Sentences with phrase «provided by regulators»

This understanding has grown following the guidance provided by regulators over the past few months.

According to figures provided by regulators in California, Ohio, Georgia, North Carolina and Maine, a total of more than $ 125 million in funds from those states were recovered...

Since introduction of the HVCRE rules in January 2015, necessary clarification for key elements of the rule have not been provided by regulators despite ongoing requests.

Not exact matches

The Post reports that these databases, searchable by any member of the public, will be maintained by local media outlets — with courts providing details of credit defaults, and banking regulators updating banks on the blacklist.

WASHINGTON, Aug 5 (Reuters)-- Companies will have to provide investors with a ratio showing how the median pay of their workforce squares with their chief executive officers» compensation, according to new rules adopted by U.S. securities regulators on Wednesday.

Federal regulators are set to wave through Charter Communications» $ 55 billion bid for Time Warner Cable, with a few key conditions aimed at ensuring that the emerging video streaming industry, personified by the likes of Netflix and Hulu, can provide in future what the cable market has historically lacked: competition.

Companies will have to provide investors with a ratio showing how the median pay of their workforce squares with their chief executive officers» compensation, according to new rules adopted by U.S. securities regulators on Wednesday.

It does this by managing and providing liquidity to financial institutions, monitoring risks and cooperating with other organisations as part of the Council of Financial Regulators.

Last year, Chinese regulators told banks to stop providing funding for several of Wanda's overseas acquisitions as Beijing looks to curb what it sees as irrational spending by some major domestic conglomerates, sources have said.

Carter, who hasn't been accused of wrongdoing, failed to appear as required by the subpoenas and, through his counsel, has declined to provide any additional dates on which he will agree to appear for investigative testimony, the regulator said.

While the new DOL rules are principles based and do not provide discreet instructions as to what advisors should do to fulfill fiduciary duties, industry executive David Trainer said advisors can not lose with clients or regulators by incorporating research into their practice that is «inarguably in the best interest of clients.»

Specifically, Defendants made false and / or misleading statements and / or failed to disclose that: (i) the Company was engaged in predatory lending practices that saddled subprime borrowers and / or those with poor or limited credit histories with high - interest rate debt that they could not repay; (ii) many of the Company's customers were using Qudian - provided loans to repay their existing loans, thereby inflating the Company's revenues and active borrower numbers and increasing the likelihood of defaults; (iii) the Company was providing online loans to college students despite a governmental ban on the practice; (iv) the Company was engaged overly aggressive and improper collection practices; (v) the Company had understated the number of its non-performing loans in the Registration Statement and Prospectus; (vi) because of the Company's improper lending, underwriting and collection practices it was subject to a heightened risk of adverse actions by Chinese regulators; (vii) the Company's largest sales platform and strategic partner, Alipay, and Ant Financial, could unilaterally cap the APR for loans provided by Qudian; (viii) the Company had failed to implement necessary safeguards to protect customer data; (ix) data for nearly one million Company customers had been leaked for sale to the black market, including names, addresses, phone numbers, loan information, accounts and, in some cases, passwords to CHIS, the state - backed higher - education qualification verification institution in China, subjecting the Company to undisclosed risks of penalties and financial and reputational harm; and (x) as a result of the foregoing, Qudian's public statements were materially false and misleading at all relevant times.

While the new DOL rules are principles based and do not provide discreet instructions as to what advisors should do to fulfill fiduciary duties, we think advisors can not lose with clients or regulators by incorporating research into their practice that is:

Despite the exemptive relief from dealer registration requirements provided by the securities regulators in these decisions, issuers should bear in mind that under applicable Canadian securities laws a person is only required to register as a dealer if they are engaging in or holding themselves out as engaging in the business of dealing in securities.

The Australian Securities and Investments Commission (ASIC), the country's financial regulator, provides license to those aiming at creating internet platforms for providing financial services (which once could have been done by banks) and for ICO lunching.

In January and February of 2013, NCFA Canada partnered with the Exempt Market Association of Canada (EMDA) to host the National Crowdfunding Survey in Canada to gain a better understanding of the various stakeholder opinions on legalizing Equity Crowdfunding in Canada and provide Canadian securities regulators with feedback on many of the challenges and issuers put forth by the equity crowdfunding frameworks proposed by the OSC and CSA.

«Eric Dinallo has an impressive record of achievement as a prosecutor and regulator, and has shown that he will bring innovative and effective solutions to the problems New Yorkers face,» said Schenectady Democratic Chairman Brian Quail in a statement provided by the Dinallo campaign.

One of the key witnesses from the first trial, malpractice insurance executive Anthony Bonomo, has since been ousted by state insurance regulators for self - dealing and cronyism, providing Skelos» defense team with ammunition to challenge his credibility

Since the trial, Bonomo's horse Always Dreaming won the Kentucky Derby, but he was ousted from his post by state regulators amid charges of self - dealing, cronyism and mismanagement that could provide ammunition for the defense to attack his credibility.

In the name of providing a smooth transition, the law initially capped increases at 10 percent unless approved by regulators.

Igoshin said that when the researchers set out to find how sporulation decisions were timed to the cell cycle, several studies including prior work by team members, provided a significant clue: Under starvation conditions, the activity of the master regulator gene had been shown to spike once per cell cycle.

Regional, national, and European regulators play a critical role in guaranteeing vaccine quality, and act as facilitators by providing scientific advice to vaccine researchers.

But the board becomes manager and regulator, making sure schools abide by policies meant to ensure equity and provide broad services, like managing the cost of particularly expensive special education students, that individual schools might not have the capacity or desire to do.

Given the fact that you must have access to the information provided by your instrument cluster, failure of the voltage regulator is undesirable.

Investment Analysis: As requested by state insurance regulators, the Capital Markets Bureau provides a number of services --(1) Preliminary Investment Analysis and detailed Investment Analysis Reports; (2) Detailed Asset Reviews; (3) Derivatives Use Plan Reviews; and (4) On - Site Examination Support.

Fortunately, that's about to change: regulators will compel investment dealers to provide personal rates of return by July 2016.

We accomplish this by: 1) re-routing service activities to available locations across the country; 2) relocating impacted businesses to recovery locations, as needed; 3) designing our technology and systems to support the recovery processes for critical business functions; 4) designating a crisis management team and recovery leaders responsible for activating and executing on the business continuity plan; and 5) adopting a communication plan to ensure that relevant updates are provided to our employees, customers, regulators and other key stakeholders.

Regulators provide a level of protection to the investors by guaranteeing a certain amount of compensation should the broker become insolvent.

Protecting Senior Investors: Report of Examination of Securities Firms Providing «Free Lunch» Sales Seminars Issued by the Securities and Exchange Commission, North American Securities Regulators and Financial Industry Regulatory Authority, this report concludes that free - lunch seminars focus more on sales than education and often make exaggerated or misleading claims.

In both instances, these services or products may include: company financial data and economic data (e.g., unemployment, inflation rates and GDP figures), stock quotes, last sale prices and trading volumes, research reports analyzing the performance of a particular company or stock, narrowly distributed trade magazines or technical journals covering specific industries, products, or issuers, seminars or conferences registration fees which provide substantive content relating to eligible research, quantitative analytical software and software that provides analyses of securities portfolios, trading strategies and pre / post trade analytics, discussions with research analysts or meetings with corporate executives which provide a means of obtaining oral advice on securities, markets or particular issuers, short - term custody related to effecting particular transactions and clearance and settlement of those trades, lines between the broker - dealer and order management systems operated by a third party vendor, dedicated lines between the broker - dealer and the investment adviser's order management system, dedicated lines providing direct dial - up service between the investment adviser and the trading desk at the broker - dealer, message services used to transmit orders to broker - dealers for execution, electronic communication of allocation instructions between institutions and broker - dealers, comparison services required by the SEC or another regulator (e.g., use of electronic confirmation and affirmation of institutional trades), exchange of messages among broker - dealers, custodians, and institutions related to a trade, post-trade matching of trade information, routing settlement instructions to custodian banks and broker - dealers» clearing agents, software that provides algorithmic trading strategies, and trading software operated by a broker - dealer to route orders to market centers or direct market access systems.

In order for horse slaughter to be considered humane, slaughter plants and government regulators must provide evidence that the facilities and methods used are appropriate for horses, causing at most, a minimal amount of momentary pain or stress, as measured by legitimate monitoring of welfare indicators such as vocalizations, instances of slipping or falling and stun efficacy.

Lawmakers and regulators appreciate the insights and expertise provided by national organizations, but they are ultimately responsible to their own constituents.

According to the regulator, by failing to provide crucial information, the game developer led players to believe that the odds of obtaining each of the 16 pieces were the same.

Provided governments and regulators allow for it, consumers can play a key role in the grand energy transition, according to a new report by the World Energy Council.

We are confident that the court's ruling will be respected by regulators and other policymakers in Washington who support the continued operation of the nation's nuclear plants and the clean, resilient and affordable energy they provide.»

Unfortunately, however, the U.S. Department of Energy, its National Laboratories and other contractors, and various «renewable» energy advocates are misleading the public, elected officials and regulators by underestimating the true costs and emphasizing the claimed advantages of wind energy while failing to provide information on the disadvantages.

According to the Smarter Network Storage project page at Ofgem, Britain's energy regulator which is providing financing for the project, the project will involve both installation and optimization of 6MW / 10MWh battery and will look at a range of commercial applications to ascertain how best a system like this might be used by commercial operators.

They provide support during regulatory investigations regarding the applicable regulatory requirements and technical compliance criteria against which firms and individuals conduct will be assessed by the regulators.

Provisions were brought into force on 1 January 2007 which will enable applications to be made to the Gambling Commission (the unified regulator) for operating licences — needed by a person providing facilities for gambling — and personal licences — to be held by at least one person occupying a specified management office as a condition of each operating licence.

Fourthly, the extent of the control granted by Regulation 1025/2012 to the European Commission (EC)-- as an execution body, not anymore as a regulator — , is to verify that the harmonised standard respect the law, and therefore could grant the legal facilitation to demonstrate conformity with the law, provided that the manufacturer decides to use this standard and cites it in the product's declaration of conformity.

If the proposals are accepted, solicitors also will need to be separately authorised by a regulator to be able to provide will - writing services.

Although the impact of this decision will not be clear until the ASC releases its written reasons, it may be further evidence of a shift by the Canadian securities regulators towards providing boards of directors with greater deference in resisting unsolicited take - over bids.

Our practice draws on the combined strength of our distinguished Trading and Markets and market - leading regulatory enforcement groups, providing clients with an integrated team of lawyers who are well - known and highly respected throughout the corporate world, within the securities industry and by market regulators and government officials, both in the United States and internationally.

The ethical guidance provided to lawyers by their regulators should be responsive to this evolution.

4) That if the regulator considers it necessary to do so, the regulator may require a law practice to: (i) ensure that an appropriate management system is implemented and maintained to enable the provision of legal services by the law practice in accordance with the professional rules and obligations of legal practitioners within the law practice, and (ii) provide periodic reports on its compliance with the appropriate management system.

Confidential information or commercially sensitive information must be provided to CVM if requested by such regulator, even though a disclaim on its confidentiality should be considered in order to restrict access by third parties.

Instead, in the event of an audit by the regulator, the law allows for the regulator to require an ILP (as well as a ULP or any other kind of law practice) to implement and maintain appropriate management systems, and to provide periodic reports.

And, in England and Wales the reforms go even further: they decisively ended self - regulation of the legal profession by providing that neither the Chair of Legal Services Board (LSB, the oversight regulator in England and Wales), nor the majority of the governing board of the LSB may be lawyers.

First, we offer some context by providing a brief overview of the investigative and disciplinary process followed by most accountancy regulators.

So the underlying law itself is provided by courts and legislators and regulators and agencies and so we aggregate it and standardize it and really build software on top of it that makes it universally usable and understandable and beautiful.