Search for: "Commissioner of Financial Institutions of Puerto Rico"
Results 1 - 20
of 42
Sorted by Relevance
|
Sort by Date
14 Jul 2011, 9:57 am
Please see the securities section of the Puerto Rico Commissioner of Financial Institution's Office (OCFI) website where you can check whether a broker-dealer, agent, investment adviser and/or security is registered with the OCIF to do business in Puerto Rico. [read post]
3 Aug 2015, 7:50 am
UBS has confirmed that FINRA and the SEC are not only looking into the recommendations of the funds, but now they are investigating the structure of the funds.This week UBS reported that it is facing criminal investigations into the use of non-purpose loans to invest in closed-end funds, in violation of various agreements and policies.In 2014 UBS settled allegations with the Office of the Commissioner of Financial Institutions for the Commonwealth of Puerto… [read post]
6 Nov 2014, 11:08 am
On October 9, 2014, Puerto Rico’s Office of the Commissioner of Financial Institutions (OCFI) has settled its claims with UBS Financial Services Incorporated of Puerto Rico (UBS Puerto Rico) over UBS’s sale of closed-end mutual funds in Puerto Rico. [read post]
17 Oct 2014, 7:07 am
InvestmentNews reports that the settlement total with the Office of the Commissioner of Financial Institutions of Puerto Rico (OCIF) was $5.2 million. [read post]
5 May 2021, 11:01 am
In September 2019, the Commissioner of Financial Institutions of the Government of Puerto Rico (“OCFI”) found that the firm failed to put into place a supervisory system that was reasonably designed to achieve compliance with suitability rules and regulations regarding alternative investments transactions. [read post]
14 Oct 2013, 6:11 am
The Puerto Rico Funds are registered under the Puerto Rico Investment Companies Act and are regulated by the Office of the Commissioner of Financial Institutions of Puerto Rico. [read post]
7 Oct 2014, 8:07 am
Contacto: LinkedIn – Soria LLC OVERVIEW: Certified Public Accountant (CPA) in the Commonwealth of Puerto Rico (active license number 3966) and an attorney at law admitted to practice in Puerto Rico by the Puerto Rico Supreme Court. [read post]
3 May 2017, 7:20 am
Opening remarks will be made by Puerto Rico Resident Commissioner in Congress Jenniffer González (R-PR), and Congressman Daren Soto (D-FL). [read post]
9 May 2013, 10:47 am
February, 1989-September, 1989 COMMISSIONER OF FINANCIAL INSTITUTIONS San Juan, Puerto Rico Legal Advisor Researched case law, drafted pleadings and brief, correspondence, conducted investigations and prepared cases for administrative hearings. [read post]
10 Nov 2014, 10:37 am
On October 9, 2014, Puerto Rico’s Office of the Commissioner of Financial Institutions (OCFI) has settled its claims with UBS Financial Services Incorporated of Puerto Rico and agreed to the payment and restitution of $1,681,556 to certain clients and anther $3,500,000 to the Investor Education and Investigation Fund. [read post]
2 Oct 2015, 9:01 am
His experience includes litigation of administrative proceedings before the Commissioner of Insurance, the Puerto Rico Health Insurance Administration, and the Centers for Medicare and Medicaid Services. [read post]
20 Oct 2010, 6:00 am
Commissioner of Financial Institutions William Haraf filled the seat allocated to a “state banking supervisor, to be designated by a selection process determined by the State banking supervisors”. [read post]
22 Sep 2022, 9:03 pm
Governor of Puerto Rico Pedro R. [read post]
23 May 2019, 12:28 pm
NASAA has 67 members, including the securities regulators in all 50 states, the District of Columbia, Puerto Rico, and the U.S. [read post]
28 Jan 2011, 12:28 am
As discussed here, on August 2, 2010, District of Puerto Rico Judge Gustavo Gelpi granted in part and denied in part the defendants’ motion to dismiss. [read post]
7 Aug 2019, 3:40 pm
The other state regulators identified in the DFS’s press release as joining the investigation are the following: Connecticut Department of Banking Illinois Department of Financial Professional Regulation Maryland Office of the Commissioner for Financial Regulation New Jersey Department of Banking and Insurance North Carolina Office of the Commissioner of Banks North Dakota Department of Financial Institutions Oklahoma Department of Consumer… [read post]
27 Mar 2020, 3:38 pm
Members of Congress also include members of the Senate, the House, Delegate to the House, and the Resident Commissioner of Puerto Rico. [read post]
18 Oct 2012, 10:03 pm
File No. 3-15058, 10/3/12 (PDF) More Blog Posts: FINRA Securities Fraud Roundup: Guggenheim Securities Fined $800K For Failure to Supervise CDO Traders, Brokerage Firm Managing TIC Securities Doesn’t Have to Arbitrate Investor Claims, & Investor Award in Morgan Keegan Funds is Upheld, Institutional Investor Securities Blog, October 12, 2012 CFTC Securities Fraud Roundup: Commissioner Bart Chilton Wants Financial System to Adopt Risk-Based Compensation System,… [read post]
21 Apr 2009, 12:15 am
Account in a Foreign Country– A “foreign country” includes all geographical areas located outside the United States, Guam, Puerto Rico, and the Virgin Islands. * * * F. [read post]
8 Aug 2019, 9:05 pm
Regulators from ten states and Puerto Rico launched an investigation of the payroll cash advance industry. [read post]
