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7 Dec 2015, 2:06 am
Consider a recent regulatory settlement involving an enterprising fellow who found a way to cash the same paycheck twice! [read post]
2 Apr 2015, 6:13 am
As of April 1, 2015, the Financial Conduct Authority (FCA) has acquired new functions and powers in relation to competition including powers under the Enterprise Act 2002 (the 2002 Act) to conduct market studies and make references to the Competition and Markets Authority (CMA), and powers under the Competition Act 1998 (the 1998 Act) to investigate and enforce against breaches of UK and EU competition law. [read post]
19 Nov 2019, 4:15 am
Off of Capitol Hill, the American Enterprise Institute will look at how the adoption of automated technologies will affect the future of employment in the U.S. [read post]
6 Jul 2020, 9:15 am
The American Enterprise Institute will also explore federal research programs, including the need for a major U.S. project to jump-start basic and applied research. [read post]
5 Sep 2017, 5:40 am
If you work on Wall Street, chances are that you're forced to arbitrate most disputes before the Financial Industry Regulatory Authority ("FINRA"). [read post]
22 Apr 2015, 6:35 am
For one enterprising stockbroker, it was a convenient way to transfer customer information. [read post]
10 May 2013, 6:51 am
While the words were new, the ideals were not; they've been the consistent principles by which we've managed our enterprise since our founding. [read post]
25 Nov 2014, 2:52 am
What happens when one enterprising registered representative conflates the two issues? [read post]
12 Jul 2019, 3:42 am
Making matters worse, one enterprising rep also downloaded customer info onto a portable hard drive.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Van Allen, submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
14 Oct 2019, 9:15 am
This week in the nation’s capital, subcommittees in the House of Representatives will hold a series of technology-related hearings focused on online competition in data privacy, artificial intelligence (AI) and cloud computing in the financial sector, Internet consumer protections and NASA’s goal to speed up the return of a manned mission to the moon. [read post]
17 Feb 2012, 9:05 am
The House Financial Services Committee approved legislation directing the SEC to conduct thorough cost-benefit analyses of its regulations and proposed regulations. [read post]
3 May 2021, 12:14 pm
Intapp, a major provider of cloud-based business applications for larger law firms and financial services firms, said today it has signed an agreement to acquire Repstor, creator of Microsoft 365-based enterprise content management and team collaboration tools. [read post]
13 Jul 2022, 9:12 am
On 12 July 2022, the Financial Conduct Authority (FCA) published a Dear Chair letter regarding action needed to ensure fair treatment of small and medium size enterprise (SME) customers when collecting and recovering debts, especially with the rising cost of living. [read post]
10 Jan 2012, 1:56 am
V.I. law's previous requirement of a minimum of three directors has historically placed a burden on some smaller companies, especially where there is a single owner who must coordinate management decisions with directors who have no financial stake in the enterprise. [read post]
30 Mar 2011, 10:09 am
As the House Financial Services Committee prepares to mark up legislation reforming government-sponsored enterprises and the secondary market form mortgage-backed securities, Senator Richard Shelby outlined a two-tier hearings process in the Banking Committee before drafting legislation. [read post]
14 Jul 2014, 12:00 am
The company could not bring itself to notify – in advance – an enterprise with which it has a $19-million relationship about an event of importance to that enterprise. [read post]
29 Jan 2010, 4:23 am
While enthusiasm for the promotion of cross-border retail financial services may have waned in the wake of the financial crisis, it clearly remains on the Commission's agenda. [read post]
7 Jul 2011, 11:28 pm
Here are some of my favorite posts of the week in the areas of nonprofit organizations, corporate governance, philanthropy, and social enterprises: nonprofitsrule: It’s the ED, Stupid! [read post]
18 Dec 2010, 10:14 am
Scott Garrett (R-NJ) to chair the subcommittee with jurisdiction over the financial markets, the SEC, the NYSE, NASD, the SROs, and the government -sponsored enterprises, such as Fannie Mae and Freddie Mac. [read post]
2 Dec 2008, 6:00 am
Ariz. 1985) found an improvement allowance to be a financial accommodation under 11 U.S.C. [read post]
