Sentences with phrase «investigation by the regulatory authorities»

We demand the following: 1) The immediate interdiction of the BOST MD — Mr. Alfred Obeng Boateng 2) Full scale investigation by the regulatory authorities 3) The immediate withdrawal of the contaminated product from the market to protect consumers and assurances that this will not recur.

And the firm is under investigation by the regulatory authorities when a key player dumped his shares last year.

Advising one of the «big four» accounting firms on practice protection matters in connection with investigations by regulatory authorities.

Whitney Fore brings to Ifrah Law a strong background in complex civil litigation in the financial services industry, including class actions; franchise and business law regulatory compliance matters; and investigations by regulatory authorities.

Our internal review continues, and we will cooperate fully with any investigations by regulatory authorities.

«Our internal review continues, and we will co-operate fully with any investigations by regulatory authorities,» read the statement.

«Our internal review continues, and we will cooperate fully with any investigations by regulatory authorities,» said a Facebook spokesperson via email.

«Our internal review continues, and we will cooperate fully with any investigations by regulatory authorities,» the statement added.

Not exact matches

Barclays and fifteen other global financial institutions came under investigation by a handful of regulatory authorities — including those of the United States, Canada, Japan, Switzerland, and the UK — for colluding to manipulate the Libor rate beginning in 2003.

This has led to criminal and regulatory investigations by US and UK authorities as well as a litany of civil actions for, amongst other things, negligence claiming that Equifax ought to known that its systems were fragile after previous breaches and that it failed to take adequate or reasonable care in its data security arrangements.

We defend clients in investigations and enforcement actions brought by regulatory bodies across the country, including the Securities and Exchange Commission, the Financial Industry Regulatory Authority, the Department of Labor, the New York Stock Exchange, the American Stock Exchange, the National Futures Association, the Commodity Futures Trading Commission, the Chicago Board of Options Exchange, the Chicago Mercantile Exchange and the Chicago Board of Trade.

Mr Lehtman advises clients facing parallel investigations by both US and foreign authorities concerning financial reporting irregularities, potential violations of the Foreign Corrupt Practices Act, anti-money laundering regulations, and issues related to other legal and regulatory requirements.

Jennifer is a key member of the firm's regulatory law defence team and has substantial experience in advising clients undergoing regulatory investigation and of defending prosecutions against clients brought by a variety of enforcement authorities including Trading Standards, the Health & Safety Executive, the Environment Agency, utility providers and local planning authorities.

Our teams of specialist criminal defence lawyers represent corporate and individual clients throughout regulatory and criminal investigations conducted by The Financial Services Authority (FSA) enforcement division.

Ms. Gaudoin has experience in investigations and enforcement proceedings brought by the Serious Fraud Office, the UK Financial Conduct Authority, the National Crime Agency and other regulatory bodies.

Our lawyers have acted for architects, engineers, lawyers, dentists, and accountants in professional errors and omissions claims, advised clients before professional regulatory bodies, acted for professional administrative bodies, provided advice regarding investigations conducted by administrative authorities, and have acted in judicial reviews of decisions made by professional regulatory bodies.

In addition, Ms. Conroy has experience representing clients in connection with internal investigations as well as government and regulatory investigations, including investigations by the Department of Justice, the Securities and Exchange Commission, and the Financial Industry Regulatory Authority.

As one of the leading financial services regulation teams in the UK, we deal with criminal, civil and regulatory investigations brought by the Financial Conduct Authority (FCA).

Weber brings a broad securities litigation practice, representing clients in a diverse array of matters including securities class actions, shareholder derivative actions, proceedings initiated by the Securities and Exchange Commission and other regulatory authorities, internal corporate investigations, arbitrations and other complex commercial litigation.

Recent work includes the defence of a large financial institution in connection with the LIBOR and FX investigations conducted by the Criminal and Antitrust Divisions of the DOJ, the CFTC, the SEC, the FCA and a range of other international criminal, competition and regulatory authorities across Europe.

Our team is on hand 24/7 to provide clients with crisis support when faced with major incidents and investigations by regulatory bodies, such as the Police, HSE, Local Authorities, Environment Agency and Fire Services, for breaches of health & safety, fire safety, food safety, trading standards and related regulations.

Advising financial institutions in investigations by various regulatory bodies, including the Hong Kong Securities and Futures Commission, the Hong Kong Monetary Authority, the China Securities Regulatory Commission and the US Securities and Exchange Commission.

We also act for and advise the firm's clients facing prosecution or investigation by other regulatory bodies, including Trading Standards, local authorities and the Civil Aviation Authority.

Bradford - based James Staton leads Schofield Sweeney's practice, and has niche expertise in advising landowners on investigations and prosecutions by regulatory authorities concerning endangered species, water pollution and waste management infringements.

Furthermore, she has experience advising on director independence, disclosures, regulatory compliance, and investigations by the Securities and Exchange Commission and the Financial Industry Regulatory Authority.

In recent years, Bea has represented clients in antitrust and regulatory investigations undertaken by EU and UK authorities, including the European Commission, the Competition and Markets Authority, the Financial Conduct Authority, Ofcom and Ofgem.

At Corker Binning, Jemma has advised on a wide range of white collar, general crime, extradition and regulatory matters including investigations and prosecutions brought by the Crown Prosecution Service, the Serious Fraud Office, the Financial Conduct Authority, the Health & Care Professions Council, the Nursing and Midwifery Council and the Taxation Disciplinary Board.

Ms. Nettleton has extensive experience representing clients in connection with internal investigations as well as federal, state, and foreign governmental and regulatory investigations, including investigations by the Department of Justice, the Securities and Exchange Commission, the New York Stock Exchange, the Financial Industry Regulatory Authority, and the New York Attorney General's Office.

In cases where respondents retained outside counsel for a regulatory investigation, UK respondents named the Financial Services Authority (FSA) as the most active regulator, followed by the Office of Fair Trading and the European Commission.

The Solicitors Regulation Authority (SRA) is asking for comments on proposals to publish: findings of misconduct that result in a reprimand; conditions put on practising certificates; details of allegations in cases accepted by the Solicitors Disciplinary Tribunal; agreements to conclude a regulatory investigation; and decisions to intervene in legal practices.

We are seeing more complex regulatory investigations by the Solicitors Regulation Authority, and particularly where the actions of clients and introducers have become subject to investigation, for example in developer mortgage fraud.

She advises clients on a wide range of privacy - compliance initiatives, including conducting privacy and security reviews and audits; drafting privacy policies, practices and procedures; managing privacy / security breaches; assisting with investigations by privacy regulatory authorities; and drafting outsourcing and other service - provider agreements involving transfers (including transborder flows) of personal information.

The doors have closed on two more cryptocurrency exchanges in Japan following investigations by the country's Financial Services Agency — raising questions as to whether or not most exchanges will be able to meet the regulatory authority's standards.

Project Manager / Compliance Officer — Duties & Responsibilities Oversee daily operational aspects of a fast paced, high intensity financial institution Recruit, train, and direct staffs ensuring they understand the brand and adhere to company policies and procedures Manage compliance with regulatory authorities including the SEC, NYSE, and NASD Analyze financial information and present reports to external regulators and internal management Determine compliance issue severity and escalate to senior compliance officer as needed Conduct internal compliance investigations coordinating efforts between various support services Track and maintain detailed records of all compliance inquiries Direct and contribute to special company projects as needed Responsible for the «I Have a Dream Summer Intern Program» ensuring effective talent recruitment Utilize technical expertise while serving as liaison to technology department Assist with database and hardware management, software training, and computer troubleshooting Aid accounting with budgets, accounts payable / receivable, invoice payment, and vendor negotiations Interact with Board of Directors, Chief Executive Officer, and other key figures on a daily basis Partner with various company lines to assess client interests, market trends, and potential sales opportunities Develop a rapport with customers and orient them to various products and services Encourage high customer retention by maintaining friendly, supportive contact with existing clients Study internal literature to become an expert on products and services Provide administrative support including travel arrangements, scheduling, data entry, and other tasks as needed Represent company brand with poise, integrity, and positivity