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10 Jan 2023, 12:33 pm
Robinhood: The New York Department of Financial Services issued a $30 million penalty on Robinhood’s crypto division for failing to meet basic AML compliance requirements on August 1, 2022. [read post]
10 Jan 2023, 9:40 am
The GMAC report made several recommendations to the Commission to tailor the CFTC’s uncleared margin rules to account for the practical and operational challenges arising when they are applied to financial end-users that have only recently come into scope of those rules, such as pension plans, endowments, insurance providers, and mortgage service providers. [read post]
10 Jan 2023, 9:06 am
Employers with fewer than 50 employees may obtain an exemption if they can show that compliance with the Act would cause significant difficulty or expense (considering the size, financial resources, nature, and structure of the business). [read post]
10 Jan 2023, 9:05 am
Specifically, the amendments require a cooling-off period for officers and directors for the later of (1) 90 days following the adoption of a Rule 10b5-1 plan; or (2) two business days following the disclosure of the issuer’s financial reports in an Annual Report on Form 10-K or a Quarterly Report on Form 10-Q for the fiscal quarter in which the Rule 10b5-1 plan was adopted or, for a foreign private issuer, in a Form 20-F or a Form 6-K that discloses the issuer’s… [read post]
10 Jan 2023, 8:48 am
The priorities include the following: Financial resilience: The PRA will continue to focus on financial resilience, through ongoing assessment of individual firm’s capital and liquidity positions as well as how these may evolve in light of potential headwinds. [read post]
10 Jan 2023, 8:30 am
Financial resilience: The PRA will continue to focus on financial resilience, through ongoing assessment of individual firm’s capital and liquidity positions as well as how these may evolve in light of potential headwinds. [read post]
10 Jan 2023, 7:39 am
UBS Financial Services also agreed to pay nearly $25 million to settle fraud charges in connection with its Yield Enhancement Strategy, (YES Strategy). [read post]
10 Jan 2023, 7:24 am
Other VAT exemptions include financial or insurance services whose tax bases are difficult to determine, but these activities are normally subject to other specific taxes. [read post]
10 Jan 2023, 6:17 am
Cloud Act, adopted in 2018, confirmed that judicial warrants were available to obtain personal data held outside the United States in the “possession, custody, or control” of electronic communications service providers. [read post]
10 Jan 2023, 6:00 am
The integration enables PI firms to accept credit card and ACH payments electronically, which can help a firm increase collections and streamline financial operations. [read post]
10 Jan 2023, 4:40 am
” Felicia Schwartz, Stefania Schwartz and Bryan Harris report for the Financial Times. [read post]
10 Jan 2023, 12:08 am
This level of service guarantees that: Your unique needs are given priority. [read post]
10 Jan 2023, 12:08 am
This level of service guarantees that: Your unique needs are given priority. [read post]
9 Jan 2023, 9:01 pm
In this overview, ISS Securities Class Action Services reviews the largest shareholder-related settlements of 2022. [read post]
9 Jan 2023, 6:42 pm
Who can be a financial sponsor of a qualifying national? [read post]
9 Jan 2023, 5:50 pm
If you are facing a serious emergency, urgent humanitarian reason, severe financial loss, medical urgency, etc. you may be able to receive expedited processing from the Embassy. [read post]
9 Jan 2023, 12:30 pm
The most significant advantage for startup companies is the ability to roll forward financial losses. [read post]
9 Jan 2023, 12:02 pm
– Bryant Legal Group (bryantlg.com)Key Person InsuranceWhether a small business thrives or fails often hinges on the singular efforts of one or more truly essential people.In addition to the business owner or CEO, a “key person” in your small business might be the talented salesperson who brings in half your revenue, an account manager who acts as the “face” of your company and has developed close relationships with your top clients, or a software engineer with… [read post]
9 Jan 2023, 12:02 pm
However, for someone that only has one truck to run routes with, replacing a brake line is a much greater financial burden. [read post]
9 Jan 2023, 11:09 am
Even if you need to drive a work vehicle for your job, the vehicle needs to have an IID installed, for which you are financially responsible. [read post]
