Sentences with phrase «regarding financial disclosure»

In his response, Antonacci noted he was in compliance with the law regarding financial disclosure, which does not require identification of individual clients.

Not exact matches

The exemption requires disclosure of material conflicts of interest and basic information relating to those conflicts and the advisory relationship (Sections II and III), contract disclosures, contracts and written policies and procedures (Section II), pre-transaction (or point of sale) disclosures (Section III (a)-RRB-, web - based disclosures (Section III (b)-RRB-, documentation regarding recommendations restricted to proprietary products or products that generate third party payments (Section (IV), notice to the Department of a Financial Institution's intent to rely on the PTE, and maintenance of records necessary to prove that the conditions of the PTE have been met (Section V).

In a written petition sent to the House Committee on Ethics dated Feb. 5, Colorado House Representative Jared Polis argued that, because cryptocurrency assets are regarded as commodities by several agencies, Congress members should follow the same financial disclosure requirement as for traditional assets.

The Office also consults with registrants and auditors on a regular basis regarding the application of accounting and auditing standards and financial disclosure requirements.

The court has focused on increasing the breadth, depth and specificity of disclosures regarding any potential conflicts the financial -LSB-...]

In response to the news reports, the Financial Consumer Agency of Canada (FCAC) moved up its review of the financial sector to April, during which it plans to focus on sales practices and whether Canada's banks are following guidelines regarding express consent and diFinancial Consumer Agency of Canada (FCAC) moved up its review of the financial sector to April, during which it plans to focus on sales practices and whether Canada's banks are following guidelines regarding express consent and difinancial sector to April, during which it plans to focus on sales practices and whether Canada's banks are following guidelines regarding express consent and disclosure.

White House Communications Director Anthony Scaramucci said he plans to contact the FBI and Justice Department regarding a leak of his financial disclosure.

Senator Jeff Klein's spokeswoman Candice Giove released this statement yesterday regarding the Senator's opponent Oliver Koppell's failure to file a financial disclosure form this week required of all candidates raising funds:

It was the first federal law to establish public disclosure of financial spending by political parties (but not candidates) by requiring the national committees of political parties to file post-election reports regarding their contributions to individual candidates and their own individual expenditures.

«Anything they do in regards to Mr. Prudenti's financial disclosure form has already been ruled upon by the appellate division,» Besso said.

Silver's defense team previously argued the testimony of Lisa Reid, executive director and counsel to the state Legislative Ethics Commission, regarding Silver's financial disclosure forms was irrelevant, as the Manhattan Democrat wasn't on trial for failing to appropriately file state forms.

For more information regarding the latest financial disclosure report, please refer to the New York City Campaign Finance Board website at www.nyccfb.info, where it is all available.

Morton had difficulty overcoming controversy regarding his failure to properly file financial disclosure forms in 2013, and his $ 5,000 fine in 2013 by the Financial Industry Regulatory Agency for borrowing $ 315,000 from seven of his clients, resulting in his firing by LPL Ffinancial disclosure forms in 2013, and his $ 5,000 fine in 2013 by the Financial Industry Regulatory Agency for borrowing $ 315,000 from seven of his clients, resulting in his firing by LPL FFinancial Industry Regulatory Agency for borrowing $ 315,000 from seven of his clients, resulting in his firing by LPL FinancialFinancial.

A fee disclosure is a document issued yearly by the financial institution which uncovers information regarding all of the fees that are related to a specific defined contribution plan.

Disclosures — Information that must be given to our members regarding their financial dealings with AmeriCU.

In particular, companies may wish to consider whether their disclosure takes appropriate account of internal analyses or projections, as well as analyses or projections prepared by consultants, that may have been prepared regarding the potential financial impact of these matters.

Reporting companies, particularly those in fossil fuel industries, may wish to review their disclosure practices regarding the possible financial impact of climate change and of proposed laws, regulations and policies aimed at reducing carbon emissions.

She counsels clients regarding registration, reporting, disclosure and compliance issues under the federal securities laws as a member of Eversheds Sutherland (US)'s Financial Services Practice Group.

In addition to his class actions work, David also represents clients in investigations and enforcement actions before the Ontario Securities Commission, Investment Industry Regulatory Organization of Canada, the Mutual Fund Dealers Association and listed stock exchanges regarding insider trading, market manipulation, securities distributions, financial disclosure, investment suitability and director conduct.

[iii] For example: (1) the required due diligence in regard to the disclosure of financial assets for the making of family law separation agreements.

Representation of financial advisors in connection with numerous FINRA investigations regarding Central Registration Depository («CRD») disclosures, complex products and alternative investments, and other sales practice issues

In that regard, the second paragraph of Article 100 (2) of the Financial Regulation [or the equivalent Article 41 (3) Directive 2004/18] deserve more attention, as regards the caveat that some information may (rectius, should) not be disclosed if such disclosure might prejudice fair competition between economic operators.

In addition, covered entities should thoroughly examine business associate agreements to ensure that third party vendors bear the financial risk for failures to provide notice regarding breaches and to maintain adequate security measures to mitigate against the risk of disclosures.

Comment: Two commenters asked the following questions regarding the banking provisions of the proposed rule: (1) Does the proposed regulation stipulate that disclosures to banks and financial institutions can occur only once a patient has presented a check or credit card to the provider, or pursuant to a standing authorization?

Recently, we have seen a growing number of cases brought against in - house counsel sitting on boards involving insider trading, financial restatements, disputes over proxy disclosures, lawsuits regarding executive compensation, allegations of corrupt foreign business practices, and insolvencies and bankruptcies.

Note the only PDD document that you file with the Court is a Declaration Regarding Service of Declaration of Disclosure and Income and Expense Declaration, which tells the court that you have complied with the requirement to serve these financial disclosures on your spouse.

NAR supported the bill and worked with the committee to secure important improvements regarding insurer financial solvency as well as retaining important consumer disclosures.

In order to make compliance with the new TRID requirements regarding agent license numbers on the new financial disclosure forms easier, the Commission is now including license numbers on the information provided on our website for individual licensee searches.