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8 Mar 2018, 9:01 am
Mr Hammond adds that, “the principle of mutual recognition and reciprocal equivalence, provided it is objectively assessed, with proper governance structures, dispute resolution mechanisms, and sensible notice periods to market participants clearly could provide an effective basis for such a partnership”; a structured regulatory dialogue to discuss new rules proposed by either side which would build on the current regulatory relationship, ensuring equivalent… [read post]
8 Mar 2018, 9:01 am
Mr Hammond adds that, “the principle of mutual recognition and reciprocal equivalence, provided it is objectively assessed, with proper governance structures, dispute resolution mechanisms, and sensible notice periods to market participants clearly could provide an effective basis for such a partnership”; a structured regulatory dialogue to discuss new rules proposed by either side which would build on the current regulatory relationship, ensuring equivalent… [read post]
8 Mar 2018, 7:21 am
(CRD #34643, Boca Raton, Florida) – An AWC (Accept, Waiver & Consent) was issued in which the firm was censured and required to provide FINRA with a remediation plan to remediate eligible customers who qualified for, but did not receive, an applicable mutual fund sales-charge waiver. [read post]
8 Mar 2018, 6:57 am
Update – US mutual fund LJM Preservation & Growth Fund and fund manager LJM Partners LTD. [read post]
8 Mar 2018, 3:58 am
See Terminating a China Employee: Why Mutual Termination is so Often the Key. [read post]
8 Mar 2018, 2:38 am
Here, the Court sets the tone at a foundational level: the Grand Chamber refers to basic constitutional principles of the Union (primacy of Union law, effective implementation of EU law by the courts of the Member States, mutual trust and shared values). [read post]
7 Mar 2018, 12:53 pm
” From this, employers can take comfort in establishing the clear and mutual understanding by providing notices that the base weekly salary is intended to compensate employees for all hours worked in a week. [read post]
7 Mar 2018, 11:59 am
She forwarded that to her own automobile insurance provider, Nationwide Mutual Insurance Company. [read post]
6 Mar 2018, 8:13 am
Graham Northwestern Mutual Investment Services, LLC Kimberlyann Huegel Vanguard Marketing Corporation Randall William Hunt Ameriprise Financial Services, Inc. [read post]
6 Mar 2018, 8:02 am
Northwestern Mutual Investment Services, LLC Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
6 Mar 2018, 7:35 am
In today’s dollars, they would need to be $382,000 and $764,000, respectively, to provide the same relief. [read post]
6 Mar 2018, 5:52 am
According to the Securities and Exchange Commission, on February 28th,the regulator announced that Ameriprise Financial Services Inc. has agreed to settle charges for recommending and selling higher-fee mutual fund shares to retail retirement account customers and for failing to provide sales charge waivers. [read post]
5 Mar 2018, 10:04 am
Alternative dispute resolution may provide the framework you need to resolve potentially contentious issues without destroying your working relationship. [read post]
5 Mar 2018, 8:00 am
This article appears to discourage relying on a non-EU court judgment as a basis for disclosure unless made pursuant to an international treaty such as a mutual legal assistance treaty. [read post]
4 Mar 2018, 7:00 am
The mutuality of relations is evident, but there are also irritants and risks. [read post]
2 Mar 2018, 8:10 am
The government could, however, choose to expedite a resolution on its own, either by declassifying the information sought by the defense team or providing credible assurances that attorney-client confidentiality is being preserved. [read post]
1 Mar 2018, 7:10 am
In the past year, 12 exchange-traded funds and two mutual funds sought to add new series that invest in cryptocurrencies, according to the staff. [read post]
1 Mar 2018, 7:03 am
Were they providing the questions to be asked? [read post]
1 Mar 2018, 4:25 am
To use this method of overtime calculation, there has to be a clear mutual understanding of between the employer and employee that the fixed salary is compensation (apart from overtime premiums) for the hours worked each work week, whatever the number. [read post]
1 Mar 2018, 4:25 am
To use this method of overtime calculation, there has to be a clear mutual understanding of between the employer and employee that the fixed salary is compensation (apart from overtime premiums) for the hours worked each work week, whatever the number. [read post]
