Search for: "In the Interest of CR"
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2 May 2020, 8:37 am
The OECD has developed mandatory disclosure rules for addressing CRS Avoidance arrangements and offshore structures. [read post]
1 May 2020, 12:32 pm
Why the sudden interest in the Golden Oldies of the Trump scandals? [read post]
1 May 2020, 2:11 am
Transfer by way of English law assignment or French law (cession de créance) recommended. [read post]
26 Apr 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]
22 Apr 2020, 6:50 am
Earlier this month the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued two related risk alerts on the subjects of Form CRS and Regulation Best Interest (Reg BI). [read post]
19 Apr 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 Apr 2020, 4:55 am
SEC Division of Trading and Markets Releases FAQ on Regulation Best Interest (Reg BI). [read post]
13 Apr 2020, 1:22 pm
Such motions, typically submitted on a form from the North Carolina Administrative of the Courts (AOC-CR-207B (Nov. 2018) for examination by a local forensic examiner, and AOC-CR-208B (Dec. 2013) for examination at Central Regional Hospital), are often uncontested, limiting the need for in-person proceedings with multiple participants. [read post]
13 Apr 2020, 1:18 pm
Imagine the following: you are interested in finding legislation about a specific topic. [read post]
13 Apr 2020, 6:00 am
Mapes, Case No. 19-cr-286, 2020 U.S. [read post]
10 Apr 2020, 6:01 am
Securities and Exchange Commission, on Friday, April 3, 2020 Tags: Broker-dealers, COVID-19, Form CRS, Investment advisers, Investor protection, Regulation Best Interest, SEC, Securities regulation SEC’s Carve-Out from SOX 404(b) for Low-Revenue Companies Posted by Cydney Posner, Cooley LLP, on Saturday, April 4, 2020 Tags: Accounting, Audits, Filings, Financial reporting, Internal… [read post]
7 Apr 2020, 4:57 pm
Form CRS. [read post]
7 Apr 2020, 9:24 am
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) has issued two risk alerts: Examinations that Focus on Compliance with Regulation Best Interest and Examinations that Focus on Compliance with…Read the Full Press ReleaseHave a securities law question? [read post]
7 Apr 2020, 5:34 am
This is particularly important in terms of accountability regimes such as the SM&CR Being clear, regular, consistent and joined-up with public and customer communications Keeping “fairness” under review, for example not recovering when it is actually in the customer’s best interests could create unfair outcomes and detriment over time. [read post]
7 Apr 2020, 5:32 am
This is particularly important in terms of accountability regimes such as the SM&CR; being clear, regular, consistent and joined-up with public and customer communications; and keeping “fairness” under review, for example not recovering when it is actually in the customer’s best interests could create unfair outcomes and detriment over time. [read post]
7 Apr 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]
3 Apr 2020, 4:17 pm
Financial professionals must not put their interests ahead of the customers’ interests, Clayton stressed, and this approach is particularly crucial in these times of economic uncertainty. [read post]
3 Apr 2020, 2:27 am
Greed and Fear Collide: Wall Street Calls Traders Back to Office (Bloomberg by Michelle F Davis, Max Abelson, and Donal Griffin)SEC Office of Compliance Inspections and Examinations Publishes Risk Alerts Providing Advance Information Regarding Inspections for Compliance with Regulation Best Interest and Form CRS (SEC Release)Grocery workers are beginning to die of coronavirus (Washington Post by Abha Bhattarai)Pence Tells U.S. [read post]
2 Apr 2020, 9:58 am
Public Health Service Commissioned Corps, a division of HHS, “to such extent and in such manner as shall in his judgment promote the public interest. [read post]
30 Mar 2020, 3:00 am
Additionally, there was evidence that Gelfand had more of an interest in the property than just serving as a corporate officer, supporting the conclusion that Gelfand had a personal interest in the project and outcome and that he was holding himself out as “a property owner and/or project applicant. [read post]
