Sentences with phrase «broker about compliance»

Recently, van Dam has had frequent discussions with his broker about compliance and next year's rates.

Not exact matches

Timothy Hauser, chief operating officer of DOL's Employee Benefits Security Administration, has warned broker - dealers and advisors at industry conferences to get in touch with DOL if they have questions about compliance.

Business Development: Brokering various business dealings that further the diversification of Indian economies Developing and accessing commercial financial programs and services for tribal governments, including tax - exempt offerings and federally - guaranteed housing loans Serving as issuer or underwriter's counsel in tribal bond issuances Ensuring tribal compliance with Bank Secrecy Act and other federal financial regulatory requirements Handling federal and state income, excise, B&O, property and other tax matters for tribes and tribal businesses Chartering tribal business enterprises under tribal, state and federal law Registering and protecting tribal trademarks and copyrights Negotiating franchise agreements for restaurants and retail stores on Indian reservations Custom - tailoring construction contracts for tribes and general contractors Helping secure federal SBA 8 (a) and other contracting preferences for Indian - owned businesses Facilitating contractual relations between tribes and tribal casinos, and gaming vendors Building tribal workers» compensation and self - insurance programs Government Relations: Handling state and federal regulatory matters in the areas of tribal gaming, environmental and cultural resources, workers» compensation, taxation, health care and education Negotiating tribal - state gaming compacts and fuel and cigarette compacts, and inter-local land use and law enforcement agreements Advocacy before the Washington State Gambling Commission, Washington Indian Gaming Association and National Indian Gaming Commission Preparing tribal codes and regulations, including tribal court, commercial, gaming, taxation, energy development, environmental and cultural resources protection, labor & employment, and workers» compensation laws Developing employee handbooks, manuals and personnel policies Advocacy in areas of treaty rights, gaming, jurisdiction, taxation, environmental and cultural resource protection Brokering fee - to - trust and related real estate and jurisdictional transactions Litigation & Appellate Services: Handling complex Indian law litigation, including commercial, labor & employment, tax, land use, treaty rights, natural and cultural resource matters Litigating tribal trust mismanagement claims against the United States, and evaluating tribal and individual property claims under the Indian Claims Limitation Act Defending tribes and tribal insureds from tort claims brought against them in tribal, state and federal courts, including defense tenders pursuant to the Federal Tort Claims Act Assisting tribal insureds in insurance coverage negotiations, and litigation Representing individual tribal members in tribal and state civil and criminal proceedings, including BIA prosecutions and Indian probate proceedings Assisting tribal governments with tribal, state and federal court appeals, including the preparation of amicus curiae briefs Our Indian law & gaming attorneys collaborate to publish the quarterly «Indian Legal Advisor ``, designed to provide Indian Country valuable information about legal and political developments affecting tribal rights.

«It is instructive to note that, for all the concerns now suddenly expressed by TREB about privacy laws and compliance with (the Real Estate Council of Ontario), TREB has made no attempt to enact or enforce rules to restrict traditional brokerages from providing, at their sole discretion, all information relating to historical solds, pending solds and other information that they would now propose to exclude from the data feed provided to member brokers who want to operate VOWs,» says the Competition Bureau complaint.

• Enforcing the standards required to obtain and maintain registration as a brokerage, broker or salesperson and delivering the duties of the Registrar • Establishing minimum requirements for pre-registration and continuing education • Conducting routine inspections of brokerage offices to ensure compliance with REBBA 2002 and educate brokers • Addressing inquiries, concerns and complaints about the conduct of registrants received from all sources and taking appropriate action to protect the public interest • Establishing and administering insurance requirements, which include consumer deposit protection • Promoting ongoing education and competent, knowledgeable and professional service.

In addition, both consent orders impose compliance requirements on the broker's salespeople and require the brokers to keep records about their salespeople over the next five years.

(ii) In the case of a home equity line of credit subject to § 1026.40, a creditor or mortgage broker that provides the consumer with a copy of the brochure entitled «When Your Home is On the Line: What You Should Know About Home Equity Lines of Credit,» or any successor brochure issued by the Bureau, is deemed to be in compliance with this section.