Posts tagged with: "financial+issue"
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9 Mar 2016, 1:32 am
The post Find Financial Help through Legal Assistance appeared first on . [read post]
6 Sep 2016, 3:04 pm
Additionally, a customer alleged in 2011 that there were misrepresentation and suitability issues on investments from April 2007 to December 2010, which dispute was settled for $105,000, according to the BrokerCheck records. [read post]
12 Mar 2011, 11:36 am
The paper “while a standalone invited essay written for a special crisis issue of New Political Economy – synthesizes the various technical documents by the author as related to the financial crisis. [read post]
19 Jun 2009, 9:49 am
Regulation is a function of prediction; prediction is a function of observed regularity; observed regularities invoke the problem of causation; causation raises the issue whether the process being analyzed is reducible. [read post]
13 Jan 2012, 3:13 am
A financial transaction tax has several advantages especially relevant in this post-financial crisis period. [read post]
21 Mar 2023, 2:15 pm
Financial regulation has a credibility problem. [read post]
1 Feb 2012, 7:15 am
Bebchuk’s post refers to several studies on the subject issued by the HLS Program on Corporate Governance, including Regulating Bankers’ Pay, The Wages of Failure: Executive Compensation at Bear Stearns and Lehman 2000-2008, and Paying for Long-Term Performance. [read post]
26 Aug 2021, 4:42 pm
Financial Regulators: Overview and Recent Actions, Updated August 26, 2021: “Under the Biden Administration,financial regulators have announced a range of new measures to address financial risks associated with climate change. [read post]
28 Jan 2015, 6:04 am
During the past year, Delaware and New York courts have issued a number of decisions that have important implications for financial advisers, as well as attorneys advising them, on mergers and acquisitions transactions. [read post]
22 Nov 2021, 8:40 pm
On 18 November 2021, the European Securities and Markets Authority (ESMA) issued a consultation paper on whether the list of financial instruments that are considered highly liquid with minimal market and credit risk, in accordance with Article 47 of the European Market Infrastructure Regulation (EMIR), could be extended to include one or more money market funds (MMFs) authorised in accordance with the Regulation on money market funds (MMF Regulation). [read post]
18 Sep 2018, 2:26 pm
Rather than making it harder to invest in risky and opaque investments, Congress passed the JOBS Act, which allows smaller companies to issue stock with virtually no real financial disclosure to investors. [read post]
19 Jun 2017, 5:18 pm
Department of the Treasury (FinCEN) recently issued a Marijuana Banking Update, with data through March 31, 2017. [read post]
23 Feb 2010, 6:00 am
The laws provide remedies and the courts have become more sensitive to this issue. 1) Is the person an "elder" or "dependent adult? [read post]
22 Apr 2019, 10:39 am
Representative Cummings issued a memo that prepared a subpoena for Mazars, USA, Trump’s accounting firm. [read post]
31 Jan 2024, 12:10 am
The post UNDERSTANDING ARBITRATION IN FINANCIAL DISPUTES appeared first on Rayden Solicitors. [read post]
15 Jun 2015, 11:29 am
Knowing that others are struggling with financial difficulties and dealing with money issues often makes it easier for people to address their own struggles. [read post]
26 Jun 2023, 10:30 pm
Get an overview of the most important compliance issues that the insurance and financial sectors are facing in 2023. [read post]
30 Jul 2013, 8:45 am
AMF, the independent Ombuds for Frances financial markets, said that cases rose 15% in 2012 -- coinciding with a new strategic focus. [read post]
24 Aug 2020, 4:20 am
Located in Rockville, MD, the full-time position is responsible for collecting and analyzing Ombuds and other secondary data to identify patterns, trends and problematic issues. [read post]
4 Aug 2022, 7:25 am
The guidance outlines firms’ obligations under financial sanctions, as well as OFSI’s approach to licensing and compliance issues. [read post]
