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14 Jan 2019, 6:01 am
It also serves companies in investment banking, real estate, and general corporate affairs. [read post]
3 Jun 2011, 6:45 am
The panel will resolve any questions regarding the eligibility of a claim under this rule.FINRA also provides in the introduction to the Rule: “The Customer Code applies to claims filed on or after April 16, 2007. [read post]
12 Nov 2010, 11:47 am
.' By regulated industries, Paul is generally referring to businesses in finance/banking/securities, health care (insurance/hospitals/doctors), pharmaceuticals, government agencies themselves, spirits and insurance (property/casualty). [read post]
28 Jun 2012, 8:06 am
Jeffrey Keey and Kate DaSilva - Her Majesty’s Revenue and Customs (HMRC) recently announced that it would not appeal the February 2012 UK First-tier Tribunal decision in HSBC Holdings Plc and The Bank of New York Mellon Corporation v. [read post]
30 Nov 2020, 12:22 pm
” Matthes reportedly has 15 customer complaints filed against him since 2005. [read post]
19 Nov 2015, 9:12 pm
It is how they are known to customers, coworkers, clients, and potential employers. [read post]
9 Jan 2010, 8:30 pm
Here are some issues that need to be covered: Corporate governance Business structures and tax Confidentiality Conflicts of interest Staff recruitment and employment conditions Investor and shareholder relationships Anti-money laundering and suspect transaction reporting Environmental reporting Gifts and inducements Political donations Competition and unlawful trade practices New products New customers Strategic partnerships Proprietary information (who owns employees’ inventions)? [read post]
19 Nov 2006, 10:42 pm
Buried in this story is another lesson for all businesses that post a privacy policy, including banks. [read post]
17 May 2011, 11:24 am
If paid by check, he would cash them at his customers’ banks and not his own to circumvent paper trails of how much he earned. [read post]
10 Jul 2020, 11:30 am
Trust companies and the trust departments of banks provide trustee services. [read post]
7 Jul 2008, 11:37 am
Comfortable with customer service phone contact2. [read post]
27 Apr 2022, 6:47 am
” In the context of securities law, misappropriation is when someone handling an investment account directs the money to a place other than where the customer intended—usually to their own bank accounts. [read post]
9 Sep 2008, 4:00 am
The closest I ever came to being a cop was my year before law school as a financial auditor at a large Wall Street commercial bank. [read post]
15 Jun 2015, 12:07 pm
All you have to do then is rate the driver, and he or she also gets a chance to rate the customer. [read post]
16 Nov 2009, 3:00 pm
For example, if a client owes you money, your billing system will hash it out with his banking software. [read post]
2 Aug 2011, 7:00 am
In that system, a hotel guest would choose the movie he wished to watch, then have it streamed from a bank of VCRs located in a hotel's equipment room. [read post]
16 Feb 2012, 9:55 am
In what seems to an unfair exemption, lobbyists for phone companies are happy that wireless carriers can continue to make automated calls, including sales calls, to their customers so long as their customers are not charged. [read post]
16 Nov 2006, 2:12 am
A "finder" can be a broker-dealer or agent that introduces a customer to the broker-dealer or agent who will make the actual offer or sale of the issuer's security to that customer. [read post]
22 Nov 2015, 1:04 pm
However, in recent years banks have reduced that rate to 3 or 4 percent. [read post]
16 Jul 2007, 8:26 am
Indeed, Byrne has also filed a lawsuit against major Wall Street investment banks for being part of a vast short-selling conspiracy against his company. [read post]
