Posts tagged with: "financial+issue"
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19 Jan 2018, 6:04 am
The New York Department of Financial Services (“DFS”), in Circular Letter No. 1 (1/3/18), provides guidance on certain improper trade practices related to the sale of insurance and service contracts covering phones and other wireless communications equipment. [read post]
12 Jan 2018, 2:14 am
Financial crimes such as New York Scheme to Defraud and charges under the New York Martin Act are notoriously complex and difficult to understand and interpret. [read post]
26 Oct 2016, 7:51 am
Lebel was a broker and former representative of registered broker-dealer and investment advisor, LPL Financial LLC (“LPL”). [read post]
11 Nov 2019, 8:21 am
District Court for the District of Oregon issued a temporary restraining order (TRO) in Doe v. [read post]
28 Nov 2017, 2:43 am
The CFPB was formed in the wake of the 2008 financial crisis to oversee and regulate the financial sector, with the express intent of protecting consumers. [read post]
18 Mar 2020, 3:58 am
In fact, our deep experience with this issue has already led our lawyers to be interviewed and quoted on force majeure in this Economist article, this Financial Times article, and this Corporate Counsel article and in Spanish in this EuropaPress article and in this Cinco Días article. [read post]
4 Mar 2010, 12:29 am
The investigators then issued notices to the relevant parties in order to obtain the requested documentation. [read post]
4 Mar 2010, 12:29 am
The investigators then issued notices to the relevant parties in order to obtain the requested documentation. [read post]
12 Oct 2012, 9:02 am
First, the Third District analyzed the statute at issue in the case. [read post]
26 Jul 2017, 7:12 pm
Following a consultation paper issued by the Securities and Futures Commission (SFC) in July 2015, the SFC, on 24 July 2017, published consultation conclusions and further consultation on the proposed capital and other prudential requirements for licensed corporations engaged in over-the-counter derivatives (OTCD) activities and other proposed changes to the Securities and Futures (Financial Resources) Rules (FRR). [read post]
24 Oct 2017, 7:04 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including compliance with federal and state laws and rules. [read post]
12 Dec 2022, 3:15 am
If an issue makes its way into Part I.A. of an inspection report, it means that the PCAOB’s Staff concluded that the deficiencies were significant enough that the auditor, at the time it issued its report, did not have sufficient appropriate evidence to support its opinion on the company’s financials or ICFR. [read post]
10 Nov 2021, 8:22 am
In some cases, spousal support may be appropriate, but the court must first establish specific factual findings before issuing an order requiring one spouse to provide financial support to the other; otherwise, the decision may be unfair. [read post]
28 Nov 2011, 11:18 pm
While stakeholders frequently discuss the political and financial issues in connection with the Unitary Patent and the related Unified Patent Court, the procedural and patent law related features of the new framework are not so often exhibited. [read post]
27 Mar 2011, 6:05 pm
A common misconception is that estate and financial planning for chronic illness is an elder law or elder abuse issue. [read post]
5 May 2010, 12:20 pm
The financial regulatory reform bill now before the Senate (the “Dodd Bill”) addresses a broad range of issues. [read post]
19 Dec 2017, 10:43 am
The post FINRA Fines Merrill Lynch $1.4 Million – Supervisory Issues appeared first on White Securities Law. [read post]
22 Feb 2016, 7:16 am
On February 18, 2016, Financial Industry Regulatory Authority (FINRA) announced that it had issued a targeted exam letter, or sweep, to firms seeking information about how firms establish, communicate and implement cultural values. [read post]
11 Mar 2009, 7:14 pm
Norton, 2008), March 2, 2009.A different, but equally necessary, explanation of the financial crisis, discussing the various events in the crisis chronology is found in a posting by Doug Diamond and Anil Kashyap at Freakonomics titled Diamond and Kashyap on the Recent Financial Upheavals.What is important to remember is that financial crises are nothing new and that lessons can be learned from past debacles. [read post]
11 Oct 2017, 1:55 am
The latest issue of Music & Copyright is now available for subscribers to download. [read post]
