noted Texas-based management lawyer and consultant, author, lecturer and policy advocate, recognized as among the “Top Rated Labor & Employment Lawy [read post]
27 Apr 2016, 9:01 am
A Fellow in the American College of Employee Benefit Counsel, the American Bar Foundation and the Texas Bar Foundation, Cynthia Marcotte Stamer is a noted Texas-based management lawyer and consultant, author, lecturer and policy advocate, recognized as among the “Top Rated Labor & Employment Lawy [read post]
23 Apr 2016, 10:52 am
Thereafter, Shapiro from October 2010 until June 2013 was associated with Western International Securities, Inc. [read post]
21 Apr 2016, 10:07 am
It is important to ensure that appropriate steps are taken to evaluate and properly integrate the confidentiality and other commitments that the Privacy Rules mandate a business associate agreement include with audit, performance assessment, and other data access or disclosure, trade secrets, confidentiality, performance standards and guarantees, indemnity and other contractual obligations of other agreements that could impact or be impacted by the business associate agreements. [read post]
21 Apr 2016, 10:07 am
It is important to ensure that appropriate steps are taken to evaluate and properly integrate the confidentiality and other commitments that the Privacy Rules mandate a business associate agreement include with audit, performance assessment, and other data access or disclosure, trade secrets, confidentiality, performance standards and guarantees, indemnity and other contractual obligations of other agreements that could impact or be impacted by the business associate agreements. [read post]
13 Apr 2016, 4:55 pm
John is the President of John Reed Stark Consulting and former Chief of the SEC’s Office of Internet Enforcement. [read post]
12 Apr 2016, 3:50 pm
Investment Advice Not Covered By Rule While the Rule reaches broadly, not all communications with financial advisers are covered fiduciary investment advice under the Rule. [read post]
12 Apr 2016, 3:50 pm
Investment Advice Not Covered By Rule While the Rule reaches broadly, not all communications with financial advisers are covered fiduciary investment advice under the Rule. [read post]
