SYDNEY, Australia (Thomson Reuters Accelus) - The failure ofhas highlighted loopholes in the Australian regulatory system which allowed the firm to use client money to hedge its own positions with full consent from the Australian Securities and Investments Commission (ASIC). The shortcomings under Australian regulations mean that regulators will be unable to take action if investors' funds have been pooled together and used for hedging purposes.
... and offers our clients financial security.". Mr. Cooper added that CMC's Australian business...
... and laws restricting the repatriation of funds to the franchisor. The advice is sound and needed.... franchise agreements for a new franchisor client. Dozens of hours are typically required to adapt t... is likely to create a false sense of security and lead to failure for franchisors who might use ...
...The attorney-client privilege ranks among the oldestand most estab... with respect to the management of funds belonging to Indiantribes bear some resemblance... other trust arrangements such as Social Security, there would be war"). As Congress has recognized,...
LONDON - The loose-knit hacking movement "Anonymous" claimed Sunday to have stolen thousands of credit card numbers and other personal information belonging to clients of U.S.-based security think tank Stratfor. One hacker said the goal was to pilfer funds from individuals' accounts to give away as Christmas donations, and some victims confirmed unauthorized transactions linked to their credit cards. Anonymous boasted of stealing Stratfor's confidential client list, which includes a range of entities from banks to Apple the U.S. Air Force to the Miami Police Department, and mining it for more than 4,000 credit card numbers, passwords and home addresses.
...17 CFR Parts 275, 276 and 279. Custody of Funds or Securities of Clients by Investment Advisers;. ... and processing of client transactions, security maintenance and setup, processing of income and co...
..., registered investment advisers, RIAs, client assets. On December 30, 2009, the US Securities ...,3 directly or indirectly holds client funds or has any authority to obtain possession of them.... to "client funds and securities" — "security" is defined in Advisers Act Section 202(a)(18), bu...
... recently held that chronic insufficiency of funds in an attorney's client funds account would trigge...," seeking to persuade the victim of the security of the funds. The victim was told it would receive...
WASHINGTON, June 21, 2011 /PRNewswire-USNewswire/ -- Certified Financial Planner Board of Standards, Inc. announces public disciplinary actions against the following individuals' right to use the CFP(R) certification marks, effective immediately or on the date noted in each case. Public disciplinary actions taken by CFP Board, in order of increasing severity, include letters of admonition, suspensions and permanent revocations. The basis for each decision can be found in a Disciplinary Action Report below and on CFP Board's Web site. The public may check on an individual's disciplinary history and certification status with CFP Board at www.CFP.net/search.
... ethical responsibilities to the public, clients and employers. CFP(R) practitioners agree to act f... the client from his own personal funds; and 2) traded a security in his personal securiti...
CPAs subject to the AICPA's Code of Professional Conduct have long had an obligation to keep information learned during the conduct of a client engagement confidential. There are, however, situations in which the obligation to speak may override this duty to remain silent. Rule 301 of the code provides: A member in public practice shall not disclose any confidential client information without the specific consent of the client. This apparently straightforward statement, however, can result in burdensome pitfalls for the practicing public accountant, beginning with several important exceptions within its text. The AICPA has also issued guidance that allows CPAs to disclose confidential client information to their liability insurance carrier (AICPA Professional Standards section ET 391.03...
... be deposited with the IRS to pay Social Security and withholding taxes on the payrolls. In a visit ... all of its customers about the misuse of funds. They refused. The firm then notified the customer...
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