Sentences with phrase «compliance as a broker»

As regulatory activity increases, more and more advisors are going the independent route, partly to reduce the cost obligations of compliance as a broker - dealer firm.

Not exact matches

During his tenure as Chief of OMI, Mr. Martinez oversaw efforts to remove dormant shell companies from the market, support an enforcement sweep of violations of Regulation M Rule 105, and identify broker - dealers not in compliance with their Bank Secrecy Act obligations.

Automotive Compliance Ltd's permissions as a Principal Firm allows Aston Martin Works Limited to act as a credit broker, not as a lender, for the introduction to a limited number of finance providers and to act as an agent on behalf of the insurer for insurance mediation activities only.

Compliance Registered Options Principal: A registered options principal who has been designated by the broker / dealer to maintain compliance with industry rules and federal law, usually referred to Compliance Registered Options Principal: A registered options principal who has been designated by the broker / dealer to maintain compliance with industry rules and federal law, usually referred to compliance with industry rules and federal law, usually referred to as a CROP.

In what police have described as the biggest operation of its kind, officers swooped on the offices of 20 binary options brokers in order to «review their compliance documents and gather intelligence on different types of investment fraud.»

The foregoing requirements are mandatory for advertised lenders / brokers; however HSH.com makes no representations as to the adequacy or compliance on behalf of any advertised lenders / brokers.

In order to win, the selected Customer must first correctly answer, unaided, a time - limited, mathematical, skill - testing question to be administered by letter via email, and he or she will be required to sign a standard Declaration and Release Form confirming compliance with the Raffle Rules, acceptance of the Prize as awarded and releasing BBS Securities Inc. / Virtual Brokers from all liability relating to the Raffle.

An individual, who has an employment relationship, acknowledged by both the individual and the mortgage broker or mortgage banker and is treated as an employee for purposes of compliance with the federal income tax laws.

As part of the «Historic Agreement» 12 brokered by Obama Environment Czar Carol Browner, California and other states agreed to consider compliance with EPA's greenhouse gas emission standards as compliance with their own.13 But in return, auto manufacturers and their trade associations had to support both the Tailpipe Rule and the California waiver.14 In a September 30, 2011 letter to EPA administrator Lisa Jackson, House Oversight and Government Reform Committee Chairman Darrell Issa summarized the terms for auto makers under the «Historic Agreement»As part of the «Historic Agreement» 12 brokered by Obama Environment Czar Carol Browner, California and other states agreed to consider compliance with EPA's greenhouse gas emission standards as compliance with their own.13 But in return, auto manufacturers and their trade associations had to support both the Tailpipe Rule and the California waiver.14 In a September 30, 2011 letter to EPA administrator Lisa Jackson, House Oversight and Government Reform Committee Chairman Darrell Issa summarized the terms for auto makers under the «Historic Agreement»as compliance with their own.13 But in return, auto manufacturers and their trade associations had to support both the Tailpipe Rule and the California waiver.14 In a September 30, 2011 letter to EPA administrator Lisa Jackson, House Oversight and Government Reform Committee Chairman Darrell Issa summarized the terms for auto makers under the «Historic Agreement»:

Not sure what the compliance deadline was in the order, or if Seattle Roof Brokers will appeal, but as of right now, the site is still up, and with no «Click here to see our lies» links.

Geoffrey regularly represents local community banks, regional and U.S. money center banks, and foreign banking organizations, as well as trust companies, broker - dealers, investment advisory firms, and money - services businesses in a wide range of regulatory, compliance, and corporate governance matters, including:

As a securities litigation consultant, Greg Amoroso serves broker - dealers and insurance companies by working with the firm's attorneys to develop compliance and business strategies in securities litigation, arbitration and regulatory matters.

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.

With more than 25 years of experience as a lawyer and investment banker, Brian Barrett advises (re) insurers, banks, broker - dealers, fintech companies and pension sponsors on transactional, regulatory and compliance matters.

Representation spans matters involving registration of corporate securities, corporate organization, public and private equity and debt financing, regulatory compliance, SEC matters, NYSE and all other national securities exchanges, mergers, acquisitions and other business combinations, broker - dealer and investment advisor registration and regulation as well as SEC enforcement and litigation procedures.

Acting as corporate counsel to federally and state registered investment advisers, commodity pool operators, introducing brokers, broker - dealers, trust companies and actuarial firms in their regulatory compliance and contract negotiations

Legal professionals, particularly those with backgrounds in finance, banking, securities, and tax, can leverage their knowledge into lucrative positions in the finance industry as escrow agents, compliance specialists, bank probate administrators, funds administrators, insurance brokers, trust examiners, risk managers and other related positions.

Consistent history of working effectively with clients, associates, compliance officers, direct reports and other industry professionals as a broker, supervisor and partner.

• Serve as primary operations contact for clients, primary liaison with broker - dealer and investment companies for all operational and compliance issues

NUFIC (City, ST) 2000 — 2004 Operations Supervisor • Consistently promoted for excellence in financial management and team leadership • Selected to serve as Operations Supervisor for the Surety profit unit • Manage all operational activities ensuring efficient National Union business operations • Review business practices and procedures to effectively analyze underwriting needs • Implement operational strategies to ensure that Account Managers meet team goals • Create monthly, quarterly and yearly reports and assist Divisional President with budgets and forecasts • Generate premium coding and accounts receivable reports • Oversee the underwriting staff to ensure timely collection of premiums from brokers • Monitor and analyze bond system activity to remedy unfavorable bond issuance delays • Manage and train underwriting technicians ensuring compliance with all corporate protocols

Director of Human Resources / HR Consultant — Professional Duties & Responsibilities Oversee the planning, direction, and management of all HR - related activities including staff recruiting, candidate tracking, personnel screening and testing, and hiring processes in accordance with Affirmative Action and Equal Opportunity Employment regulations Support senior management to develop and maintain personnel policy and ensure compliance with all standards, authoring and implementing new policies and procedures as needed along with creating HR procedure manual Serve as lead analyst for compensation reviews, performance and pay - scale benchmarking, market studies, and salary structure decisions, also creating organizational / staff planning charts for all departments and all positions Create and deliver firm - wide staff new - hire orientation, training and development programs, and performance evaluations utilizing a competency - based appraisal system which leads to focused training and development programs based on common and individual areas of performance deficiency Manage all aspects of workers compensation and unemployment claims on behalf of employer, attending hearings and participating actively in all related meetings Hold responsibility for all benefit negotiations, administration, and plan reviews, promoting compliance with and effective execution of IRS / DOL regulations, ERISA, HIPPA, and all audit - related processes Implement and sustain safety programs while performing regular safety - policy trend analyses to identify critical issues, developing corrective action plans to ensure compliance with applicable safety, health, and environmental regulations including OSHA and other applicable laws Consult with management regarding employee - and labor - related issues to resolve conflicts in a professional manner, conducting grievance hearings and negotiation agreements with worker representatives within the provisions of any applicable contract Provide relevant guidance and administration to the development of human resources site on firm intranet, housing online - employment forms, manager resources, job postings, and HR - related forms and documents Develop valuable staff relationships to improve workplace morale as well as maintain positive business relationships with all related brokers and vendors

Brokers may also wish to ensure that agents and employees acknowledge compliance with the new competition laws as a condition of employment or independent contractor agreements.

Patrick Arkeveld, CEO of Lone Wolf, says TREB members will also have access to the company's Listing Upload and MLS integration features, as well as broker compliance and file review tools as an upgrade.

And the agency says it will try to do as much of its compliance work off - site as possible, including an advance review of an office's policies and procedures regarding FINTRAC issues, to minimize the time that needs to be spent with the broker or compliance officer.

Today, she wears dual hats as a managing broker and compliance director.

Like David O'Gorman said earlier herein, it is ultimately up to the Compliance Officer / broker - owner et al within a brokerage to make the final decision as to whether or not to proceed with a report of suspicious behaviour to FINTRAC.

• 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.

Each broker shall keep and make available to the department such books, accounts, and records as will enable the department to determine whether such broker is in compliance with the provisions of this chapter.

Specifically, the department alleged that the licensee violated the statutory requirement to keep and make available to the department such books, accounts, and records as will enable the department to determine whether such broker is in compliance with statutory provisions.

In addition, we'll spend time discussing and reviewing other crucial considerations of the Oklahoma broker such as advertising and promoting a real estate business, ensuring staff compliance with all necessary disclosures, handling client trust accounts, and errors and omissions issues including misrepresentation, negligence, and fraud... and how to avoid them.

This course - developed in collaboration with the University of British Columbia, Sauder School of Business: Real Estate Division - starts with an overview of the legislative framework governing mortgage lenders, brokers, as well as consumer protection, and then looks specifically at how mortgage brokerages can ensure compliance with these requirements while managing their risks.

To assist with some of these maturation steps, some platforms are aligning themselves with broker - dealers such as WealthForge or engaging firms, such as FundAmerica, which offer escrow, clearing and compliance services.

Section 1024.7 (b) of Regulation X, however, currently permits mortgage brokers to deliver the RESPA GFE, provided that the mortgage broker otherwise complies with the relevant requirements of Regulation X, such as the RESPA GFE delivery requirements and tolerance rules, and that the creditor remains responsible for ensuring the mortgage broker's compliance.

In general, all individuals and entities lawfully conducting businesses as real estate brokers, agents or sales associates must be licensed in the state in which they carry on business and at all times be in compliance.

(Sec. 32920) Prohibits any person (other than a non-vessel-operating common carrier or ocean freight forwarder providing brokerage services as part of an international through movement involving ocean transportation between the United States and a foreign port) from providing interstate brokerage services unless the person: (1) is registered and in compliance with federal broker registration requirements, and (2) has satisfied federal financial security requirements.