Search for: "Financial Industry Regulatory Authority"
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7 Jul 2016, 5:03 pm
In a related criminal action, Marsh pled guilty to one count of exceeding his authorized access to a computer to obtain a financial record of a financial institution, in violation of 18 U.S.C. [read post]
30 Jun 2016, 9:29 am
In a related criminal action, Marsh pled guilty to one count of exceeding his authorized access to a computer to obtain a financial record of a financial institution, in violation of 18 U.S.C. [read post]
29 Jun 2011, 5:38 pm
Once the regulatory implementation was handed over to the Fed, the banks were playing with a home court advantage. [read post]
24 May 2019, 10:46 pm
If have questions or need more information about the risk assessment or other HIPAA requirements or other health care regulatory developments or their implications on your organization, contact the author. [read post]
11 Dec 2023, 8:33 pm
Regulatory affairs professionals with significant expertise in diagnostics are already in short supply. [read post]
16 Oct 2023, 7:37 am
This association has made the art market a prominent conduit for substantial financial transactions. [read post]
20 May 2023, 3:48 pm
Addressing these obstacles in a relatively immature PACE lending industry will require some bold collaboration (.. similar in order of magnitude of the problem looking to be addressed) between government entities, financial institutions, and industry stakeholders to create standardization, raise awareness, and robust mechanisms for seamless real estate transfers. [read post]
31 Jul 2024, 12:51 pm
Private fund advisers expect further SEC and industry guidance while implementing the new rules. [read post]
23 Aug 2017, 7:51 am
FINRA Broker Disciplinary Action Report August 2017Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
2 Aug 2022, 5:37 pm
CHART 2 Source: Derived by author from ONEI (2022). [read post]
24 Jun 2022, 6:00 am
The Oversight and Anti-Corruption Authority, which investigates financial and administrative corruption, has set up an online- and telephone-based system for citizens to report violations. [read post]
9 Sep 2021, 6:40 pm
More Information This article is republished by permission of the author, Cynthia Marcotte Stamer. [read post]
16 Mar 2014, 6:07 pm
When carrying out these activities, most covered entities and business associates also will want to take steps to monitor potential responsibilities and exposures under other federal and state laws like the privacy and data security requirements that often apply to personal financial information, trade secrets or other sensitive data under applicable federal and state laws and judicial precedent. [read post]
11 Jun 2014, 11:45 am
Stamer has more than 25 years’ experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
5 Mar 2014, 11:06 am
Stamer has more than 25 years’ experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
28 Jan 2013, 6:58 am
But in 2012, access to financial information and any personal data in the records became much more heavily restricted. [read post]
30 May 2013, 2:19 pm
The sheer size of the industry increases the chances that somebody will find a way to make the exemption workable and cost-effective. [read post]
3 Mar 2018, 3:42 pm
Kaiser’s review of federal regulatory inspection, financial and staffing reports revealed that on average, facilities that did business with their jointly-owned firms had 8 percent fewer aides and nurses. [read post]
22 Sep 2022, 7:26 am
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
3 Nov 2022, 2:35 pm
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
