Search for: "Financial Industry Regulatory Authority"
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14 Feb 2018, 4:01 am
For example, the Assistant Cyber Commissioner for financial institutions would likely be an officer from the Monetary Authority of Singapore (MAS). [read post]
4 Sep 2017, 3:08 pm
Enterprises will have to be careful about regulatory incoherence in the conect of joint venturing that impacts social credit construction. [read post]
Sovereign Wealth Funds as Development Mechanisms--The Emerging Case of Turkey and its SWF-SOE Hybrid
9 Feb 2017, 7:23 am
Regulatory efforts will likely follow this conflation. [read post]
1 Feb 2023, 9:48 am
Ensure collaboration and cooperation among regulatory authorities that deal with data, including financial services, competition, and data protection authorities, both within a country and across jurisdictions. [read post]
29 Dec 2021, 12:25 pm
If you are a marijuana business in Southern California concerned about regulatory and tax compliance, our dedicated marijuana lawyers can help. [read post]
30 Aug 2023, 1:56 pm
I welcome guest post submissions from responsible authors on topics of interest to this site’s readers. [read post]
22 Apr 2020, 11:39 am
Investors who have operations and technology capabilities or partnerships will outperform financial investors and win more bids. [read post]
24 Jan 2024, 8:51 am
Here, the court found that many benefits and reasons associated with the Law outweighed any hypothetical cost imposed on the interstate fast food industry: “The City enacted the Wrongful Discharge Law to protect vulnerable fast-food employees from the financial hardships—e.g., homelessness, food insecurity, loss of resources to pay for child care—caused by arbitrary reductions in hours and terminations. [read post]
14 Mar 2024, 5:52 am
About HaystackID® HaystackID solves complex data challenges related to legal, compliance, regulatory, and cyber events. [read post]
7 Feb 2024, 11:32 am
Brokers not adhering to instructions is a breach of industry regulations. [read post]
23 Dec 2011, 9:26 am
Earlier this year, an arbitration panel of the Financial Industry Regulatory Authority (FINRA) awarded a Texas man and the estate of his deceased wife $1.7 million, after finding that an independent contractor, Paul Davis of Raymond James Financial Services, sold life insurance and variable annuity products that were inappropriate investments given the couple’s age and risk tolerance. [read post]
8 Jan 2018, 8:14 am
Regulatory authorities such as the SEC and FINRA have steadily heightened the supervisory obligations of brokerage firms in recent years. [read post]
7 Mar 2010, 9:54 am
Maddox Hargett & Caruso P.C. continues to file arbitration claims with the Financial Industry Regulatory Authority (FINRA) on behalf of investors who have suffered investment losses in their Medical Capital investments. [read post]
17 May 2018, 12:00 pm
Reciprocal regulatory processes have been proposed for financial services. [read post]
12 Feb 2018, 8:23 am
The Financial Industry Regulatory Authority does provide for an arbitration forum for investors to resolve such disputes. [read post]
Optimism Amidst Challenges: Key Takeaways from the Winter 2024 eDiscovery Business Confidence Survey
21 Feb 2024, 10:21 am
This financial landscape, coupled with the operational and technological insights gleaned from the survey, paints a comprehensive picture of an industry in flux—driven by innovation, challenged by complexity, and buoyed by a resilient spirit of optimism. [read post]
7 Jul 2022, 9:14 pm
In developing the plan, the Interior Department considered industry interest and the distribution of environmental risks among the regions that would be affected. [read post]
26 Oct 2018, 7:13 am
FIA seeks regulatory clarity. [read post]
8 Apr 2019, 10:40 am
But what happens when an industrial tenant or occupant of a farm property walks away or goes bankrupt? [read post]
8 Apr 2019, 10:40 am
But what happens when an industrial tenant or occupant of a farm property walks away or goes bankrupt? [read post]
