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26 Oct 2023, 7:49 am
Morgan Stanley Timothy Claypool Northwestern Mutual Investment Services, LLC Farmers Financial Solutions, LLC Ebony Parks LPL Financial LLC Wells Fargo Clearing Services, LLC Rashawn Russell Deutsche Bank Securities Inc. [read post]
26 Oct 2023, 4:23 am
” Biden also expressed alarm over the “extremist settlers” attacking Palestinians in the West Bank, whom he accused of “pouring gasoline on fire. [read post]
25 Oct 2023, 9:05 pm
We argue that the proposed rules, if adopted, will have important practical implications for companies, banks, law firms, and other participants in the securities industry. [read post]
25 Oct 2023, 12:49 pm
Deutsche Bank Securities Inc. [read post]
25 Oct 2023, 9:50 am
You need to thoroughly vet and collaborate with vendors to ensure accountability, but your team must also fortify your internal systems in line with industry best practices. [read post]
25 Oct 2023, 8:05 am
In the past, FINRA has barred brokers from the industry for participating in Ponzi schemes, elder financial fraud, breach of fiduciary duty and other misconduct. [read post]
24 Oct 2023, 9:01 pm
When we recommend a new enforcement action, we put a lot of thought into making sure that our charging documents, whether settled or litigated, clearly telegraph the basis of the misconduct to industry participants. [read post]
24 Oct 2023, 12:46 pm
GRI’s professional liability policy, issued by the same insurer, defines professional services as “mortgage banking and mortgage underwriting services and loan servicing for others for a fee. [read post]
24 Oct 2023, 9:50 am
Pix Credit Charlie Chaplin, "Modern Times" If you’ve been paying attention to the policies we’ve implemented over the past two years, you’ve probably noticed that I talk a lot about empowering general counsels and compliance officers – to make the case in the board room and the c-suite for investments in compliance – and to make the case that investing in strong compliance programs is good for business. [read post]
23 Oct 2023, 11:00 pm
The Practical Guidance and Law360 Podcasts Resource Kit features interviews with industry-leading attorneys on cutting edge issues in the law: NFTs, Cannabis, COVID-19 and more. [read post]
23 Oct 2023, 11:00 pm
The Practical Guidance and Law360 Podcasts Resource Kit features interviews with industry-leading attorneys on cutting edge issues in the law: NFTs, Cannabis, COVID-19, and more. [read post]
23 Oct 2023, 11:00 pm
For both sellers and buyers, the costs of running and participating in a competitive auction can be significant because of the need for financial, accounting, legal, and industry-specific consultants and advisors at each phase of the process. [read post]
23 Oct 2023, 11:00 pm
Bank Failure Resource Kit assembles Practical Guidance resources covering topics related to the recent bank failures. [read post]
23 Oct 2023, 11:00 pm
The Practical Guidance and Law360 Podcasts Resource Kit features interviews with industry-leading attorneys on cutting edge issues in the law: NFTs, Cannabis, COVID-19 and more. [read post]
23 Oct 2023, 7:18 pm
Sensitive information such as military intelligence, weapons designs, industry secrets and banking information is often transmitted or stored under digital locks that the act of factoring large numbers could crack open. [read post]
23 Oct 2023, 12:12 pm
Other major businesses, including Bank of America, Citi, Deutsche Bank, Goldman Sachs, Wells Fargo, and JPMorgan, have also imposed restrictions on employees’ use of Chat GPT due to similar concerns. [read post]
23 Oct 2023, 7:50 am
As I said above, it wasn’t clear whether CARB’s carbon intensity figure conveyed this information or averaged in zero-emission vehicles or perhaps use of banked credits). [read post]
23 Oct 2023, 6:50 am
During the conference, Jeremy Johnson, Senior Managing Director, Head of Investment Banking at Bourne Partners, and Jeff Edwards, a partner at QHP Capital, participated in an afternoon panel discussion of current trends in the pharma services industry, hosted by McGuireWoods’ Bart Walker and Allyson Maur. [read post]
22 Oct 2023, 5:03 pm
Crane accidents are a significant safety concern for manufacturing and construction industries nationwide – and Texas is no exception. [read post]
22 Oct 2023, 5:03 pm
Crane accidents are a significant safety concern for manufacturing and construction industries nationwide – and Texas is no exception. [read post]
