Sentences with phrase «potential misconduct»

The Company will not tolerate retaliation against an employee who reports potential misconduct in good faith.

It's also important to know how to protect yourself from fraud and other potential misconduct from a financial adviser.

As a Compliance Officer at the Real Estate Council of BC, you will play an important role in public protection, using your investigative skills and experience to obtain evidence of potential misconduct by real estate licensees under the Real Estate Services Act.

Mei is a key figure in the case, having worn an FBI wire as a government cooperator and taping at least one conversation with Singh that included talk about town officials confronting Mei about potential misconduct, court papers say.

We also work side by side with major Chinese corporations to develop effective compliance programs, prepare policies and procedures to control risk, investigate potential misconduct, deal with regulatory authorities in multiple jurisdictions and devise strategies for remedial action.

«The CSA is also addressing emerging issues, for example by creating a task force with financial institutions and international regulatory counterparts to address the growing threat of binary options investing, and developing a new national market analytics software program to identify potential misconduct,» said Louis Morisset, Chair of the CSA.

Represented broker - dealers in internal investigations where potential misconduct is suspected

The controversial Advance Group boss is being probed by state Attorney General Eric Schneiderman, US Attorney Preet Bharara and the city Department of Investigation over potential misconduct — including his alleged strong - arming during the 2013 mayoral race of former Council Speaker Christine Quinn over support for the horse - carriage industry, sources said.

Rather, a corporate that uncovers potential misconduct will typically need to assess its regulatory and criminal exposure in a number of jurisdictions and, in turn, deal with the regulators and law enforcement agencies from those same jurisdictions.

Complaints against barristers for potential misconduct rose to 960 from 882 in the past year, according to the Bar Standards Board's enforcement annual report for 2016 - 17.

We see beyond the horizon to help clients minimize the legal, economic and reputational risks that corporate investigations and enforcement actions pose by working to quickly identify, contain and correct potential misconduct.

Ignoring potential misconduct when you observe it puts the public and the reputation of the real estate profession at risk.

That interim report identified what it termed «eyebrow - raising patterns of potential misconduct» based partly on analysis of the money flow.

Former Oyster Bay Deputy Town Attorney Frederick Mei began wearing a wire as an FBI cooperator in February 2015, taping a lengthy conversation with restaurateur Harendra Singh that included talk about town officials confronting Mei about potential misconduct, according to court papers.

We work side by side with companies to develop effective compliance programs, prepare policies and procedures to control risk, investigate potential misconduct, deal with regulatory authorities in multiple jurisdictions and devise strategies for remedial action.

To help employees report potential misconduct, the Company provides several reporting channels, including: managers, Human Resources professionals, the Legal Department, and the Ethics & Compliance (E&C) team.

Licensees are uniquely positioned to identify potential misconduct and prevent harm to consumers by sharing their concerns with their managing brokers and ensuring matters are brought to the attention of the council.»

The Association plays an important role in regulating the litigation funding industry in England and Wales and is pleased to consider funders for membership; the Association also undertakes a rigorous complaints procedure when alerted to potential misconduct by members.

A report from an anti-corruption commission Cuomo himself created in 2013 and then shut down the next year identified «eyebrow - raising patterns of potential misconduct» based on a review of campaign contributions to elected officials from donors with interests in legislative outcomes.

According to an official at IOP Publishing, the retractions began when a third party contacted them last March about «potential misconduct» in a paper published earlier that year in one of its journals — Journal of Physics D: Applied Physics.

Although routine matters can often be handled by in - house counsel, an outside firm should ordinarily conduct the investigation where the potential misconduct could produce significant adverse legal or commercial consequences for the company.

We work side by side with clients to develop effective compliance programs, prepare policies and procedures to control risk, investigate potential misconduct, deal with local and foreign agencies, and devise strategies for remedial action.

She divides the potential misconduct into «high - incident, low - impact» concerns such as expense account fraud and «high - impact» situations, such as allegations of insider trading, data breaches, or foreign corruption.

Although there are some cases that need to go directly to law enforcement, the point of the guide is to encourage individuals to report potential concerns internally so that companies have an early opportunity to address risk or potential misconduct, before the need to involve law enforcement; that employees of an organization have a safe and trustworthy mechanism to report information internally without any chance of reprisal.

The IAG recommends that managing brokers be required to file an annual report that includes information on the number of files involving actual or potential misconduct that were handled and how they were resolved.

Explain the situation, the potential misconduct you've become aware of, and clearly outline any risks you believe the conduct may present to consumers.

This also applies to potential misconduct by unlicensed employees at brokerages.

That is why it is important to bring any concerns about potential misconduct to the attention of your managing broker and the Council.