Posts tagged with: "financial+issue"
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24 Oct 2016, 4:43 am
The case raises questions about the duty of care that is owed to elderly customers by their brokerage firms and servicing financial professionals. [read post]
15 May 2018, 11:11 am
Jeffrey Dragon – Berthel Fisher – Supervisory Issues – Update According to the Financial Industry Regulatory Authority (FINRA) on February 5, the regulator censured and fined Berthel, Fisher & Company Financial Services (CRD #13609, Cedar Rapids, Iowa) for supervisory issues regarding former advisor Jeffrey Dragon and alleged sales of unit investment trusts. [read post]
1 Nov 2019, 2:21 am
Why technology and financial services firms? [read post]
5 Mar 2012, 9:53 pm
Increasing tight supplies of calves will push up feeder calf prices, putting feed lots in a difficult financial position depending on feed costs. [read post]
19 Oct 2012, 9:25 am
If Romney really wants to push his Bain experience, Americans will have to decide whether the answers to the problems facing them are best provided by a financier president. via A Financier in Chief – NYTimes.com. [read post]
24 Mar 2020, 6:57 pm
In addition to providing traditional divorce and family law representation, during this crisis period, I will be focused on delivering rapid-response legal services to clients facing emergency financial and child-related issues. [read post]
1 Jun 2016, 6:03 pm
UNEP’s Frontiers report identifies, highlights and offers solutions to six emerging issues, including the threat to human health posed by the alarming amount of plastic waste in our oceans and the crucial role the world’s financial sector can play in driving the planet to a low-carbon, resource efficient future. [read post]
4 Feb 2010, 6:41 pm
On February 2, 2010, the AARP, NASAA, CFA and Fund Democracy issued a joint letter to members of the Senate Committee on Banking, Housing and Urban Development in support of the Restoring American Financial Stability Act of 2009 (the Act). [read post]
11 Feb 2020, 7:16 pm
The report addresses APRA’s perspective on the financial climate through a review of the key issues faced by the banking, insurance and superannuation sectors in 2019. [read post]
18 Sep 2020, 11:36 am
The long-awaited proposed changes to the Department of Interior’s Financial Assurance Rule (“Proposed Rule”) were finally announced yesterday by the Trump Administration. [read post]
10 Sep 2012, 8:31 am
On 5 September 2012, the European Commission published a consultation document seeking views on issues relating to a possible framework for the regulation of the use and production of indices serving as benchmarks in financial and other contracts. [read post]
18 Jul 2023, 9:05 pm
To shed light on this issue, and provide a more complete set of findings, we also explore the long-term consequences for firms by examining financial analysts’ forecast revisions and the frequency of CSI discussions in earnings conference calls. [read post]
9 Feb 2021, 11:29 am
However, certain issues may only come to light after delivery. [read post]
2 Feb 2009, 2:06 pm
This issue of the GreisGuide to LTACHs Newsletter contains articles and information on: Launch of the Community Forum page of the weblog; Information on an upcoming webinar addressing recovery audit contractor issues and information on McGuireWoods annual healthcare private equity conference; The House SCHIP bill’s inclusion of a provision banning physician ownership and investment in hospitals (including LTACHs); The Disclosure of Financial… [read post]
15 Jul 2009, 1:42 am
In addition to the two papers already issued on conduct obligations of credit licensees and financial resources and compensation obligations of credit licensees, topics that ASIC intends to release further guidance on throughout 2009 are: competency and training for credit licensees; responsible lending; registration and transition; the scope of the licensing regime; relief applications; and dispute resolution. [read post]
18 Sep 2006, 8:46 am
Important issues are raised in the realm of structured settlements and the aging population such as lifestyles, medical care and financial needs. [read post]
26 Sep 2006, 1:03 am
The circumstances present conflict analogists to child custody cases: physical placement, visitation, and financial support (which has come to be called petimony) are all at issue. [read post]
14 Apr 2010, 12:37 am
In response to issues raised by the Financial Action Task Force (FATF) in regard to Chapter 15 of the AML/CTF Rules on ongoing customer due diligence, particularly in relation to perceived discretionary action which a reporting entity may undertake in high money laundering and terrorism financing risk situations, AUSTRAC has issued draft amendments to Chapter 15 for comment. [read post]
14 May 2009, 3:44 am
The IRS ruled that the Niemoller Foundation funded by financial backers of Texax Gov. [read post]
30 Oct 2007, 10:34 am
According to the article, the complaint accused Merrill of issuing materially false and misleading statements about its financial exposure to collateralized debt obligations (CDOS) containing subprime mortgage securities.Adding insult to injury, the article says that Stan O'Neal has been named as a defendant also. [read post]
