Sentences with phrase «firm rules in place»

Not exact matches

Conflicting signs from the White House have left brokerage firms and lobbyists unsure whether a controversial rule governing retirement advice will ever be put in place, but they are taking no chances and complying anyway.

However, as in the NFL, that impact will plateau at a certain point if firms lose sight of why they put the Rooney Rule in place, say diversity experts.

The real «evidence» as to whether a firm's compliance process «is actually working» will come in April, however, when the rule kicks in and DOL starts assessing what's been put in place.

Franklin Templeton's Global Compliance Group is responsible for ensuring that the firm has the appropriate processes and procedures in place to comply with the extensive and complex, overlapping and frequently changing rules and regulatory requirements applicable to the firm and the funds we manage around the world.

Each year, I do think we make progress, but as increased attention is placed on ensuring the effective implementation of local (or host country) rules and regulations, we need to ensure we don't lose sight of the need to continue to work effectively across jurisdictions in supervising the largest firms.

«Our firm has been an active advocate for our clients and financial advisers during the DOL's rulemaking process, and we have a robust process in place for reviewing and implementing the final rule.»

Place a digital clock in your child's room and set a firm sleep rule for wake up time (6 am is an appropriate wake up time assuming your child has a bedtime between 6 pm - 7 pm).

And, after a title card that proudly thumps its chest in a declaration that there are no rules in politics, deciding to put in a consciousness in the middle of the on - screen chaos is huge risk... that doesn't quite work because the satire isn't in firm place.

The New Rule expands the scope to cover outbound calls placed by the firms and inbound calls placed by consumers in response to advertisements.

If the firm treats you as an employee then they are treated as having a place of business in the UK and therefore are obliged to operate PAYE on your behalf - this rule has applied to EU States since 2010 and the non-EU EEA members, including Switzerland, since 2012.

In fact, despite the degree of public attention that's come to the EMV adoption issue as merchants have been confronted by the deadline for liability shift that just this month passed here in the U.S., there is still no, actual firm, you - must - support — EMV — by — this - date PCI rule in place for merchantIn fact, despite the degree of public attention that's come to the EMV adoption issue as merchants have been confronted by the deadline for liability shift that just this month passed here in the U.S., there is still no, actual firm, you - must - support — EMV — by — this - date PCI rule in place for merchantin the U.S., there is still no, actual firm, you - must - support — EMV — by — this - date PCI rule in place for merchantin place for merchants.

Buyers who secure an accepted offer who do not have a firm agreement from their lender (and the respective mortgage insurer) in place by October 16th will be subject to the rule change October 17th.

The MFDA rules apply to all mutual fund dealers that are affiliated with Canadian banks, so a similar account opening process is in place amongst these types of financial services firms across Canada.

Scalping, like other forms of trading has its own set of rules and regulations that firms put in place to protect themselves and the clients trading needs.

Once we decide to get more specific rules in place, there will be a period of time where we tell firms start developing your [in - house] policies and procedures and call us if we can help or if you want to know if this is good enough,» he says.

Perhaps most value can be found in the ultimate recommendation that a firm considering engaging in social media should «consider having a policy in place» (I would have said, simply, «should») that addresses a number of key points such as «strategy», rules of «engagement», training and the like.

Before you can run with your new referral - marketing program, however, it's important to make sure you've put in place all the tools possible to ensure potential referrers don't rule you out before they even have the chance to refer your law firm.

Due to limitations in the law firm business model and constraints imposed by the ABA ethical rules, there is currently very little innovation taking place in the delivery of legal services.

Another point of concern is how these regulations will impact transactions made between UK and EU firms post Brexit, but PSD2 puts in place new legislation that requires EU firms to meet transparency rules, even when dealing with providers outside the union.

The LPD is responsible for assuring that the firm has appropriate management systems in place that enable the firm to provide legal services in accordance with the applicable ethical rules.

In the recent budget 2017 announced on February 1st 2017, the Government said it aims to target the shell companies that are created to evade taxes through the place of effective management (POEM) rules, but excluded firms with an annual turnover of less than Rs 500 million from its purview.

Nickels says: «The new Rule 5 imposes strict requirements on principals in firms to ensure that adequate supervisory systems are in place.

We have helped bar committees draft disciplinary rules governing law firm advertising and marketing, and we are well - placed to assist law firms in their efforts to comply with these new rules.

How do I handle requests for such references?Thank you so much for your help!CherylCHERYL M. EARLE3407 Old Dobbin Road, Montgomery, Alabama 36116 - 1903Home Phone: [phone] Cell Phone: [phone] Fax: [phone] E-mail: [email protected] position managing legal discovery and document review with opportunity to assist attorneys with civil litigationBAR ADMISSIONAlabama State Bar, 1999LAW - RELATED EXPERIENCELaw Firm, AlabamaResearch Attorney for Special Projects, Mass Torts Department, November 2001 — February 2008 • Managed Multi-District Litigation (MDL) Document Depository (September 2002 to February 2008) o Reviewed more than 1 million pages of evidentiary documents for litigation purposes and for inclusion in electronic databaseso Coordinated document review assignments with attorneys at local depository and at other sites across the USo Retrieved, reviewed and coded documents in Concordance and Summation legal databaseso Prepared memoranda and spreadsheets providing detailed analysis of discovery materials • Aided attorneys and support staff with processing and preparation of personal injury claims and litigationo Conducted legal research and drafted pleadingso Conducted supplementary online research for additional documents and information pertinent to litigationo Assisted with preparation of correspondence to clients and referring attorneyso Contacted clients for additional information needed in case preparation, litigation, and potential settlementso Prepared and input case intakes and referrals into databaseLaw School, AlabamaStudent Intern, Alabama Disabilities Advocacy Program (ADAP), August 1996 — June 1997 • Participated in law school clinical program under third - year law student practice rule (as authorized by Alabama Supreme Court) o Assisted attorneys and advocates in cases involving mentally ill patients confined to state mental health facilitieso Interviewed clients in person (at state facilities) and over the phoneo Worked with clients, attorneys, and social workers to investigate and resolve issues concerning involuntary confinement and treatmento Aided in legal research on an appellate brief submitted to the U. S. Court of Appeals for the Eleventh Circuit (ruling granted in favor of our client) Faculty Research Assistant for Library Services, Bounds Law Library, March 1996 — June 1997 • Prepared research and teaching materials for law school faculty; worked 20 hours per week while matriculating 10 - 15 hours per semester) o Investigated copyright issues related to procuring and reproducing texts for academic useo Conducted legal research using WESTLAW, LEXIS and the InternetADDITIONAL RELEVANT EXPERIENCEManufacturing Company (MC), Montgomery, AlabamaAdministrative Assistant and Cost Analyst, Materials Purchasing Department, April 1999 — September 2001 • Assisted materials buyers in negotiating and preparing commodities contracts between raw materials suppliers and MC for manufacturing plants in the US and Mexicoo Assisted Legal Department at MC's corporate headquarters with coordination and preparation of documents for litigationo Notified and educated suppliers about MC's freight - on - board policy and its corresponding Uniform Commercial Code (UCC) provisions; result was the reduction of freight claims for both the company and its supplierso Prepared contracts and purchase orders for raw materials and capital projects involving plant maintenanceo Solicited price quotations from current vendors and established Excel spreadsheet format which simplified quote submission process and allowed MC to track and compare usage volumes and costs over timeo Prepared and analyzed cost reports used by materials buyers and production planners in purchasing decisions, including cost reductions, materials consolidation, and selection of vendorso Acted as liaison between vendors and the Purchasing, Transportation and Accounting Departments on issues concerning inbound freight, commercial carriers, and payment terms for commodities, resulting in reductions in freight costs and greater payment discounts for raw materialso Established online databases and printed directories for the Purchasing Department, allowing buyers to have easier and faster access to current vendor informationo Completed Year 2000 (Y2K) compliance project, which involved data collection and communication with MC's past, present, and potential materials suppliers and service providersNot - For - Profit Organization, AlabamaAdministrative Assistant, Combined Federal Campaign, September 1998 — January 1999 • Aided Campaign Director with 1998 Federal Campaigns (CFCs) in City 1 and City 2, which together generated nearly $ 700,000 for more than 1,000 local, national and international charitieso Prepared weekly reports on donations using WordPerfect, Microsoft Word, Excel and dBase IVo Wrote script for Talent Showcase at City 1's 1998 CFC Kickoffo Assisted Director with merger of the City 1 and City 2 CFCs in 1999Regional Bank, AlabamaAdministrative Assistant, Year 2000 (Y2K) Department, March — June 1998 • Worked with Vice President of Corporate Projects on short - term project for the bank's Y2K Departmento Analyzed and processed data on Y2K readiness for all branches of Bank throughout the southeastern USo Organized meetings for personnel of Banko Communicated with vendors of computer hardware, software, and office equipment to request information on Y2K complianceo Prepared compliance files for Federal Reserve auditso Prepared in - house memoranda and reports using Microsoft Word and ExcelRecord / Music Promotion Company, AlabamaRecord Pool Co-Founder; Office Manager, September 1990 — December 1991 • Co-founded record pool to enhance promotion of music in Alabama and the southeastern USo Procured and distributed records from major and independent labels for club, radio and mobile disc jockeyso Coordinated jointly sponsored promotional events with record companies, radio stations and clubso Designed, wrote, and published bi-weekly reports and brochures to inform the music industry of the progress and popularity of music and performers in the region, with specific focus on the Alabama music sceneMajor University, AlabamaGraduate Research Assistant, AUM Department of Marketing, June 1989 — August 1990 • Worked 13 - 20 hours per week as a research assistant to Marketing faculty while carrying a full course load in the MBA programo Analyzed consumer surveys used in academic researcho Assisted Conference Chairperson with coordination for Atlantic Marketing Association (AMA) annual meeting (October 1989) o Co-authored five - year index and classification of AMA Proceedings (published Fall 1991) EDUCATIONLaw School, AlabamaJuris Doctor (JD), 1997 • Scholarshipso Seybourn H. Lynne Scholarship, 1996 - 97o Dexter C. Hobbs Memorial Scholarship, 1995 - 96o E. W. Godbey Memorial Scholarship, 1994 - 95 • Honorso Who's Who Among American Law School Students, 1996 - 94o Arthur Davis Shores Award, 1997 • Activitieso Frederick Douglass Moot Court Team Manager, 1996 - 97 Southern Regional Competition, Second Place National Competition, Eighth Placeo John A. Campbell Moot Court Competition, Spring 1996o Black Law Students Association Delegate, BLSA National Convention, 1997 Co-Chairperson, Public Relations Committee, 1996 - 97 Chairperson, Public Relations Committee, 1995 - 96 BLSA President's Award, 1996 and 1997o American Bar Association, 1996 - 97 Entertainment and Sports Industries Forum Intellectual Property Section Law Student Divisiono LAWS Student Group Leader, 1995 - 96Major University, AlabamaMaster of Business Administration (MBA), 1990Bachelor of Science in Business Administration (B.S.B.A.), 1988 (Major: Marketing — Advertising and Promotion Track) • Honorso Dean's List • Activitieso National Student Advertising Competition Team, 1988 - 90 Seventh District Competition: Third Place, 1990o Marketing Club, 1987 - 90 Vice President — Career Development, 1988 - 89o Public Relations / Advertising (PR / AD) Club, 1988 - 90 Charter Member, 1988 Active in fund - raising and membership driveso Theater Guild, 1988 - 90 Screening Committee, 1989REFERENCESAvailable upon request

Recent survey data shows that leaving the current rules in place could affect 50 percent or more of the transactions many firms are currently doing.

manager of a real estate firm shall supply evidence satisfactory to the Membership Committee that he / she is actively engaged in the real estate profession, and maintains a current, valid real estate broker's or salesperson's license or is licensed or certified by an appropriate state regulatory agency to engage in the appraisal of real property, has a place of business within the state or a state contiguous thereto (unless a secondary member), has no record of recent or pending bankruptcy *, has no record of official sanctions involving unprofessional conduct **, agrees to complete a course of instruction covering the Bylaws and Rules and Regulations of the Association, the Bylaws of the State Association, and the Constitution and Bylaws and Code of Ethics of the NATIONAL ASSOCIATION OR REALTORS ®, and shall agree that if elected to membership, He / she will abide by such Constitution, Bylaws, Rules and Regulations, and the Code of Ethics.

«With the new lending rules now in place and the quick rise in prices we've seen, it's difficult to make that leap as a first - time buyer,» said Shaun Hildebrand, senior vice president of the firm.