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4 Apr 2013, 4:00 am
Canada and the United States have a long healthy and constructive relationship in providing assistance to the law enforcement agencies of each country in the investigation of cross boarder criminal activity. [read post]
11 Mar 2019, 4:25 pm
According to the AWC, ProEquities, in addition to a censure, will provide remediation to eligible customers who, from January 1, 2011, qualified for, but did not receive, the applicable mutual fund sales charge waivers. [read post]
8 Apr 2009, 6:00 pm
It also provides that "[a]n action may be brought under this subsection by the Commission, or by a security holder of such registered investment company on behalf of such company, against such investment adviser. [read post]
7 Feb 2011, 5:05 am
Will the sudden influx of - perhaps more cost-effective - foreign providers put the domestic industry in a competitive disadvantage? [read post]
6 Jan 2009, 2:01 pm
. -- Continuum Worldwide, a subsidiary of Mutual of Omaha and a leading provider of operational risk management services, has acquired assets of Focus Solutions, an Omaha-based provider of eDiscovery and support services to the legal and corporate community.The acquisition broadens the scope of Continuum's services for managing all phases of the information security and compliance lifecycle. [read post]
1 Aug 2013, 8:12 am
I am surprised that the court does not provide more details about the transaction, because it looks like an attempt to defraud the lender. [read post]
16 Feb 2007, 8:20 am
· Barring investment banking from providing input regarding analysts' compensation. [read post]
17 May 2019, 8:42 am
This customer reportedly was an inexperienced investor and dependent upon Querzoli to provide the proper investment advice. 26 trades that occured in the client’s Janney account were reportedly unsolicited. [read post]
16 May 2013, 9:43 am
Unpaid internships are a mutually beneficial staple of the American business landscape. [read post]
18 May 2011, 2:20 pm
In 2009, Wells Fargo contracted with a third-party service provider to mail the prospectuses to customers. [read post]
6 Sep 2016, 5:08 am
After the lawsuit was filed, the parties entered into a stipulated protective order in which the parties agreed that "[a]ny source code produced in discovery shall be made available for inspection, in a format allowing it to be reasonably reviewed and searched, during normal business hours or at other mutually agreed times, at an office of the Producing Party's Counsel or another mutually agreed upon location. [read post]
12 Feb 2012, 9:25 am
The final CFTC regulations can be found here: CPO & CTA Compliance Final Rules Fact sheet: CTA & CPO Compliance Fact Sheet Proposed Regulations for Managed Futures Mutual Funds: Proposed CPO Registration Requirement for Mutual Fund Managers **** Cole-Frieman & Mallon LLP provides legal services to the managed futures industry. [read post]
8 Dec 2022, 11:14 am
(“Postmates”) provides an app that works as a multisided platform. [read post]
7 Feb 2011, 5:15 am
" As Professor Gadinis notes, the stakes may also be higher now because mutual recognition could involve relying on the home country to provide financial support to its firms. [read post]
11 Dec 2009, 8:28 am
Nationwide Mutual Ins. [read post]
10 Nov 2010, 1:51 am
In Islamic Republic of Iran Shipping Lines v Steamship Mutual Underwriting Association (Bermuda) Limited [2010] EWHC 2661 (Comm) the Commercial Court had to assess the impact of the Financial Restrictions (Iran) Order 2009 (the Order), and a licence made under it (the Licence), on the provision of marine protection and indemnity (P&I) insurance.The claimant, Islamic Republic of Iran Shipping Lines (IRISL), was a member of the defendant P&I club, Steamship Mutual… [read post]
19 May 2009, 10:59 am
Visit Lawyer Connection From Andrew Cicchetti's Mutual Aid Based Group Work blog: Mutual aid as group work technology can be understood as an exchange of help wherein the group member is both the provider as well as the recipient of help in service of achieving common group and individual goals (Borkman, 1999; Gitterman, 2006; Lieberman, 1983; Northen & Kurland, 2001; Schwartz, 1961; Shulman, 2006, Steinberg, 2004; Toseland & Siporin,… [read post]
21 Nov 2008, 3:39 pm
Fund Disclosure, Money Market Redemption Rules AdoptedThe SEC adopted rule amendments designed to improve mutual fund disclosure by providing investors with a summary prospectus containing key information in plain English in a clear and concise format, and by enhancing the availability on the Internet of more detailed information to investors. [read post]
6 Dec 2017, 9:53 am
BB&T agrees to provide remediation to affected clients According to The Financial Industry Regulatory Authority, the regulator has censured BB&T Investment Services for overcharging retirement plans and charitable organizations in their purchases of mutual funds. [read post]
26 Oct 2023, 7:49 am
The post FINRA Bars Stockbrokers For Failing To Provide FINRA With Information October 2023 appeared first on Securities Arbitration Lawyers Blog. [read post]
