Posts tagged with: "financial+services"
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25 Apr 2019, 11:56 am
According to FINRA Disciplinary actions for April 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Boj, Pedro UBS Financial Services Inc BBVA Securities of PR Brooks, Carter Wells Fargo Clearing Services LLC Edward Jones Lofaro, Patrick Rockwell Global Capital LLC Dalton… [read post]
30 Nov 2007, 9:18 am
It conjures notions of hospitals and other facilities overrun with foreigners demanding services — services they didn't pay for, because they aren't paying taxes. [read post]
23 Sep 2011, 2:00 pm
In a joint letter to Treasury Secretary Tim Geithner, the SIFMA and the ICI, joined by the Chamber of Commerce, the Financial Services Forum, and the Business Roundtable, urged the Treasury Secretary to continue to encourage other members of the G-20 to resist pressures to adopt such proposals on a global basis.The industry groups are concerned with the French and German effort to seek endorsement of such a tax through the G-20 mechanism. [read post]
2 Oct 2015, 5:09 pm
So, Reed Smith‘s Financial Services Litigation Report should prove to be an invaluable resource. [read post]
20 Sep 2021, 7:57 am
Additionally, the Assistant Dean will have considerable experience in law library administration, including personnel management and management of financial resources. [read post]
10 May 2009, 1:31 am
The proposed free transportation service generally would pick up and drop off friends and family at designated public locations within the facility's service area and only provide transport to and from the facility.OIG's AnalysisThe OIG acknowledged that free transportation programs can have a beneficial effect on patient care if they are narrowly tailored to address issues of (a) financial need, (b) limited transportation resources, (c) treatment compliance or… [read post]
16 Apr 2010, 7:50 am
That National Law Journal has an interesting story on the testimony of Supreme Court Justices Stephen Breyer and Clarence Thomas before the House Appropriations Committee's subcommittee on financial services and general government. [read post]
21 Jul 2011, 8:11 am
A Public Citizen report released today analyzes the efforts of 24 financial-services companies and trade groups to opt themselves out of Dodd-Frank's limits on incentive-based compensation. [read post]
25 Dec 2009, 7:36 am
The Jamaica Gleaner reports a January 2010 hearing date in the case of the former head of the Antigua and Barbuda's Financial Services Regulatory Commission, Leroy King, on January 25, 2010 "United States law enforcement authorities have requested King on charges of helping disgraced Texan billionaire, Sir Allen Stanford, cover up an alleged US$7 billion Ponzi scheme. [read post]
23 Jul 2012, 4:57 am
The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2012 The Finance Act 2012 (Venture Capital Trusts) (Appointed Day) Order 2012 The Remote Gambling (Double Taxation Relief) Regulations 2012 The Value Added Tax (Amendment) (No. 2) Regulations 2012 The Business Investment Relief Regulations 2012 The Gaming Duty (Amendment) Regulations 2012 The Income Tax (Pay As You Earn) (Amendment No. 2) Regulations 2012 The Waste (England and Wales) (Amendment)… [read post]
11 Jun 2024, 6:00 am
Keep Your Secrets Businesses are finding generative AI programs like ChatGPT useful in functions from financial services to human resources. [read post]
20 Oct 2017, 8:22 am
The Austin Financial Services Department is proposing drastic changes to the city’s anti-lobbying and procurement ordinance. [read post]
22 Oct 2009, 1:30 pm
Financial Services Authority (FSA) released a discussion paper today titled "A regulatory response to the global banking crisis: systemically important banks and assessing the cumulative impact". [read post]
3 May 2011, 8:33 am
Shook Lin & Bok LLP, a Singapore-based law firm with approximately 80 lawyers, billing itself as "a one-stop Asia Practice service for investment and financial transactions in China, India and ASEAN," finds itself in the news this week due to admitted insider trading by a firm staff member. [read post]
26 Apr 2010, 4:08 pm
Senator Ben Nelson (D-Neb) broke party ranks to vote with 41 Republicans against cloture on the Dodd financial services reform bill. [read post]
7 Oct 2008, 1:13 pm
Following up on my earlier post today, Swift-Boat or be Swift-Boated, it looks like the McCain-Palin team is about to get the discussion it wanted: Update:... and this, too:Palin held fundraiser at home of troubled financial services execBut to be fair to Palin, her fundraiser host was only at the helm of a company that was fined $75 million by the SEC for questionable trading practices. [read post]
10 Jan 2012, 11:24 am
Social Media usage in the financial services industry is on the rise, which is now putting many registered investment advisers (RIAs) under the microscope for potential federal securities laws violations. [read post]
10 Jan 2012, 11:24 am
Social Media usage in the financial services industry is on the rise, which is now putting many registered investment advisers (RIAs) under the microscope for potential federal securities laws violations. [read post]
7 Aug 2007, 12:52 pm
The Parliamentary Joint Committee on Corporations and Financial Services has delivered its Report on The structure and operation of the superannuation industry (pdf). [read post]
13 Mar 2007, 11:58 am
The CMS web page on PQRI says:PQRI establishes a financial incentive for eligible professionals to participate in a voluntary quality reporting program. [read post]
