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23 Apr 2015, 8:00 pm
The obvious lesson for D&O underwriters is that is that it would be a good idea to find out if a prospective account they are considering has used the services of a stock promotion firm. [read post]
22 Apr 2015, 5:30 pm
Anthony of Troutman Sanders on the firm’s Consumer Financial Services Law Monitor China IP: Is Your Barn Door Open? [read post]
22 Apr 2015, 8:19 am
Currently, much private-sector information sharing is conducted through Information Sharing and Analysis Centers (“ISACs”), which limit the sharing of information on cyber threats and analysis to a specific sector (e.g., financial services, retail, energy, aviation, etc.). [read post]
22 Apr 2015, 8:19 am
Currently, much private-sector information sharing is conducted through Information Sharing and Analysis Centers (“ISACs”), which limit the sharing of information on cyber threats and analysis to a specific sector (e.g., financial services, retail, energy, aviation, etc.). [read post]
22 Apr 2015, 7:12 am
From that time until August 2014, McBride was registered with Ameriprise Financial Services, Inc. [read post]
22 Apr 2015, 6:00 am
In the US, COB regulation encompasses the regulation of broker-dealers and investment advisors under state and federal law; in the EU, the regulation of investment firms under MiFID I and the proposed MiFID II/ MiFIR regime; and in Australia, the regulation of financial services licensees and individual advisors under federal law. [read post]
21 Apr 2015, 8:56 am
- This morning, Senior Advisor Brian Deese sent the following message to the White House email list, highlighting the President's upcoming trip to the Everglades to draw attention to the impacts of climate change. [read post]
13 Apr 2015, 7:30 am
” When making your financial, tax and estate plans, do not go it alone. [read post]
12 Apr 2015, 1:46 pm
In recent years, Invizeon has acquired several businesses including Seafaring Security Services, Slipstream Resources, and Gaga Africa. [read post]
11 Apr 2015, 12:00 pm
Rosen Memorial Award for Service to Victims of Domestic Violence in 2014. [read post]
10 Apr 2015, 6:14 am
From August 2009 through October 2012, Exford was registered with IBN Financial Services, Inc. [read post]
8 Apr 2015, 3:17 pm
In the industry the term selling away refers to when a financial advisor solicits investments in companies, promissory notes, or other securities that are not pre-approved by the broker’s affiliated firm. [read post]
7 Apr 2015, 2:17 am
Before making any decision or taking any action that may affect your business, you should consult a qualified legal advisor. [read post]
7 Apr 2015, 2:17 am
Before making any decision or taking any action that may affect your business, you should consult a qualified legal advisor. [read post]
6 Apr 2015, 9:30 am
In addition, compile a list of the phone numbers for the customer service department at each financial institution or investment company. [read post]
2 Apr 2015, 4:20 am
Safe harbour provisions and online service providers. [read post]
31 Mar 2015, 2:11 pm
Stockbroker, investment advisor and financial planner are just a short list of all the titles available to the different types of financial authorities. [read post]
30 Mar 2015, 8:48 am
The Financial Impact of Misclassifying Employees as Independent Contractors. [read post]
27 Mar 2015, 7:07 am
Now in a similar action, FINRA alleged that between July 1, 2011, and June 30, 2013, Oriental Financial Services Corp. [read post]
26 Mar 2015, 10:36 am
United Parcel Service. [read post]
