Sentences with phrase «financial regulation practice»

We have a leading specialist Financial Regulation practice with extensive experience and expertise advising on regulatory issues affecting:

Not exact matches

The Board will continue to monitor legislative and regulatory developments regarding advisory vote regulation and legislation, as well as best practices for companies both inside and outside the financial services industry.

At the same time, the long - running practice of paying for research through trading commissions is being upended by new regulations in Europe, known as the revised Markets in Financial Instruments Directive.

The Blog brings together various stakeholders to explore current trends, best practices and policy initiatives relating to Canadian corporate law, securities regulation and financial markets generally.

BlackBerry's ability to manage inventory and asset risk; BlackBerry's reliance on suppliers of functional components for its products and risks relating to its supply chain; BlackBerry's ability to obtain rights to use software or components supplied by third parties; BlackBerry's ability to successfully maintain and enhance its brand; risks related to government regulations, including regulations relating to encryption technology; BlackBerry's ability to continue to adapt to recent board and management changes and headcount reductions; reliance on strategic alliances with third - party network infrastructure developers, software platform vendors and service platform vendors; BlackBerry's reliance on third - party manufacturers; potential defects and vulnerabilities in BlackBerry's products; risks related to litigation, including litigation claims arising from BlackBerry's practice of providing forward - looking guidance; potential charges relating to the impairment of intangible assets recorded on BlackBerry's balance sheet; risks as a result of actions of activist shareholders; government regulation of wireless spectrum and radio frequencies; risks related to economic and geopolitical conditions; risks associated with acquisitions; foreign exchange risks; and difficulties in forecasting BlackBerry's financial results given the rapid technological changes, evolving industry standards, intense competition and short product life cycles that characterize the wireless communications industry, and the company's previously disclosed review of strategic alternatives.

Many factors could cause BlackBerry's actual results, performance or achievements to differ materially from those expressed or implied by the forward - looking statements, including, without limitation: BlackBerry's ability to enhance its current products and services, or develop new products and services in a timely manner or at competitive prices, including risks related to new product introductions; risks related to BlackBerry's ability to mitigate the impact of the anticipated decline in BlackBerry's infrastructure access fees on its consolidated revenue by developing an integrated services and software offering; intense competition, rapid change and significant strategic alliances within BlackBerry's industry; BlackBerry's reliance on carrier partners and distributors; risks associated with BlackBerry's foreign operations, including risks related to recent political and economic developments in Venezuela and the impact of foreign currency restrictions; risks relating to network disruptions and other business interruptions, including costs, potential liabilities, lost revenues and reputational damage associated with service interruptions; risks related to BlackBerry's ability to implement and to realize the anticipated benefits of its CORE program; BlackBerry's ability to maintain or increase its cash balance; security risks; BlackBerry's ability to attract and retain key personnel; risks related to intellectual property rights; BlackBerry's ability to expand and manage BlackBerry ® World ™; risks related to the collection, storage, transmission, use and disclosure of confidential and personal information; BlackBerry's ability to manage inventory and asset risk; BlackBerry's reliance on suppliers of functional components for its products and risks relating to its supply chain; BlackBerry's ability to obtain rights to use software or components supplied by third parties; BlackBerry's ability to successfully maintain and enhance its brand; risks related to government regulations, including regulations relating to encryption technology; BlackBerry's ability to continue to adapt to recent board and management changes and headcount reductions; reliance on strategic alliances with third - party network infrastructure developers, software platform vendors and service platform vendors; BlackBerry's reliance on third - party manufacturers; potential defects and vulnerabilities in BlackBerry's products; risks related to litigation, including litigation claims arising from BlackBerry's practice of providing forward - looking guidance; potential charges relating to the impairment of intangible assets recorded on BlackBerry's balance sheet; risks as a result of actions of activist shareholders; government regulation of wireless spectrum and radio frequencies; risks related to economic and geopolitical conditions; risks associated with acquisitions; foreign exchange risks; and difficulties in forecasting BlackBerry's financial results given the rapid technological changes, evolving industry standards, intense competition and short product life cycles that characterize the wireless communications industry.

CFA and Americans for Financial Reform released a report on Wednesday, written by Hauptman and Barbara Roper, CFA's director of investor protection, which scrutinizes how brokerage firms and insurance companies market their services on their website and «contrasts the practices they use to attract customers with those they use when resisting regulation as fiduciary advisors.»

For this reason, my personal view is that most ICOs — even the «utility coins» — are unlikely to escape regulation by jurisdiction - appropriate rules regarding public offerings, financial promotions and unfair trade practices.

Over time, we hope that financial literacy, private sector innovation and common sense regulation transform the environment for lower credit borrowers and lead to the extinction of predatory practices.

Our practice draws on our market - leading capabilities in mergers and acquisitions, corporate finance, financial regulation and enforcement, and intellectual property and technology.

However, these practices are absolutely essential to understanding how clubs actually calculate player costs and budget for new signings, especially in light of domestic and UEFA financial fair play regulations.

Illinois Department of Financial & Professional Regulation Certified Nurse - Midwives are licensed as advance practice nurses.

Cuomo and the state's Department of Financial Services proposed regulations to crack down on «unscrupulous practices» they say have resulted in millions of dollars of improper expenditures being charged to consumers as «marketing costs.»

«These provisions could threaten everything from Buy America contracting provisions to New York State's ban on hydro - fracking and setting discounted prices for vital prescription drugs to regulations to protect consumer from noxious financial industry practices,» they wrote.

Such policy changes could include regulations, financial incentives for farmers to adopt conservation practices, and technical assistance to help farmers incorporate the changes.

Third, the solution needs to be something that can be crafted by implements in the federal toolkit, which is basically limited to financial incentives, regulation of state and district practices, research and data, and litigation or the threat thereof.

It is our goal to provide financial leadership to the Chicago Board of Education according to government regulations, Board policies and sound financial practices; to maintain the fiscal integrity of the organization; to develop internal and external partnerships; to educate students in a safe and well - rounded environment; and to work with leaders at the federal, state, and local levels to ensure adequate funding and support for educational initiatives.

Charter school governing bodies are often subject to various business regulations, such as ethical financial practices, and public body rules, such as open meeting laws, and like all public school districts, must have an annual independent financial audit in accordance with state rules.

Bad financial practices at an individual level are as much to blame as poor regulation.

Admittedly, ongoing questionable sales practices and lack of enforced advertising regulations are major problems, but the «free look» option that annuities provide could be the most pro-consumer benefit on the financial product planet.

We won't ask questions about what you want to do with your money, but due to our responsible lending practices and authorised Financial Conduct Authority regulations, you will have to undergo a number of checks before your quick loan application is approved.

This practice is viewed negatively, and in response to this danger, the Consumer Financial Protection Bureau recently rolled out regulations in an attempt to curb these practices.

Over time, we hope that financial literacy, private sector innovation and common sense regulation transform the environment for lower credit borrowers and lead to the extinction of predatory practices.

The payday loan is a controversial topic in banking and financial circles, with increasing regulation and pressure to protect consumers against what may be considered to be predatory lending practices.

David's practice centers on risk management, corporate governance, and the regulation of financial services and products, including regulated investment companies and securities lending and finance.

The examination requires you to be knowledgeable in many areas, including employment regulations, the AVMA Model Veterinary Practice Act, Drug Enforcement Agency regulations, Occupational Safety and Health Administration standards, inventory control, drug calculations for usage, financial reporting, and various other aspects of veterinary medicine and business.

Reporting companies, particularly those in fossil fuel industries, may wish to review their disclosure practices regarding the possible financial impact of climate change and of proposed laws, regulations and policies aimed at reducing carbon emissions.

Her practice focuses on financial regulation, particularly the implementation of resolution strategies and the impact of regulatory reform on financial institutions.

However, familiarity with EU financial services regulation will still be a key part of this practice area, given that in all likelihood equivalence with EU financial services and regulatory legislation will be required for many firms who wish to access the EU market.

He counsels insurers on a broad range of compliance matters, including rate regulation, pricing, product formation, underwriting, claims handling, operations, premium tax, reinsurance, corporate governance, licensing, market conduct and financial examinations, consumer complaints and deceptive practice claims, and internal and regulatory investigations, as well as legislative and rulemaking matters.

The obvious candidates are employment law, certain trade practices (e.g., advertising and pricing), environmental regulations, and financial regulations.

As of July 1, 2018, the Financial Services Commission of Ontario (FSCO) will begin enforcing the changes to the O. Regulation 188/08 Mortgage Brokerages Standards of Practice under the Mortgage Brokerages, Lenders and...

Trust Account School, Ethics School, and Practice and Financial Monitor School The Office of Attorney Regulation Counsel offers trust account school and ethics school.

Robert Finney's practice focuses primarily on financial services regulation issues, advising financial institutions and regulators, with significant experience in securities, derivatives and commodities, as well as in advising exchanges and other institutions on their activities in relation to these areas.

Davis Polk's securities enforcement and financial institutions practices have been selected as finalists for the Chambers USA «Awards for Excellence» in Securities Regulation five years in a row, and won in 2012 and 2014.

The former head of the Banking Practice Group of the Chicago office of a leading international firm, Mark is regularly consulted by banks and fidelity insurers to handle intricate matters involving the Uniform Commercial Code; federal regulations on payments; wire, ACH, check and other types of financial fraud; security agreements; and commercial collections and disputes.

Tom works in close collaboration with lawyers from the firm's other market - leading practice areas, including Corporate, Banking and Financial Regulation in cross-office, multidisciplinary teams.

Previously, she has been director of the Bar Standards Board, director of fitness to practice at the UKCC, director of fitness to practise and legal affairs at the Royal Pharmaceutical Society of Great Britain, and spent three years in financial regulation at the Chartered Institute of Management Accountants.

Mr. Harrison's practice focuses on global IT and outsourcing transactions and technology - related matters, including data privacy, information security and financial services regulation.

So far as guiding the conduct of financial advisors were concerned, provided they complied with «the relevant law, regulations, regulators» rules and guidance and standards, relevant codes of practice and, where appropriate,... good industry practice», they could be assured that they would not be liable to their client in the absence of some exceptional factor requiring a different decision.

Pinsent Masons has hired Addleshaw Goddard's head of financial regulation, David Heffron, to lead its equivalent practice in London.

He has published and lecture widely on areas pertaining to the Illinois Department of Financial and Professional Regulation and on medical staff discipline, and has written five chapters on those topics in the West Publication «The Law of Medical Practice in Illinois.»

Main areas of work Dechert delivers legal expertise and commercial insight in our core practices: antitrust; banking and financial institutions; bankruptcy, business restructuring and reorganization; corporate; employee benefits and executive compensation; energy and natural resources; finance; financial services and investment management; intellectual property; international arbitration; international tax and private client services; international trade and government regulation; life sciences; litigation; pro bono; and real estate.

Prior to joining the Mason and Cook team, Fiona supported the Financial Services, Risk and Regulation practice at PwC where she designed and introduced common ways of working within a complex matrix environment.

Thomas E. Bisset is a member of the Financial Services Practice and concentrates his practice on investment management regulation, including advising mutual funds, insurance company issuers of fixed and variable insurance products and other financial entities on the establishment and operation of investment companies and novel financial instruments and on compliance with the Securities Act of 1933, the Investment Company Act of 1940 and other federal securitFinancial Services Practice and concentrates his practice on investment management regulation, including advising mutual funds, insurance company issuers of fixed and variable insurance products and other financial entities on the establishment and operation of investment companies and novel financial instruments and on compliance with the Securities Act of 1933, the Investment Company Act of 1940 and other federal securitiPractice and concentrates his practice on investment management regulation, including advising mutual funds, insurance company issuers of fixed and variable insurance products and other financial entities on the establishment and operation of investment companies and novel financial instruments and on compliance with the Securities Act of 1933, the Investment Company Act of 1940 and other federal securitipractice on investment management regulation, including advising mutual funds, insurance company issuers of fixed and variable insurance products and other financial entities on the establishment and operation of investment companies and novel financial instruments and on compliance with the Securities Act of 1933, the Investment Company Act of 1940 and other federal securitfinancial entities on the establishment and operation of investment companies and novel financial instruments and on compliance with the Securities Act of 1933, the Investment Company Act of 1940 and other federal securitfinancial instruments and on compliance with the Securities Act of 1933, the Investment Company Act of 1940 and other federal securities laws.

Charin's practices focus mainly on capital markets, Public Private Partnerships, project and project finance, financial regulations, mergers and acquisitions and real estate, both in Thailand and the regions (including Laos and Myanmar).

Kevin focuses his practice on cybersecurity, privacy, data security, securities regulation, and financial regulation.

Mr. McIndoe and Mr. Sweeney have developed vibrant practices representing energy companies and members of the financial industry in the areas of commodities and derivatives regulation, compliance and transactions impacted by the Dodd - Frank Act and the Commodities Futures Trading Commission (CFTC) rules mandated by the statute.

The practice draws on the firm's expertise across a number of disciplines, including financial services regulation, commercial technology, intellectual property (especially trademarks), privacy, M&A, tax and competition law to advise clients on a wide range of matters.

The litigation funding industry has established and paid for its own regulation and defined best practice, protecting claimants who seek the rational management of financial risk in litigation and arbitration.