Posts tagged with: "cfas"
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14 Sep 2022, 1:04 pm
One attendee asked about potential conflict if the funder is financing the law firm behind a CFA or DBA where the client would not see the terms. [read post]
1 Dec 2013, 10:02 am
The House oversight chairs contended that permitting sophisticated investors, such as certified public accountants (CPAs) and chartered financial analysts (CFAs) to participate in private investment opportunities would improve information dissemination and analysis surrounding such opportunities. [read post]
24 Aug 2011, 8:04 am
The larger question of whether the CFA was intended to extend to such a relationship also was left for a later stage of the proceedings. [read post]
17 Jul 2013, 7:28 am
In not having a lawyer review the CFA with Mr. [read post]
6 Apr 2010, 9:39 pm
The first type was the CFA itself. [read post]
6 Apr 2010, 9:39 pm
The first type was the CFA itself. [read post]
17 Aug 2012, 1:46 pm
Christine notes in her post: "Frequent reader and commenter Jake suggests the CFA issue is a non-issue because the controversy is about the CEO's beliefs and charitable causes, not any anti-gay mission or policies of the corporation. [read post]
20 May 2009, 3:34 am
Defendants who doggedly fend off product liability claims, facing ever expanding claims including from people who aren’t hurt (CFA claims) or were merely exposed to the product (medical monitoring), may have avoided being bitten by a new class of plaintiffs: cats and dogs. [read post]
13 Jan 2011, 4:59 pm
Of the 125 sets, 26 were CFA cases and 99 were without a CFA. [read post]
7 Jul 2010, 8:07 am
While the plain language of the CFA makes the act applicable to all persons [2] involved in the “sale or advertisement of any merchandise or real estate,” [3] courts have held the CFA applicable to professional and part-time merchants as they can be said to be involved in commercial practices. [4] However, the CFA is not applicable to the casual seller. [5] The CFA mandates, with no discretion permitted, an award of treble damages, as well as… [read post]
3 Apr 2024, 2:10 am
Another important consideration in deciding to award the CFA Success Fee was that the Respondent would not have been able to afford litigation without the CFA. [read post]
24 Apr 2012, 6:40 pm
This week, the authors of SEC Enforcement in the PIPE Market: Actions and Consequences are presenting their paper at the CFA-FAJ-Schulich Conference on Fraud, Ethics and Regulation. [read post]
1 Jun 2023, 5:29 am
By Anne Sherry, J.D.Most Americans between 18 and 25 have some kind of investment, according to a new report from the FINRA Investor Education Foundation and CFA Institute. [read post]
30 Oct 2019, 2:39 am
CFA Institute v. [read post]
26 Mar 2015, 6:20 am
He maintained that he listed activities that he ‘could’ or ‘might’ have been doing not because he was actually doing them but because his professional code of conduct as a CA, CFA or CBV required him to provide that type of disclosure. [read post]
14 Jan 2012, 12:31 pm
An omission or failure to disclose a material fact, if accompanied by knowledge and intent, is also sufficient to violate the CFA. [read post]
10 Aug 2012, 11:06 am
In short, there is no illegal conduct from CFA. [read post]
16 Dec 2011, 1:32 pm
A CFA plaintiff still must show a causal relationship between the regulatory violation and the ascertainable loss. [read post]
11 Dec 2018, 4:44 pm
CFAs state that clients will only be liable for their solicitor’s costs in the event their claim is successful. [read post]
25 Feb 2012, 6:20 am
The CFA report also provides suggestions on ways to curb the problem, and for state regulators, the CFA suggests the following: A careful examination rate requests and reviews of the reasons behind carriers exiting markets. [read post]
