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21 Nov 2018, 8:43 am
The data includes dates of employee absences due to general illness (and when an employee is pregnant or gave birth, including dates of associated absences and parental leave). [read post]
7 Jan 2009, 3:07 am
They are appointed in the interest of the company, as such, and the associated companies, thus for the stakeholders in general. [read post]
12 Apr 2012, 6:00 am
It is alleged that Long Island-based David Lerner Associates, Inc. [read post]
10 May 2023, 9:59 am
Donnie Ingram was suspended from association with any FINRA member firm in any capacity for six months, fined $15,000, and ordered to pay $388,962 in restitution to harmed customers. [read post]
9 Oct 2013, 8:12 am
Comparable with a constitution The articles of association of a Curaçao company (a public [NV] or private [BV] limited liability company) are somewhat comparable with a constitution or state regulations: the articles of association comprise – like the law, but also additionally to the law and, where permitted, unlike the law – the rules of play (rights, obligations and powers) to which all the organs of the company (managing board, supervisory board,… [read post]
28 Apr 2017, 5:13 am
The CFPB’s newly-released Spring 2017 edition of Supervisory Highlights covers supervisory activities generally completed between September and December 2016. [read post]
24 Sep 2019, 9:33 am
On September 12, 2019, the Italian Supervisory Authority (“Garante”) approved a code of conduct for consumer credit agencies (the “Code”), pursuant to Art. 40 GDPR (see here in Italian). [read post]
13 Jun 2018, 9:07 am
In their supervisory role, partners typically set the tone for, and dictate the parameters of, their interactions with associates. [read post]
29 Sep 2009, 2:24 pm
Last week, the National Association of Insurance Commissioners Government Relations Leadership Council approved proposed legislation intended to modernize regulation of reinsurance by the states for submission to Congress. [read post]
20 Mar 2019, 1:38 am
An attempt to codify more detailed data privacy rules in the employment context failed in 2013 due to disagreements between employer and employee associations. [read post]
9 Jan 2018, 10:46 am
This isn’t the first time Meyers Associates has been in hot water with FINRA for supervisory issues. [read post]
12 Jul 2019, 7:51 am
Guidance on how to identify data subjects On July 1, 2019, the Bavarian Supervisory Authority for the public sector (“SA”) published guidance on how to verify the identity of data subjects exercising their data protection rights under the GDPR. [read post]
29 Oct 2020, 12:58 pm
Sanctioned for Sales Practice Violations and Supervisory Issues appeared first on The White Law Group. [read post]
23 Jul 2021, 6:27 am
The representative was reportedly suspended from association with any FINRA member firm in any principal capacity for two months; and fined $15,000. [read post]
24 Jan 2007, 8:16 am
Mary Ann Gadziala, an associate director of the Securities and Exchange Commission's Office of Compliance Inspections and Examinations, says that broker-dealers often do not follow written supervisory procedures. [read post]
19 May 2021, 8:45 pm
It is relevant to those credit institutions that have been in scope of the associated reporting requirements. [read post]
28 Feb 2014, 4:46 am
Specifically, FINRA found that at least 35 associated persons used external email accounts for business purposes, but that those emails were not captured by Center Street for retention and review. [read post]
19 Aug 2019, 11:05 am
In 2012, however, the employer representatives challenged the longstanding position of ILO expert bodies that Convention No. 87 on freedom of association implicitly protects the right to strike. [read post]
29 Jun 2017, 6:35 am
View Draft guidance for supervisory stress testing of central counterparties released, 28 June 2017 [read post]
28 Jan 2021, 11:21 am
The CFPB has issued “Supervisory Highlights COVID-19 Prioritized Assessments Special Edition. [read post]
