Sentences with phrase «financial misconduct including»

Gemma advises individuals and businesses facing regulatory action for market abuse and alleged financial misconduct including matters before the Regulatory Decisions Committee and the Upper Tribunal.

Not exact matches

Ninthly, had I existed, do you really think my representation on Earth would have such a history of corruption, retardation of science, financial misdeeds, political intrigue, outright criminal behavior and $ exual misconduct, including pedophilia, as the Vatican does.

Martins has proposed a new Code of Ethics that would include more expansive financial disclosure requirements from elected officials and policymakers; strengthening the county's Ethics Board to conduct more through investigations of misconduct, and changing the county charter to allow indicted elected officials to be recalled from office through a public referendum.

A top executive at AAAS, the world's largest general scientific organization, is urging federal officials to broaden the definition of research misconduct to include sexual harassment, saying such behavior is unacceptable and should carry serious financial repercussions.

Their role is to implement regulations to ensure that the market is fair and that customers are protected from misconduct by all financial institutions including banks, insurance companies and lenders.

The Financial Conduct Authority (FCA) regulate the market of all financial institutions including banks, insurance providers and lenders, to ensure that consumers are protected at all times from any miFinancial Conduct Authority (FCA) regulate the market of all financial institutions including banks, insurance providers and lenders, to ensure that consumers are protected at all times from any mifinancial institutions including banks, insurance providers and lenders, to ensure that consumers are protected at all times from any misconduct.

That includes investigating financial services misconduct, it includes working with industry to improve their practices, and then the third main thing that we do is produce financial literacy resources targeted at Aboriginal and Torres Strait Islander people.

Regrettably, the Department failed to restore Pell eligibility to borrowers found harmed by other school misconduct, including those with valid claims to a borrower defense to repayment or to discharge based on their school's false certification of eligibility for financial aid.

Types of unreasonable behaviour are wide ranging and can include, for example, physical or verbal aggression, lack of communication, financial control or misconduct and addictions.

It includes, of course, money laundering, but also fraud in its various guises: corruption, forgery, tax evasion, theft, and it spills over into financial regulatory areas involving market misconduct, such as insider dealing.

Her previous experience includes regulatory investigations into firms and individuals for misconduct, including: mis - selling; market abuse; failures in financial crime systems and controls; failing to co-operate with the regulator; and complaints handling.

His practice focuses on complex, high - profile litigation, including consumer class actions, financial fraud, business torts, corporate misconduct, automobile defect, food labeling, false advertising, securities fraud and environmental...

She has also examined the financial effects of police misconduct litigation, including the frequency with which police officers contribute to settlements and judgments in police misconduct cases, and the extent to which police department budgets are affected by litigation costs.

She has conducted numerous internal investigations on behalf of companies in relation to allegations of financial crime and misconduct including fraud, theft, corruption, money laundering and environmental crime.

Our Workplace Investigations Team is uniquely equipped to conduct, manage, supervise, and provide advice regarding workplace investigations involving a variety of employment - related issues, including harassment and discrimination, safety, workplace violence, ethics, interpersonal conflicts, financial misconduct, and violations of employer policies.

John is currently advising and acting on behalf of the claimants in a number of professional negligence cases including: a farmer in a case against an architect arising from the collapse of a barn roof; a SME in a case against a barrister and a solicitor arising from the misconduct of litigation against two separate finance companies in related disputes; a trustee in bankruptcy in a case against a solicitor arising from the misconduct of litigation against a financial advisor; and another trustee in bankruptcy in a case against a solicitor arising from the misconduct of a commercial property transaction.

During Mr. Bharara's tenure, the office continued the tradition of being at the forefront of prosecuting financial misconduct, including securities fraud.

Earlier this year, I wrote a column expressing concerns about a proposed Ontario Securities Commission («OSC») policy designed to encourage certain individuals, including in - house lawyers, to report serious securities or derivatives - related misconduct to the OSC in exchange for financial rewards of up to $ 5 million.

79 DOS 99 Matter of DOS v. Pagano - disclosure of agency relationships; failure to appear at hearing; proper business practices; unauthorized practice of law; unearned commissions; vicarious liability; fraudulent practice; jurisdiction; ex parte hearing may proceed upon proof of proper service; DOS has jurisdiction after expiration of respondents» licenses as acts of misconduct occurred and the proceedings were commenced while the respondents were licensed; licensee fails to timely provide seller client with agency disclosure form prior to entering into listing agreement and fails to timely provide agency disclosure form to buyer upon first substantive contact; broker fails to make it clear for which party he is acting; broker violates 19 NYCRR 175.24 by using exclusive right to sell listing agreement without mandatory definitions of «exclusive right to sell» and «exclusive agency»; broker breaches fiduciary duties to seller clients by misleading them as to buyer's ability to financially consummate the transaction; broker breaches his fiduciary duty to seller by referring seller to the attorney who represented the buyers when he knew or should have known such attorney could not properly protect seller's interests; improper for broker to use listing agreements providing for broker to retain one half of any deposit if forfeited by buyer as such forfeiture clause could, by its terms, allow broker to retain part of the deposit when broker did not earn a commission; broker must conduct business under name as it appears on license; broker engaged in the unauthorized practice of law in preparing contracts for purchase and sale of real estate which did not contain a clause making it subject to the approval of the parties» attorneys and were not a form recommended by a joint bar / real estate board committee; broker demonstrated untrustworthiness and incompetency in using sales contract which purported to change the terms of the listing agreement to include a higher commission; broker demonstrated untrustworthiness and incompetency in using contracts of sale which were unclear, ambiguous, vague and incomplete; broker failed to amend purchase agreement to reflect amendment to increase deposit amount; broker demonstrated untrustworthiness in back - dating purchase agreements; broker demonstrated untrustworthiness in participating in scheme to have seller hold undisclosed second mortgage and to mislead first mortgagee about the purchaser's financial ability to purchase; broker demonstrated untrustworthiness by claiming unearned commission and filing affidavit of entitlement for unearned commission; DOS fails to establish by substantial evidence that respondent acted as undisclosed dual agent; corporate broker bound by the knowledge acquired by and is responsible for acts committed by its licensees within the actual or apparent scope of their authority; corporate and individual brokers» licenses revoked, no action taken on application for renewal until proof of payment of sum of $ 2,000.00 plus interests for deposits unlawfully retained