Search for: "National Financial Service, Prohibited Transaction Defendant"
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12 Apr 2016, 3:50 pm
A fee or compensation is paid “in connection with or as a result of” such transaction or service if the fee or compensation would not have been paid but for the transaction or service or if eligibility for or the amount of the fee or compensation is based in whole or in part on the transaction or service. [read post]
12 Apr 2016, 3:50 pm
A fee or compensation is paid “in connection with or as a result of” such transaction or service if the fee or compensation would not have been paid but for the transaction or service or if eligibility for or the amount of the fee or compensation is based in whole or in part on the transaction or service. [read post]
1 Nov 2023, 6:38 am
After a national emergency is declared, the IEEPA authorizes the President to "regulate … or prohibit … any use [of], transfer [of], … dealing in, … or transactions involving, any property in which any foreign country or a national thereof has any interest. [read post]
22 May 2012, 1:37 pm
Stamer is recognized, internationally, nationally and locally for her more than 24 years of work, advocacy, education and publications on leading health and managed care, employee benefit, human resources and related workforce, insurance and financial services, and health care matters. [read post]
4 Apr 2024, 5:51 am
There are several broad exemptions, such as transactions that are ordinarily incidental to financial services (e.g., banking) or ancillary to business operations (e.g., human resources and payroll). [read post]
6 Nov 2012, 11:11 am
Specifically, the three-count suit alleges that Morgan Stanley violated the federal Fair Housing Act (prohibiting discrimination in housing transactions and unfair lending practices), the Equal Credit Opportunity Act (banning discrimination for credit transactions such as mortgages loans), and the Michigan Elliott-Larsen Civil Rights Act (prohibiting discrimination in making or purchasing of loans secured by residential real estate). [read post]
30 Apr 2013, 7:52 am
The defendants have been released on bond pursuant to standard pre-trial conditions of release subject to a special condition prohibiting them from incurring any new financial debt. [read post]
13 Oct 2010, 3:23 am
Alliance Financial Services of Illinois, Ltd., No. 08 C 3370, 2010 WL 3842366 (N.D. [read post]
22 Feb 2022, 2:36 pm
And we are united in our resolve to defend our NATO alliance. [read post]
21 Oct 2020, 11:29 am
Financial analysts have interpreted the reported ban as retaliation for Australia’s recent passage of stricter foreign investment approval regulations. [read post]
23 Aug 2022, 10:22 am
The CFPB has supervisory authority for compliance with Federal consumer financial laws (which includes the Dodd-Frank UDAAP prohibition) over all banks and thrifts with $10 billion or more in total assets. [read post]
2 Nov 2014, 11:29 am
According to court documents, Bruister, Smith and Henry, as plan fiduciaries, engaged in prohibited transactions by causing the plans to pay excessive prices for BAI stock purchased from Bruister. [read post]
15 Aug 2020, 6:06 am
The district court stated that the defendants also routinely provided payment processing services to telemarketers in violation of the TSR, which expressly prohibits collecting payments in connection with telemarketing sales. [read post]
21 Sep 2022, 6:26 pm
National Origin & Citizenship Discrimination Prohibited The INA generally prohibits employers and recruiters from limiting jobs based on citizenship or immigration status unless required by a law, regulation, executive order or government contract. [read post]
9 Feb 2023, 2:16 pm
Furthermore, any foreign financial institution that knowingly facilitates a significant transaction or provides significant financial services for any of the individuals or entities designated today could be subject to U.S. correspondent or payable-through account sanctions. [read post]
25 Jun 2010, 9:22 am
A House-Senate conference committee has reported out the Dodd-Frank Wall Street Reform and Consumer Protection Act providing for a sweeping overhaul of the regulation of US financial services and markets. [read post]
4 Mar 2022, 8:52 am
Macau’s authorities closely cooperate with mainland China to prevent money laundering through digital financial assets and therefore prohibited transactions with Bitcoin and banned ICO. [read post]
25 Feb 2020, 5:00 am
Finally, Huawei allegedly informed an unnamed financial institution that it would not use the institution’s services to process transactions with its Iran-based businesses—but, the indictment alleges, Huawei actually used that financial institution to process transactions involving millions of dollars related to Huawei’s Iran-based business. [read post]
12 Oct 2018, 9:28 am
Smith touched upon that in our view are relevant to the consumer financial services sector. [read post]
8 Dec 2020, 9:11 am
Among other things, the Act:created the Public Company Accounting Oversight Board to oversee the conduct of the auditors of public companies;made structural changes in the auditing of financial statements and the corporate disclosure regime;established that CEOs and CFOs are responsible for the presentation of material in their company’s financial reports;strengthened auditor independence from corporate management by limiting the scope of non-audit services that… [read post]
