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16 Feb 2023, 3:01 am
The sheer volume of information being created in this new data landscape alone is daunting, and creates numerous challenges for businesses, particularly those in highly regulated sectors such as financial services. [read post]
15 Feb 2023, 8:18 pm
Additionally, AUSTRAC published guidance addressing greater access to financial services for people from diverse backgrounds and challenging circumstances. [read post]
15 Feb 2023, 10:26 am
Stamer’s work throughout her 35 year career has focused heavily on working with health care and managed care, health and other employee benefit plan, insurance and financial services and other public and private organizations and their technology, data, and other service providers and advisors domestically and internationally with legal and operational compliance and risk management, performance and workforce management, regulatory and public policy and… [read post]
14 Feb 2023, 9:00 am
The Alliance also develops tools and trainings for accountants, lawyers, and other advisors of food and farm businesses, creates a community of practice for farm advisors to network and learn from one another, and works to ensure sufficient funding is available for technical and business assistance across the food system. [read post]
13 Feb 2023, 10:27 am
The Financial Industry Regulatory Authority (FINRA), overseen by the SEC, provides regulatory services to the financial industry by licensing and regulating broker-dealers. [read post]
9 Feb 2023, 11:27 am
They represent investors in claims against brokers, financial advisors, and brokerage firms to recover financial losses from wrongdoing. [read post]
9 Feb 2023, 4:38 am
Jasmine Cameron-Chileshe, George Parker, John Paul Rathbone, Robert Wright and Roman Olearchyk report for the Financial Times. [read post]
9 Feb 2023, 2:12 am
The post 5 Ways to Recruit on LinkedIn That Aren’t Spammy appeared first on HR Daily Advisor. [read post]
7 Feb 2023, 3:03 am
HBR Consulting, LLC (HBR), a trusted advisor to law firms and law departments worldwide, today announces the acquisition of leading content management firm Younts Consulting, Inc. [read post]
6 Feb 2023, 9:14 am
Allegedly Stole $600,000 from five clients According to an article in Shore News Network, former financial advisor Mario E. [read post]
6 Feb 2023, 5:49 am
One person who has seen this in detail is Fisseha Tekle, who was an Ethiopia researcher for Amnesty International and is now one of its legal advisors. [read post]
5 Feb 2023, 11:39 pm
So far, the financial markets have shown resistance to these challenges, but the AFM notes that (certain groups of) households continue to be vulnerable and that financial services providers will need to pay extra attention to their duty of care. [read post]
5 Feb 2023, 7:38 pm
L’enfant de l’informatique et des mégadonnées, l’apprentissage automatique, dit l’intelligence artificielle (IA), a infiltré plusieurs domaines, y compris des décisions gouvernementales (soit les bénéfices sociaux ou l’administration de la justice), les services de santé, le champ de bataille, et des tentatives de manipulation des élections et de l’espace public, ainsi que les marchés… [read post]
4 Feb 2023, 3:20 am
Renegotiating and enhancing service provider agreements to detail the specific compliance, audit, oversight and reporting rights, workforce and vendor credentialing and access control, indemnification, insurance, cooperation and other rights and responsibilities of all entities and individuals that use, access or disclose, or provide systems, software or other services or tools that could impact on security; to clarify the respective rights, procedures and responsibilities of each… [read post]
3 Feb 2023, 1:46 pm
Stamer’s work throughout her 30 plus year career has focused heavily on working with health care and managed care, health and other employee benefit plan, insurance and financial services and other public and private organizations and their technology, data, and other service providers and advisors domestically and internationally with legal and operational compliance and risk management, performance and workforce management, regulatory and public policy and… [read post]
2 Feb 2023, 12:29 pm
FINRA provides regulatory services to the financial industry, without the need of taxpayer funding and is not a part of the U.S. [read post]
1 Feb 2023, 9:01 pm
We saw this, for example, in the 2008 financial crisis, and have many recent examples of the continued phenomenon with companies such as FTX, Theranos, and WeWork. [read post]
1 Feb 2023, 12:25 pm
The most recent evidence was: a) a report from a consultant psychiatrist dated 15 August 2022, which stated that Ms Lees had a diagnosis of adjustment disorder, and was receiving telephone 3 monthly out patient follow up following a crisis in October 2021. b) A 3 November 2022 email from someone calling herself an ‘Approved Mental Health Professional – Social Worker’, which said: “I am able to confirm that to the best of your knowledge (sic), I am 100% confident that the Ms… [read post]
1 Feb 2023, 7:00 am
Scope of practice: CPAs are trained in a wide range of accounting and financial topics and may provide a variety of services, including auditing, tax preparation, and financial planning. [read post]
30 Jan 2023, 12:55 pm
Is the input of code to direct an AI trade a professional service by a broker dealer? [read post]
