Sentences with phrase «authority over the client»

If the adviser has discretionary authority over the client's account, is there any evidence of excessive trading, self - dealing, preferential treatment, unsuitable recommendations, unauthorized transactions or incomplete disclosure?

The soliciting lawyer claims that the state bar has no authority over the client.

Not exact matches

The executives» corner - cutting on compliance adds to the embarrassment and regulatory headaches for Zurich - based Credit Suisse, which has had to pay billions of dollars of fines to U.S. authorities in recent years over a wide range of allegations, including mis - selling of mortgage - backed securities, deficiencies in its anti-money-laundering program, front - running clients on foreign - exchange trades and violating U.S. sanctions by secretly funneling money from Iran through American banks.

Regulated in the United Kingdom by the Financial Conduct Authority (FCA) and the Seychelles Financial Services Authority (FSA), the company serves institutional and retail clients from all over the world.

«Our client, Prince Kassim Afegbua «s attention has just been drawn to a malicious news item on Nigeria Television Authority alleging that the Nigeria Police has declared him wanted over a statement he issued on behalf of former Military President, General Ibrahim Babangida, GCFR.

Developed over 15 years, and proven with nearly 100,000 clients and patients, the Level 1 curriculum stands alone as the authority on the science of nutrition and the art of coaching.

A wellness authority and supportive mentor, for over 12 years Shelby has helped boat loads of clients lose weight, develop skill sets to better manage their daily nutrition and empowers individuals to make lasting changes in their eating behaviors and lifestyle.

(b) «Actual Funds» — means the equity in a commodity trading account over which a CTA has trading authority and funds that can be transferred to that account without the client's consent to each transfer.

This means, in effect, that priority is given to dogs in stray kennels and pounds via a Local Authority Officer, dogs threatened with a court destruction order via a Court or Police Officer, dogs referred by Veterinary practitioners having been signed over for euthanasia, dogs referred by Social Services or other Authority on behalf of a client or dogs referred by a GP or NHS facility on behalf of a patient.

More and more collaborative websites are having to hand over their clients» gains to tax authorities.

Clients usually come to me, either Local Authority or Parents regarding a dispute over the school named for their child to attend.

Generally speaking, attorneys have implied authority over legal and tactical matters, while the client has the right to make strategic decisions on factors such as expenses or calling witnesses.

A former Illinois assistant public defender faces disciplinary charges over postings to her blog that Illinois authorities say exposed client confidences and revealed her complicity in a client's fraud on a court.

A former New York lawyer was arrested by federal authorities on Thursday and charged with wire fraud for allegedly stealing some $ 3 million from clients over a seven - year period, starting...

Paul has acted for foreign governments, sovereign wealth funds, financial regulators, hedge funds, the Jersey Financial Services Commission, local authorities, major corporates, banks, major airlines and high net worth individuals, and he has spent considerable time working for clients in Asia, the Middle East and Africa over the course of his career.

Mr. Arquit has secured approvals for some of the largest and most complex mergers over the past 25 years, and represented clients in high - profile antitrust litigation before the Federal Trade Commission (FTC), the Antitrust Division of the Department of Justice (DOJ), as well as numerous state and international competition authorities.

The Bill further purports to provide explicit authority for the Information Commissioner to examine records over which solicitor - client privilege has been claimed, in order to evaluate whether the claim is valid.

He has over 20 years» experience defending clinical negligence claims on behalf of a range of healthcare clients, including NHS Resolution (formerly the NHS Litigation Authority) since its inception in 1995, NHS Trusts, the Medical Defence Union, Spire, BUPA, Nuffield, and med mal insurers, in particular Allied World.

RMA's over 20 years of experience providing world - class renewable energy executive search recruiting to employers and hiring authorities have contributed to our distinguished reputation as a premier international executive search & executive recruiting firm with the scope, experience, capacity, and expertise to offer our clients an impressive return on their investment.

Claims Management Duties & Responsibilities Utilize efficient workflow organization to improve departmental efficiencies while ensuring effective client response and diligent analysis of claims, with extensive experience in both commercial and personal lines Provide relevant administration and direction to multi-million dollar staff budgets, quality control, fraud investigations, and complex claims reviews, earning denial authority over high - level claims cases Identify and develop talent among team members with focused training efforts, performance reporting and analyses, and operational efficiency initiatives Deliver continuous assessment of work force, while furnishing oversight and guidance regarding effective service strategies and techniques, loss liability monitoring, and claim litigation assistance Develop and implement the marketing and sales efforts of customer service team while tracking progress versus established internal and external benchmarks, providing disciplinary actions when necessary Construct customer service and claims team through effective staff hiring to aid in efficient operations and execution, delegating important tasks / assigments to line supervisors while providing branch - level guidance Aid in strategic planning and capital budgeting based on improving operating efficiency and reducing service - related production losses, collaborating effectively with senior - level management Maintain a strong working knowledge of important industry topics, company programs and policies, and overall regulatory environment, including state - level responsibility for process changes in casualty / PIP Address important client and staff queries, resolving them in an expedited manner Lead through example with consistent work ethic, attitude and professionalism