Search for: "Adoption of Driscoll"
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21 Mar 2024, 8:17 am
Kent State also adopted a charter for the program. [read post]
8 Mar 2021, 5:48 am
Driscoll was also asked about Form CRS (Relationship Summary), which was adopted as a part of a suite of financial conduct rules by the SEC in June 2019 under Regulation Best Interest. [read post]
23 May 2012, 2:14 pm
Responding to Driscoll, Tony Evers. [read post]
17 May 2019, 7:36 am
OCIE examines broker-dealers for compliance with customer protection rules, but technological developments have changed the landscape since rules were first adopted and firms must adapt, he noted. [read post]
23 May 2016, 4:41 am
Eventually, they had the chance to adopt a retired racing Greyhound. [read post]
9 Apr 2024, 11:51 pm
Together they trapped seven cats who all turned out to be adoptable. [read post]
6 Jun 2023, 10:10 am
King’s lawyer asked for a clean copy (adopting the “redlined” changes) with Driscoll’s signature. [read post]
27 Oct 2014, 3:30 am
Justice Driscoll sided with Ferolito on this issue, reasoning that ”adopting any date . . . later than January 31, 2011 would, in effect, impermissibly permit Vultaggio to use the Trust’s own dissolution action to dilute the value of the Trust’s shares. [read post]
30 Nov 2020, 2:20 pm
In order to address and prevent these deficiencies, Driscoll described a set baseline expectations regulators should look for, and which firms can adopt, in assessing the power and authority of the CCO and compliance function. [read post]
30 Nov 2020, 2:20 pm
In order to address and prevent these deficiencies, Driscoll described a set baseline expectations regulators should look for, and which firms can adopt, in assessing the power and authority of the CCO and compliance function. [read post]
24 Nov 2020, 2:22 pm
In order to address and prevent these deficiencies, Driscoll described a set baseline expectations regulators should look for, and which firms can adopt, in assessing the power and authority of the CCO and compliance function. [read post]
31 Mar 2013, 11:03 am
Driscoll is talking about the photo of Obama that happens to have a portrait of George Washington in the background, but that Drudge page he links to begins with a very striking picture of the new Pope, lying prone — with the quote "Respond to evil with good"— and a big closeup of a cute baby getting a spoonful of mush — with the headline "Putin Orders Ban on Adoptions By Foreign Gay Couples." [read post]
24 Nov 2020, 5:18 pm
New needs during the pandemic may bring risks that need to be evaluated by knowledgeable compliance departments, Driscoll said.CCOs. [read post]
10 Aug 2022, 3:42 pm
., commercial real estate advances the adoption of ESG strategies, and more. [read post]
26 Aug 2015, 9:32 am
A recent opinion released by the Appeals Court of Massachusetts, In re Driscoll’s Case, affirmed the decision of an administrative judge denying ongoing total incapacity benefits to an employee. [read post]
3 Nov 2022, 6:32 am
Before adopting Form N-PX in 2003, funds didn’t have to disclose their proxy votes. [read post]
16 Feb 2018, 6:09 am
., to Driscoll Children’s Hospital in Corpus Christi, Texas, to the University of Virginia Health System, to adopt age-related physician policies in recent years. [read post]
7 Apr 2020, 4:57 pm
According to OCIE Director Pete Driscoll, “Based on conversations we have had with the industry, we know firms have made substantial progress in implementing these new rules. [read post]
12 Jul 2023, 9:01 pm
Our markets have evolved dramatically in the 51 years since Rule 15c3-3 was adopted. [read post]
28 Apr 2010, 12:32 pm
Driscoll-Chippendale (202) 469-4921 JDriscoll-Chippendale@sheppardmullin.com [read post]
