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9 Mar 2016, 9:01 am
Department of Homeland Security, and Internal Revenue Service, among others. [read post]
8 Mar 2016, 1:08 pm
Lax & Neville LLP has nationally represented small broker-dealers, financial services professionals and securities industry companies in regulatory matters and securities-related and commercial litigation. [read post]
7 Mar 2016, 7:26 am
In a separate administrative proceeding, the RIEDC’s financial advisor for the bond offering – First Southwest Company LLC – agreed to settle charges that it violated MSRB rules by failing to document in writing the scope of the services the firm was providing in the bond offering until seven months after the financial advisory relationship began. [read post]
2 Mar 2016, 5:00 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]
29 Feb 2016, 11:58 am
She also works as a policy advisor and advocate to many business, professional and civic organizations. [read post]
29 Feb 2016, 8:47 am
Under the Act, Florida’s Office of Financial Responsibility (“OFR”) is responsible for regulating FTCs. [read post]
29 Feb 2016, 7:03 am
According to Ratonel, KMK committed legal malpractice in the acquisition of these properties, causing her significant financial losses. [read post]
26 Feb 2016, 5:59 am
It’s a snapshot of your financial life. [read post]
25 Feb 2016, 5:34 am
According to InvestmentNews, only about 12% of financial advisors have any type of disclosure event on their records. [read post]
25 Feb 2016, 3:30 am
Radford, Predispute Arbitration Agreements Between Trustees and Financial Services Institutions: Are Beneficiaries Bound? [read post]
23 Feb 2016, 7:36 am
Margaret McGuire, Chief of the Financial Reporting and Audit Group, stressed that the Commission will continue to look at auditors’ conduct in financial reporting fraud cases as well. [read post]
22 Feb 2016, 8:35 am
As with physicians, make sure you have the names and all contact information for their CPA, insurance professionals and financial advisor. [read post]
19 Feb 2016, 1:03 pm
Friends, family and other professional advisors are trustworthy sources. [read post]
18 Feb 2016, 7:15 am
The White Law Group has handled a number of REITs cases over the years and in many cases financial advisors fail to disclose the risks of these products (instead focusing on the potential income provided by the investments). [read post]
18 Feb 2016, 5:51 am
According to InvestmentNews, only about 12% of financial advisors have any type of disclosure event on their records. [read post]
18 Feb 2016, 5:51 am
According to InvestmentNews, only about 12% of financial advisors have any type of disclosure event on their records. [read post]
18 Feb 2016, 5:00 am
The Stewardship Code, directed at institutional investors with holdings in UK-listed companies and – by extension, to their service providers such as proxy advisors – purports to establish areas of good practice to which investors should aspire, and operates on a comply-or-explain basis. [read post]
17 Feb 2016, 10:50 am
(Photo by Tim Boyle/Getty Images) Each year, the Internal Revenue Service (IRS) issues a list of common tax schemes they call the “Dirty Dozen. [read post]
17 Feb 2016, 10:19 am
More specifically, companies of interest include healthcare service, pharmaceutical product and pharmaceutical service providers. [read post]
16 Feb 2016, 9:04 am
So use caution when doing so including discussing it with your legal advisor. [read post]
