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18 Dec 2023, 2:48 pm
On October 2, 2023, the Commodity Futures Trading Commission (“CFTC”) proposed amendments to modernize Regulation 4.7, significantly increasing monetary thresholds and expanding disclosure requirements. [read post]
14 Dec 2023, 9:01 pm
”[8] These changes are similar to the United States Securities and Exchange Commission’s new Cybersecurity Disclosure Rule, which requires covered entities to report cybersecurity incidents that occur at their third-party service providers.[9] Consequentially, the Amended Regulation, in effect, imposes additional downstream pressure on third-party service providers who work with covered entities to ensure they notify their customers of triggering cybersecurity incidents. [read post]
12 Dec 2023, 7:55 pm
So too for the liminalities and the disciplinary precarity that the ILC’s study group forces us to consider. [read post]
12 Dec 2023, 5:56 am
The European Commission will assess the fulfillment of these criteria. [read post]
12 Dec 2023, 5:34 am
The investigation resulted in disciplinary actions against 15 Air National Guard members, including Col. [read post]
7 Dec 2023, 5:00 am
Create rules, qualifications, licensing, and disciplinary infrastructure within the Judicial Branch Certification Commission (JBCC) to ensure paraprofessionals have the necessary training, skill, and oversight to deliver quality services while protecting the public. [read post]
6 Dec 2023, 10:30 am
Republican lawmakers grilled the administrators on topics like ideological diversity, foreign university funding and specific disciplinary actions. [read post]
3 Dec 2023, 9:05 pm
The Commission has disciplinary powers over regulated entities and persons associated with the regulated entities. [read post]
30 Nov 2023, 8:04 am
To verify what the attorney says, you can search for lawyers’ names at the Attorney Registration & Disciplinary Commission at the Supreme Court of Illinois. [read post]
30 Nov 2023, 2:15 am
Review of the ecclesiastical court judgments during November 2023 Eleven consistory court judgments were circulated in November and relate to reordering, exhumation, and churchyards. [read post]
28 Nov 2023, 8:10 pm
Talking about disciplinary actions and what we could legally do for disciplinary actions versus what we couldn’t do. [read post]
24 Nov 2023, 9:05 pm
But the SEC is not the only source of attorney disciplinary controls. [read post]
16 Nov 2023, 7:32 am
However, a recent disciplinary action against a financial professional raises questions about the level of transparency provided, specifically concerning the non-traded REIT (Real Estate Investment Trust) involved. [read post]
14 Nov 2023, 1:09 pm
Those sensibilities, and that disciplinary apparatus, is also very much in evidence in Marxist-Leninist systems. [read post]
13 Nov 2023, 1:01 pm
Enforcement: FINRA has the authority to take disciplinary actions against member firms and individuals who violate its rules and regulations. [read post]
7 Nov 2023, 7:56 am
Following an investigation and disciplinary action, Muharemovic was ordered to pay fines and restitution to both clients for their losses. [read post]
5 Nov 2023, 6:28 pm
In a recent disciplinary action by the Financial Industry Regulatory Authority (FINRA), Richard S. [read post]
5 Nov 2023, 6:03 pm
Let’s delve into the details of this disciplinary action and its implications. [read post]
3 Nov 2023, 10:39 am
This compensation may come in the form of commissions, fees, or other financial benefits. [read post]
3 Nov 2023, 10:22 am
She was publicly threatened with disciplinary charges and ultimately terminated. [read post]
