Posts tagged with: "financial+issue"
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17 Oct 2016, 7:26 am
According to InvestmentNews, only about 12% of financial advisors have any type of disclosure event on their records. [read post]
19 Sep 2018, 9:38 am
The Office of the Superintendent of Financial Institutions (OSFI) has issued its final version of the Corporate Governance Guideline (CGG). [read post]
24 Mar 2022, 1:22 pm
The Federal Trade Commission (FTC) tracks identity theft, fraud, online scams, and other consumer complaints to keep US citizens aware of current issues and help protect them from criminal activity. [read post]
23 Jul 2010, 5:05 am
Hopefully they will fill the need.Related posts: NASDAQ and Banking Lobby Endorse Ombuds for Accounting Oversight (2007); Ombuds as Solution to the Financial Meltdown; Congress Must Resolve Ombuds Issue Before Passing Financial Reform Bill; COFO Collaborating With Federal Agencies Creating New Ombuds Programs. [read post]
25 Mar 2008, 2:23 pm
"The Financial Action Task Force (FATF) is an inter-governmental body whose purpose is the development and promotion of national and... [read post]
14 Jan 2022, 6:34 am
Separate guidance for AIs Please note that the HKMA is also considering its regulatory approach regarding Authorized Institutions’ (i.e., the financial institutions it supervises) interface with and provision of intermediary services to customers related to crypto-assets, and further guidance will be issued soon. [read post]
14 Jan 2007, 2:51 pm
In today ’s New York Times, Eric Lichtblau and Mark Mazzetti report that the CIA and Pentagon have been using "national security letters" to obtain sensitive financial information about Americans and others living in the United States. The report raises serious questions about the extent to which the Pentagon and CIA have become involved in domestic intelligence gathering. [read post]
6 Oct 2008, 10:28 pm
Following the signing of the Emergency Economic Stabilization Act of 2008 on Friday, the SEC issued a statement that the ban on short selling financial institution stock will expire late on Wednesday night. [read post]
14 May 2012, 9:00 am
Financial issues are also a huge issues for these sports. [read post]
18 Aug 2022, 8:00 am
Financial Wellness Issues Moratoriums are due to end, and people will be caught in a severe bind. [read post]
27 Jul 2011, 9:38 am
The International Economic Law Interest Group of the American Society of International Law has issued a call for papers for a research forum on "Post-Crisis International Financial Regulation: Fragmentation, Harmonization and Coordination. [read post]
14 Mar 2012, 9:10 am
As a representative of New York City, the financial industry is a very important part of our economy. [read post]
18 Nov 2008, 11:41 am
DOL Requires Investments for Financial Security, Not Social Agendas Recently, the Department of Labor issued guidance on fund managers â [read post]
4 Nov 2014, 6:15 am
On October 10, 2014, the Delaware Court of Chancery issued a decision awarding nearly $76 million in damages against a seller’s financial advisor. [read post]
1 Dec 2016, 3:58 am
Recently, I blogged about how Section 631 of the Financial Choice Act would seriously damage the SEC’s ability to conduct rulemaking. [read post]
16 Nov 2018, 4:00 am
Kelly is accused of telling investors to issue checks to Lion’s Share or a third party instead of to Center Street Securities. [read post]
27 Sep 2011, 6:11 pm
On Sept. 23 the California Court of Appeal issued two unpublished opinions addressing whether a plaintiff had presented sufficient evidence of the defendant's financial condition to sustain an award of punitive damages. [read post]
19 Nov 2008, 7:35 am
Today's Minneapolis Star Tribune reports that a federal magistrate judge in Minneapolis has recommended that the court refuse to enforce an IRS subpoena for financial documents issued to Living Word Christian Center. [read post]
18 May 2016, 1:11 pm
” The forum will bring together representatives from banks, financial technology companies, and community and consumer groups to discuss developments, opportunities, and challenges related to financial innovation. [read post]
6 Feb 2023, 8:38 am
This may include, but is not limited to, take down of websites that are in breach, issuing public warnings and enforcement action. [read post]
