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After stating that the place of all political entities is in parliament, the report notes that the two committees responsible to supervise communications surveillance and how the intelligence services do their job have been prevented from carrying out their duties.
28 November 2014 -- Washington DC-based securities firm regulator The Financial Industry Regulatory Authority (FINRA) said that it has fined Citigroup Global Markets Inc (NYSE: C) USD 15m for failing to adequately supervise communications between its equity research analysts and its clients and Citigroup sales and trading staff and for permitting one of its analysts to participate indirectly in two roadshows promoting IPOs to investors.
15 million for failing to adequately supervise communications between its equity research analysts and its clients and Citigroup sales and trading staff, and for permitting one of its analysts to participate indirectly in two road shows promoting IPOs to investors.
The Financial Industry Regulatory Authority (FINRA) has fined Citigroup Global Markets (NYSE: C) a sum of USD15m as it failed to supervise communications between its equity research analysts and its clients and Citigroup sales and trading staff effectively, The BBR has reported.
15 million for failing over a nine-year period to adequately supervise communications between its equity research analysts and its clients as well as Citigroup sales and trading staff, which resulted in clients receiving improper access to nonpublic research information.
The conflict between protecting employees' privacy under these new laws and the duty to supervise communications may not be easily reconciled in some states.
MDL, filed briefs opposing requests to supervise communications and
Citing the power of courts to supervise communications to putative class
authority of the court to supervise communications.
Motion of Plaintiffs to Supervise Communications Between Defendant &
WASHINGTON -- The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Citigroup Global Markets, UBS Securities and Deutsche Bank Securities a total of $425,000 - and ordered the firms to make payments to customers that could total $420,000 - in connection with the firms' failure to adequately supervise communications with their customers in the initial public offering (IPO) of Vonage, LLC in May 2006.
Her proven abilities to develop and supervise communications, operations and planning strategies are important to our continued business growth," said Portmann.
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- superseding cause
- Superstitious use
- supervise communications
- supervising director
- supervisor of accounts
- supervisor of an estate
- supervisory official
- Supoenaed, mother and son do not want to testify
- supplement to a will
- Supplemental bill
- Supplemental Brief for Appellants
- Supplemental Brief for the Board of Education, Topeka, Kansas
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- Supervielle, Jules
- Supervillain Headquarters
- Supervillain Prisons
- Supervillain Team-Ups
- supervise communications
- Supervised Adaptive Hamming Net
- Supervised agricultural experience
- Supervised Agricultural Experience Program
- Supervised Alternative Learning for Excused Pupils
- Supervised Classification Applied to Road Following
- supervised community treatment
- Supervised Community Treatment Order
- Supervised Discipline Center
- Supervised Doctor of Veterinary Medicine
- supervised fast
- Supervised Flight Operations
- Supervised Growing Neural Gas
- supervised home work classes
- Supervised Independent Living Program
- Supervised Injection Site/Centre/Facility
- Supervised Intensive Restitution
- Supervised Investment Bank Holding Companies
- Supervised Investment Bank Holding Company
- Supervised Learning in Quest
- Supervised Manufacturer's Testing
- supervised neglect
- Supervised On the Job Training
- supervised route
- Supervised Theological Field Education
- Supervised Trials Median Residue
- Supervised Visitation Network
- Supervised Work Experience