Search for: "PRUDENTIAL FINANCIAL"
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18 Jul 2014, 5:33 am
Paragraph 2(a) provides an indicative list of such prudential reasons (protection of investors, depositors, policy holders or persons to whom a fiduciary duty is owed by a financial service supplier) and includes the objective of ensuring the integrity and stability of the financial system. [read post]
20 Jul 2016, 10:18 am
According to the News Release, a former registered Sales Assistant named Travis Wetzel, who worked at LPL Financial, stole money from the elderly customer’s account by submitting to Prudential Annuities Distributors 14 forged annuity withdrawal requests. [read post]
28 Feb 2010, 4:09 pm
Prudential P.L.C., the British financial services company, was in advanced talks late on Sunday to acquire the American International Group's big life insurance business in Asia for about $35.5 billion, people briefed on the matter told DealBook. [read post]
17 Feb 2011, 2:08 am
The move by Prudential Staff Pensions could potentially force the financial services firm into topping up the scheme and comes after the Pru changed its practices in 2005 to plug a £379m deficit in the 92-year-old pension plan. [read post]
20 Jan 2010, 4:29 pm
The SEC and General Re Corporation settled fraud charges relating to General Re's alleged involvement in separate schemes by American International Group and Prudential Financial, Inc. to manipulate and falsify their reported financial results. [read post]
16 Sep 2019, 12:04 pm
The Securities and Exchange Commission today charged two subsidiaries of Prudential Financial Inc. with failing to disclose conflicts of interest and making misleading disclosures to the boards for 94 funds they advised. [read post]
11 Aug 2022, 8:24 am
On 11 August 2022, the European Securities and Markets Authority (ESMA) published a Memorandum of Understanding (MoU) between itself and South Africa’s Financial Sector Conduct Authority, Prudential Authority and the South African Reserve Bank related to central counterparties (CCPs) established in South Africa. [read post]
6 Jul 2015, 1:00 pm
While the OIGs found that the CFPB and prudential regulators were generally coordinating their regulatory oversight activities for federal consumer financial laws consistent with Dodd-Frank, they found various opportunities for enhanced coordination, including with regard to the CFPB’s approach for providing notifications or recommendations to the prudential regulators when the CFPB believes a smaller institution has violated a federal consumer… [read post]
16 Jul 2010, 1:23 pm
Here is the abstract: Since the financial crisis began in late 2007, there has been increasing recognition that micro-prudential financial regulation must be supplemented by macro-prudential supervision in order to maintain financial stability. [read post]
26 Mar 2014, 4:01 am
In this 2-minute video, find out 32 great ways that Prudential Financial (Peggy Foran & her team) enhances the usability of its 2014 proxy statement (with Addison's help). [read post]
1 Feb 2012, 9:29 am
The National LGBT Bar Association is pleased to partner with Prudential Financial, Inc. [read post]
17 Nov 2020, 8:56 pm
On 16 November 2020, HM Government published a joint statement from HM Treasury, the PRA and the FCA on the implementation of prudential reforms contained in the Financial Services Bill. [read post]
15 Oct 2016, 9:11 pm
The WTO has now issued its first ruling on the prudential exception in Argentina — Financial Services. [read post]
FRANKEL & NEWFIELD WINS PRUDENTIAL APPEAL FOR BREAST CANCER SURVIVOR WITH LUPUS AND THYROID DISORDER
14 Jun 2010, 6:46 am
Our client was a Vice President with a worldwide financial services company, but even her high level executive skills were no match for the wall of denial constructed by Prudential. [read post]
17 May 2008, 2:59 pm
The Financial Sector Legislation Amendment (Review of Prudential Decisions) Act 2008 has been passed. [read post]
8 Jun 2012, 1:24 pm
The Dodd-Frank Act grants the CFPB exclusive authority to examine insured depository institutions and insured credit unions with more than $10 billion of total assets (and their affiliates) for compliance with federal consumer financial laws. [read post]
20 Jun 2007, 2:56 pm
Fitch Ratings services has upgraded the life company group of Prudential Financial, Inc. from AA- to AA. [read post]
4 May 2022, 8:11 am
The Discussion Paper also notes that while there is potential for the existing framework to capture environmental risks, the way in which such risks translate into financial risks over time remains an area of significant uncertainty. [read post]
29 Apr 2012, 12:33 pm
These standards are: Prudential Standard SPS 114 Operational Risk Financial Requirement; Prudential Standard SPS 160 Defined Benefit Matters; Prudential Standard SPS 250 Insurance in Superannuation; Prudential Standard SPS 521 Conflicts of Interest; and Prudential Standard SPS 530 Investment Governance. [read post]
Prudential Annuities Distributors, Inc. Fined by FINRA for Failing to Detect Variable Annuity Scheme
15 Aug 2016, 12:00 am
In a Press Release dated Tuesday, July 19, 2016, the Financial Industry Regulatory Authority (FINRA) announced a finding against Prudential Annuities Distributors, Inc. for failing to detect forged variable annuity withdrawal requests from a Prudential Annuities variable annuity customer. [read post]
