Sentences with phrase «within financial services law»

Areas of focus within financial services law include securities regulation and transactions; futures, derivative, and swap regulations and transactions; banking regulation and transactions; and investment advisor regulation.

Not exact matches

This news release contains forward - looking statements within the meaning of the U.S. Private Securities Litigation Reform Act of 1995 and Canadian securities laws, including statements regarding: BlackBerry's expectations regarding new product initiatives and timing, including the BlackBerry 10 platform; BlackBerry's plans and expectations regarding new service offerings, and assumptions regarding its service revenue model; BlackBerry's plans, strategies and objectives, and the anticipated opportunities and challenges in fiscal 2014; anticipated demand for, and BlackBerry's plans and expectations relating to, programs to drive sell - through of the company's BlackBerry 10 smartphones; BlackBerry's expectations regarding financial results for the second quarter of fiscal 2014; BlackBerry's expectations with respect to the sufficiency of its financial resources; BlackBerry's ongoing efforts to streamline its operations and its expectations relating to the benefits of its Cost Optimization and Resource Efficiency («CORE») program and similar strategies; BlackBerry's plans and expectations regarding marketing and promotional programs; and BlackBerry's estimates of purchase obligations and other contractual commitments.

This news release contains forward - looking statements within the meaning of the U.S. Private Securities Litigation Reform Act of 1995 and Canadian securities laws, including statements regarding: BlackBerry's expectations regarding new product initiatives and timing, including the BlackBerry 10 platform; BlackBerry's plans and expectations regarding new service offerings, and assumptions regarding its service revenue model; BlackBerry's plans, strategies and objectives, and the anticipated opportunities and challenges in fiscal 2014; anticipated demand for, and BlackBerry's plans and expectations relating to, programs to drive sell - through of the Company's BlackBerry 7 and 10 smartphones and BlackBerry PlayBook tablets; BlackBerry's expectations regarding financial results for the second quarter of fiscal 2014; BlackBerry's expectations with respect to the sufficiency of its financial resources; BlackBerry's ongoing efforts to streamline its operations and its expectations relating to the benefits of its Cost Optimization and Resource Efficiency («CORE») program and similar strategies; BlackBerry's plans and expectations regarding marketing and promotional programs; and BlackBerry's estimates of purchase obligations and other contractual commitments.

In order to alert you to other financial products and services that Vanguard offers or sponsors, we may share your information within the Vanguard family of affiliated companies, to the extent permitted by law.

Yet that's irrelevant: a contract must be written within the law, and financial services must be fair.

The Underwriting Agreement between the Trust and Ceros Financial Services Inc. («Ceros») provides that the Registrant agrees to indemnify, defend and hold Ceros, its several officers and directors, and any person who controls Ceros within the meaning of Section 15 of the Securities Act free and harmless from and against any and all claims, demands, liabilities and expenses (including the reasonable cost of investigating or defending such claims, demands or liabilities and any reasonable counsel fees incurred in connection therewith) which Ceros, its officers and directors, or any such controlling persons, may incur under the Securities Act, the 1940 Act, or common law or otherwise, arising out of or based upon: (i) any untrue statement, or alleged untrue statement, of a material fact required to be stated in either any Registration Statement or any Prospectus, (ii) the breach of any representations, warranties or obligations set forth herein, (iii) any omission, or alleged omission, to state a material fact required to be

Leading independent Australian law firm HWL Ebsworth Lawyers has announced that Geoff Stevens will be joining the firm as a partner within its Banking & Financial Services team in Perth

Akerman LLP, a top 100 U.S. law firm serving clients across the Americas, was once again recognized by leading legal guide Chambers & Partners as one of the nation's most prominent law firms in middle market mergers and acquisitions, and for complex work within the financial services and real estate sectors.

Disclosure Statement Schedule 1 — S. 21 Federal Child Support Disclosure Schedule 2 — S. 21 Alberta Child Support Guidelines Disclosure Schedule 3 — Notice to Disclose Disclosure Schedule 4 — S. 65 Family Law Act — Form 1 — Request for Financial Information Schedule 5 — Update to Disclosure Filed Within the Last Three Years Undertaking Not to Appeal Divorce Judgment Request for Financial Information (Provincial Court Use Only)(CT3511) Originating Application for Queen's Bench Protectio Order (CTS2746) General Affidavit (CTS3819) Budget of Expenses (CT3510) Affidavit of Attempted Service (CTS10950) Affidavit of Service (CTS3882) Affidavit of Service — Respondent (CTS3514) Affidavit of Service — divorce (no children)(CTS3694) Affidavit of Service — Applicant (CTS3513) Schedule A to FL - 17 Generic Order

By way of Denise Howell comes word of the launch today by her law firm Reed Smith, in conjunction with DolphinSearch, of ComplianSeek, described as «a first - of - its - kind integration of law and technology designed specifically to help meet the regulatory compliance needs of investment advisers within the financial services community.»

Regulatory law A senior criminal barrister has criticised the Financial Services Authority's (FSA's) failure to prosecute criminal offences within the sector.

The company also works with several other industries, such as healthcare and financial services, but sees a clear market opportunity now within the law as firms increasingly seek out «New Wave» legal tech applications.

A key player in City financial services disputes, Clare Murray has an «unparalleled» reputation within the claimant area of employment law.

Alexia heads up the In - House Permanent team at LAW Absolute placing qualified lawyers into private, listed and pre IPO organisations with a particular area of expertise within the Financial Services and Insurance markets.

Team members also work closely with other areas of expertise that often go hand - in - hand with immigration, such as corporate and commercial law, commercial litigation, dispute resolution, financial services, intellectual property, labour and employment and mergers and acquisitions, providing immigration advice and services within the context of your overall business needs.

And for good reason — the number of mid - and senior - level female associates in law firms is declining and there continues to be a deficit of women in the leadership ranks within law firms, legal departments, and financial services firms.

According to Sankei Shimbun, the Financial Service Agency is considering the revision of relevant laws and regulations in an effort to regulate ICOs in Japan, amid the growing popularity of token sale activities within the territory.

QUALIFICATION SUMMARY * Offering over 30 years of accounting, auditing, and financial leadership with a broad knowledge of Government procurement laws, regulations, procedures, and principles as they relate to acquisition of services and commodities within the Public Sector State, County and the Federal Governmental agencies..

79 DOS 99 Matter of DOS v. Pagano - disclosure of agency relationships; failure to appear at hearing; proper business practices; unauthorized practice of law; unearned commissions; vicarious liability; fraudulent practice; jurisdiction; ex parte hearing may proceed upon proof of proper service; DOS has jurisdiction after expiration of respondents» licenses as acts of misconduct occurred and the proceedings were commenced while the respondents were licensed; licensee fails to timely provide seller client with agency disclosure form prior to entering into listing agreement and fails to timely provide agency disclosure form to buyer upon first substantive contact; broker fails to make it clear for which party he is acting; broker violates 19 NYCRR 175.24 by using exclusive right to sell listing agreement without mandatory definitions of «exclusive right to sell» and «exclusive agency»; broker breaches fiduciary duties to seller clients by misleading them as to buyer's ability to financially consummate the transaction; broker breaches his fiduciary duty to seller by referring seller to the attorney who represented the buyers when he knew or should have known such attorney could not properly protect seller's interests; improper for broker to use listing agreements providing for broker to retain one half of any deposit if forfeited by buyer as such forfeiture clause could, by its terms, allow broker to retain part of the deposit when broker did not earn a commission; broker must conduct business under name as it appears on license; broker engaged in the unauthorized practice of law in preparing contracts for purchase and sale of real estate which did not contain a clause making it subject to the approval of the parties» attorneys and were not a form recommended by a joint bar / real estate board committee; broker demonstrated untrustworthiness and incompetency in using sales contract which purported to change the terms of the listing agreement to include a higher commission; broker demonstrated untrustworthiness and incompetency in using contracts of sale which were unclear, ambiguous, vague and incomplete; broker failed to amend purchase agreement to reflect amendment to increase deposit amount; broker demonstrated untrustworthiness in back - dating purchase agreements; broker demonstrated untrustworthiness in participating in scheme to have seller hold undisclosed second mortgage and to mislead first mortgagee about the purchaser's financial ability to purchase; broker demonstrated untrustworthiness by claiming unearned commission and filing affidavit of entitlement for unearned commission; DOS fails to establish by substantial evidence that respondent acted as undisclosed dual agent; corporate broker bound by the knowledge acquired by and is responsible for acts committed by its licensees within the actual or apparent scope of their authority; corporate and individual brokers» licenses revoked, no action taken on application for renewal until proof of payment of sum of $ 2,000.00 plus interests for deposits unlawfully retained