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30 Jan 2016, 7:06 pm
The report covers risks facing national banks and federal savings associations based on data through June 30, 2015. [read post]
14 Jun 2018, 7:29 am
The post FINRA Sanctions Northeast Securities Inc. for Supervisory Issues appeared first on White Securities Law. [read post]
16 Nov 2017, 10:39 am
The fees associated with an L-share contract are typically between35 and 50 basis points higher annually than most B-share contracts. [read post]
3 Oct 2011, 2:48 am
NFA Interpretive Notice 9021 CPOs and CTAs generally must be members of the National Futures Association (“NFA”) and all NFA Member firms have certain compliance obligations. [read post]
11 Mar 2011, 9:42 am
Source: The Associated Press, March 10, 2011. [read post]
21 Aug 2018, 6:35 am
Entities within the Single Supervisory Mechanism (SSM entities) should be adequately staffed with sufficient knowledge, experience, capabilities and technology to manage both the existing and relocating business and associated risks; business origination and financial market infrastructure (FMI) access. [read post]
3 Apr 2022, 5:10 am
The USPTO is seeking applications for the position of Supervisory Managing Interlocutory Attorney at the TTAB. [read post]
27 May 2021, 11:33 am
On May 19, 2021, the Italian Supervisory Authority (“Garante”) fined a physician €5,000 for publishing a patient’s medical records without obtaining that patient’s specific consent to do so. [read post]
23 Feb 2015, 8:38 am
(The Exchequer Club’s members include senior professionals from trade associations, federal regulatory agencies, law firms, congressional committees and national press.) [read post]
27 Mar 2015, 2:16 pm
(“FINRA”) rules relating to its supervisory and compliance procedures. [read post]
10 Sep 2009, 2:12 am
The International Association of Insurance Supervisors (IAIS) has said that it is preparing guidance to the regulatory and supervisory community in relation to insurance securitisation which is expected to be finalised in 2011.The announcement was included in the IAIS's Global Reinsurance Market Report "Developments in (Re)Insurance Securitisation", published on 26 August 2009. [read post]
11 Jun 2014, 8:45 am
CFN has been a member of FINRA since 1979 and the firm has approximately 4,550 associated persons operating from 1,154 branch offices. [read post]
6 Jan 2021, 8:26 am
The post FINRA Hits LPL Financial with $6M for Supervisory Failures appeared first on The White Law Group. [read post]
4 Apr 2019, 9:41 am
The company was found to have intentionally violated Article 14 GDPR motivated by a desire to avoid additional costs associated with informing the individuals about the processing of their data. [read post]
22 Sep 2011, 9:30 am
Pandit, to lead its supervisory board. [read post]
4 Feb 2013, 7:32 am
On January 30, the European Securities and Markets Association (ESMA) published the second update to its questions and answers on the implementation of the Short Selling Regulation (the SSR). [read post]
15 May 2017, 4:44 am
In December 2015, the Basel Committee on Banking Supervision (BCBS) issued supervisory guidance on credit risk and accounting for expected credit losses (the BCBS guidance), which sets out supervisory expectations for credit institutions related to sound credit risk practices associated with implementing and applying an expected credit loss (ECL) accounting model. [read post]
5 Jun 2024, 10:52 am
David Lerner Associates was required to make changes to its supervisory systems, training programs, and advertising procedures as part of the settlement. [read post]
9 Nov 2015, 6:21 am
The Consumer Financial Protection Bureau (CFPB) recently released its ninth supervisory highlights report, which includes new findings from its supervisory program from May – August 2015. [read post]
10 Mar 2017, 10:22 am
Supervisory skills. PREFERRED QUALIFICATIONS: Demonstrated interest in, and some experience or expertise in, national security law. [read post]
