Posts tagged with: "financial+issue"
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13 Dec 2011, 1:26 pm
ASIC powers: ASIC will re-issue Regulatory Guide 98 Licensing; Administrative action against financial services providers (RG 98) to reflect our expanded powers to cancel or suspend an AFS licence and ban representatives. [read post]
24 Oct 2014, 8:24 am
Missed Financial Stability Opportunity: current housing prices again long-term trump financial stability. [read post]
20 May 2013, 12:31 pm
Audits reports issued by New York State Comptroller Thomas P. [read post]
23 Apr 2023, 9:01 pm
Rayburn was not new to the issues of stocks and bonds. [read post]
28 Feb 2012, 8:03 am
The move from a 1 liter desktop fermenter to a 1,000 liter tank to a 100,000 liter plant usually entails several unforeseen difficulties—differences in pressure, mixing, heat dissipation, and plumbing abound. (...)Several biofuel companies have suffered from technical and financial scale-up troubles. [read post]
7 Apr 2020, 2:07 am
7 (2) of the Brussels Ibis Regulation in cases involving pure financial damages. [read post]
14 Dec 2020, 7:47 am
Any large economy that builds and deploys a CBDC is likely to encounter new financial crime risks. [read post]
17 Jul 2018, 10:00 pm
Although the CAFC offers some guidance on the issue of what qualifies as a CBM patent, it decides not to answer the question of whether describing any embodiments where the invention is not used for financial transactions bars the invention from being a CBM patent. [read post]
31 Mar 2020, 4:43 am
This article also discusses regulatory efforts to protect elderly investors and examines issues which those in the financial services industry face when trying to comply with various rules and regulations designed to protect elderly customers. [read post]
10 Aug 2010, 3:48 pm
We are always following issues of nursing home abuse and think it’s important to talk about cases from time to time. [read post]
9 May 2022, 8:53 am
As was widely noted last week, California Governor Gavin Newsom issued a lengthy executive order with respect to blockchain technology. [read post]
8 May 2019, 12:36 pm
This post is based on Chairman Clayton’s recent testimony before the Financial Services and General Government Subcommittee of the U.S. [read post]
8 Oct 2015, 12:41 pm
For the last few years, the SEC has been issuing guidance as to appropriate cybersecurity policies and procedures for financial firms. [read post]
29 Jan 2016, 10:00 pm
Cuomo announced three appointments to the New York State Department of Financial Services [DFS]. [read post]
13 Nov 2018, 7:54 am
For example, Division staff recently issued no-action relief to permit issuers of structured indexed annuities to file audited financials in their registration statements that are prepared according to SAP (state statutory accounting principles) instead of GAAP (generally accepted accounting principles). [read post]
18 May 2012, 8:42 am
Fullerton III On May 16, I co-hosted a small roundtable discussion here at the firm entitled “Employee Misclassification Issues in the Financial Services Industry: Preventive Maintenance and Proactive Strategies. [read post]
11 Nov 2009, 3:52 am
The ONI is designed to promote national coordination within the insurance sector, and would have the authority to perform the following functions: (1) monitor all aspects of the insurance industry, including identifying issues or gaps in the regulation of insurers that could contribute to a systemic crisis in the insurance industry or the United States financial system; (2) recommend to the Agency for Financial Stability that it designate an insurer, including… [read post]
2 Apr 2008, 9:20 pm
In relation to derivatives in the stock market, the detailed rules issued by SEBI largely serve that purpose. [read post]
16 Mar 2023, 2:00 am
Cohen (Pace), Whirlpool Financial Corp. v. [read post]
13 Jul 2017, 10:01 am
A decision by the FSOC to set aside a regulation requires the affirmative vote of 2/3 of the FSOC members then serving and must be made by the later of 45 days from the filing of a petition or, if a stay has been issued, the expiration of the stay. [read post]
