Sentences with phrase «including document disclosure»

In addition, Jeff has extensive experience dealing with tax enforcement and other regulatory compliance issues including document disclosure requirements.

Not exact matches

This document outlines our approach to safeguarding our shareholders» confidential information including how our Transfer Agent manages «non-public personal» information, our disclosure policy, and employee confidentiality and system security.

The first part of each document includes the disclosure statement required by the Internal Revenue Service.

To help support investor education, the SEC offers the public a wealth of educational information on this Internet website, which also includes the EDGAR database of disclosure documents that public companies are required to file with the Commission.

Investor interested in investing in any of the programs on this website are urged to carefully read these disclosure documents, including, but not limited to the performance information, before investing in any such programs.

Advisors must carefully evaluate all communications to retirement investors including advertising documents, advisory contracts, disclosure documents and day - to - day communications.

(2) For all persons who review applications for certification, perform on - site inspections, review certification documents, evaluate qualifications for certification, make recommendations concerning certification, or make certification decisions and all parties responsibly connected to the certifying agent, a conflict of interest disclosure report, identifying any food - or agriculture - related business interests, including business interests of immediate family members, that cause a conflict of interest.

Attorneys for the river communities, including Engel, who represents the town of Halfmoon in the ongoing litigation, challenged the company's position to conceal thousands of internal records from public disclosure, including scores of documents related to GE's multimillion - dollar public relations campaign in opposition to dredging.

The leaked files arose from last week's disclosure that a group of South Asian hackers, calling themselves the Lords of Dharmaraja, had allegedly broken into Indian government servers and stolen documents including the source code to Norton and Symantec anti-virus software.

The commission and state and federal enforcement agencies have taken dozens of recent actions against dealerships, including credit - application fraud, add - on products disclosure and document - fee violations.

The DOT may also review any disclosure with respect to the transaction that the borrower includes in offering documents.

The entire agreement between us (this «Agreement») is in separate parts, including this document (which incorporates an ARBITRATION provision), your application to us and any accompanying disclosures, any Account opening / closing correspondence, and an initial (and any subsequent and then - current) «Rates and Fees Table.»

The applicable program disclosure documents, the trust investment option prospectus and the Retirement Gateway ® product brochure contain more detailed information about the contract, including investment objectives, risks, charges and expenses.

However, this includes a standard application form, disclosures, and all the supporting documents.

This document outlines our approach to safeguarding our shareholders» confidential information including how our Transfer Agent manages «non-public personal» information, our disclosure policy, and employee confidentiality and system security.

The new ETF Facts template incorporates many similar data points as the now - familiar «Fund Facts» document published by mutual funds in the country, but also includes ETF - specific disclosures that are intended to help clients better understand the funds they hold and how they stack up to comparable products.

Form ADV Part 2 acts as a disclosure document for clients of the business and includes information such as advisory services offered, advisor's fee schedule, whether the investment advisor acts as a broker - dealer and transacts securities, disciplinary information, and conflicts of interest.

To complete your due diligence, visit SEDAR (www.sedar.com) for access to all Canadian mutual fund filings, including annual reports, prospectuses, financial statements, press releases and continuous disclosure documents.

Legally, the disclosure document must include enough detail for you to be able to compare a range of similar investments and to make an informed decision about which one to invest in.

If the book up is regulated by the National Credit Act, the book up contract should include details of the relevant approved external dispute resolution (EDR) scheme and other disclosure documents.

Under the Corporations Act 2001, an insurer needs to provide a number of disclosure documents to consumers who purchase a pet insurance policy, including a PDS.

Make sure you read all the documents, including the product disclosure statement (PDS), and understand the costs before you sign up.

They include consumer disclosures, investor - related documents and the loan modification documentation.

These performance figures should not be relied on independent of the individual advisor's disclosure document, which has important information regarding the method of calculation used, whether or not the performance includes proprietary results, and other important footnotes on the advisor's track record.

Investor interested in investing in any of the programs on this website are urged to carefully read these disclosure documents, including, but not limited to the performance information, before investing in any such programs.

RV Doc Composer (RVDC), included in RVX, is our integrated disclosure and closing documents composer in full compliance with requirements in all states — including often overlooked state - specific broker documents.

all other documents and disclosures relating to your Account including those provided online; and

Such market participants include day traders, chartist - technicians; asset allocators; market participants financed with borrowed money; participants untrained in fundamental analysis; participants who don't read disclosure documents; believers in Modern Capital Theory (The Efficient Market Hypothesis & Efficient Portfolio Theory); behaviorists and psychologists.

The purpose behind these guidelines is to promote (i) honest and ethical conduct, including the ethical handling of actual or apparent conflicts of interest between personal and professional relationships; (ii) full, fair, accurate, timely, and understandable disclosure in reports and documents that the Trust files with, or submits to, the SEC and in other public communications made by the Funds; (iii) compliance with applicable governmental laws, rule and regulations; (iv) the prompt internal reporting of violations of the Trust Code to an appropriate person or persons identified in the Trust Code; and (v) accountability for adherence to the Trust Code.

The letter included a subpoena issued under New York state law, which seeks information and documents relating to the Company's analysis of the risks associated with climate change and possible climate change legislation or regulations, and its disclosure of such risks to investors.

Documents obtained by Greenpeace include correspondence between George Howard and various representatives of the oil and gas industry during the creation of the first chemical disclosure bill.

If an issue arises as to the interpretation of that final draft, or the process of negotiation which lead to it, including what representations may have been made along the way, it would not be unusual for an interested party to seek disclosure of the drafts and the annotations to the drafts notwithstanding that the primary document has become the final signed version.

This lease document includes a basic lease agreement, an inspection checklist and a lead - paint disclosure.

Mandatory disclosure includes each party filing a financial affidavit with the court and providing necessary financial documents such as bank statements, tax returns, credit card statements, and other required financial documents.

The Court also ruled that if an order for disclosure of the agreements was subsequently made, it was minded to restrict the use that could be made of the documents, including by restricting access to ENRC's legal team, and not providing copies to certain identified senior officers of ENRC itself.

Document review; including the real estate purchase agreement and disclosures required under Illinois law

This document includes 45 lease provisions plus an inspection checklist and a lead - paint disclosure.

Generally, to claim the deceased owner's vehicle, you will need to provide the DMV with proof of your identity and relationship to the owner, a completed and signed title including the current odometer disclosure, a completed Statement of Facts, and all supporting paperwork, such as the will, death certificate, or other certified court documents.

With regard to disclosure, the list of what must be included in disclosure documents is lengthy and beyond the scope of this article.

Canadian privacy laws, including the federal Personal Information Protection and Electronic Documents Act («PIPEDA»), regulate the collection, use and disclosure of personal information.

Pursuant to the tribunal's schedule for proceeding with the complaint, the complainant was required to satisfy certain disclosure obligations, including production of documents, by mid-December 2014.

Following the Otkritie trial, Anton was instructed in several related enforcement proceedings, including in relation to committal of various individuals to prison for contempt of Court; an application (as sole counsel) for the disclosure of documents to the City of London Police and Crown Prosecution Service; and applications for the sale of properties in St John's Wood belonging to two of the defendants.

Statements and documents in Tribunal claims also now often include extracts from an employee's social media use and increasingly, standard disclosure includes not only emails and texts but also snapchat messages.

Inadvertent disclosures, such as when a document production includes a privileged document that mistakenly was left in the collection of materials to be produced, may or may not waive the privilege.

Inadvertent disclosure includes threats like leaving a briefcase, laptop, or smartphone in a taxi or restaurant, sending a confidential e-mail to the wrong recipient, erroneously producing privileged documents or data, or exposing confidential metadata.

Defence lawyer Joseph Neuberger extensively reviewed and analyzed the disclosure during the comprehensive defence investigation which included obtaining source documents from various sources, including the family law proceedings, to undermine crucial facts attested to by the complainant.

He has prepared tax disclosures for debt and equity offering documents involving a variety of transactions, including oil and gas exploration and development and alternative energy.

New disclosure documents filed this week show the big tobacco companies are spending huge sums and hiring an army of lobbyists to influence Congress and the Trump Administration, including giving $ 1.5 million to President Trump's inauguration.

The following is a statement of Matthew L. Myers, President, Campaign for Tobacco - Free Kids: New disclosure documents filed this week show the big tobacco companies are spending huge sums and hiring an army of lobbyists to influence Congress and the Trump Administration, including giving $ 1.5...

The required action may include urgent equitable remedies to freeze assets and obtain disclosure of documents and information concerning the debtor's assets.