Posts tagged with: "financial+issue"
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11 Oct 2022, 5:03 am
FINRA Alerts Firms about Fraudulent Transfer of Customer Accounts thru ACATS According to a special notice issued by the Financial Industry Regulatory Authority (FINRA), the regulator is alerting brokerage firms about a rising trend in the fraudulent transfer of customer accounts through the Automated Customer Account Transfer Service (ACATS), an automated system administered by the National Securities Clearing Corporation (NSCC), that facilitates the transfer of customer… [read post]
7 Mar 2023, 11:52 am
Contact Our Galveston County High Net Worth Divorce Lawyer Property division issues in a high net worth divorce require special consideration due to their complexity and the potential financial consequences for either spouse. [read post]
4 Aug 2009, 2:13 am
On 27 July 2009, the Financial Services Authority (the FSA) issued PS09/14: "The approved persons regime - significant influence function review" (the Policy Statement) confirming that it will extend the approved persons regime for those that perform a 'significant influence' function at firms. [read post]
5 Jun 2021, 4:00 am
DiNapoli announced the following audits and reports were issued during the week ending June 4, 2021. [read post]
5 Jun 2021, 4:00 am
DiNapoli announced the following audits and reports were issued during the week ending June 4, 2021. [read post]
5 Jun 2021, 4:00 am
DiNapoli announced the following audits and reports were issued during the week ending June 4, 2021. [read post]
5 Jun 2021, 4:00 am
DiNapoli announced the following audits and reports were issued during the week ending June 4, 2021. [read post]
17 Nov 2016, 3:56 am
The “Financial Choice Act” is much more than merely repealing big chunks of Dodd-Frank. [read post]
13 May 2012, 8:08 pm
I gently explained to her that unless they work together as a team, both understanding their budget and both contributing to their future, they will never reach their financial goals and could face continuing trust issues within the marriage. [read post]
5 Feb 2015, 4:12 pm
CRS – Bitcoin: Questions, Answers, and Analysis of Legal Issues. [read post]
6 Aug 2020, 8:42 am
An LRCN is a subordinated note issued by a federally regulated financial institution (FRFI) that is secured by preferred shares issued by the FRFI to a special purpose vehicle. [read post]
30 Apr 2018, 2:05 pm
ESMA believes that this issue needs to be clarified to ensure supervisory convergence and a level playing field across EU CCPs. [read post]
30 Oct 2017, 2:55 pm
On October 26, 2017, the Office of Financial Research (“OFR”), an arm of the Treasury Department, issued a Report of its Director that challenges the standard set forth in the Dodd-Frank Act for determining which entities are systemically important and should be subject to the supervision of the Federal Reserve because their failure would pose the greatest risk to financial stability. [read post]
11 Oct 2019, 7:00 am
Click on the text highlighted in color below to access entire report.Office of Children and Family Services (OCFS): Financial Oversight of the Advantage After School Program (Follow-Up) (2019-F-27)A report issued in February 2018 identified a risk that providers could exceed their maximum cost per child if they were serving significantly fewer children and did not reduce their expenditures proportionately. [read post]
11 Oct 2019, 7:00 am
Click on the text highlighted in color below to access entire report.Office of Children and Family Services (OCFS): Financial Oversight of the Advantage After School Program (Follow-Up) (2019-F-27)A report issued in February 2018 identified a risk that providers could exceed their maximum cost per child if they were serving significantly fewer children and did not reduce their expenditures proportionately. [read post]
11 Oct 2019, 7:00 am
Click on the text highlighted in color below to access entire report.Office of Children and Family Services (OCFS): Financial Oversight of the Advantage After School Program (Follow-Up) (2019-F-27)A report issued in February 2018 identified a risk that providers could exceed their maximum cost per child if they were serving significantly fewer children and did not reduce their expenditures proportionately. [read post]
11 Oct 2019, 7:00 am
Click on the text highlighted in color below to access entire report.Office of Children and Family Services (OCFS): Financial Oversight of the Advantage After School Program (Follow-Up) (2019-F-27)A report issued in February 2018 identified a risk that providers could exceed their maximum cost per child if they were serving significantly fewer children and did not reduce their expenditures proportionately. [read post]
5 Oct 2010, 2:13 pm
LEGAL NEWS FLASH- Verizon Wireless announced it will issue refunds to 15 million customers who were wrongly charged for data use. [read post]
10 Jun 2024, 12:00 am
Multiple types of legal and financial issues need to be addressed in a divorce. [read post]
21 Feb 2008, 3:48 am
The Advisory Committee will issue a final report (with final recommendations) later this year. [read post]
