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Public hearings | Act in the public interest | About ICAEW

This page gives information about hearings of ICAEW's Tribunals and Appeal Committees, details of future hearings, reports of the findings and other orders made. ....

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Public hearings | Act in the public interest | About ICAEW

This page gives information about hearings of ICAEW's Tribunals and Appeal Committees, details of future hearings, reports of the findings and other orders made. ....

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FINRA and Social Media: 7 Tips to Stay Compliant

FINRA rules apply to social media like any other communications medium. Learn how to build a compliant strategy and avoid common violation risks. ....

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Associate General Counsel

The Assistant General Counsel under limited supervision, leads the development of standards and guidance materials concerning CFP Board’s Code of Ethics and Standards of Conduct; also provides ad hoc assistance with the adjudication of alleged violations of the Code and Standards and general legal matters Essential Functions Assists the General Counsel with the development of standards, including CFP Board’s Code of Ethics and Standards of Conduct, Sanctions Guidelines, Fitness Standards, and Procedural Rules Assists the General Counsel with the development of guidance materials concerning CFP Board’s Code of Ethics and Standards of Conduct, including formal guidance materials and responses to individual requests for guidance submitted via email Works with councils, commissions, and working groups charged with the responsibility of assisting with the development of, and feedback concerning, CFP Board’s standards and guidance materials Develops extensive background m ....

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FINRA Facts and Trends - October 2022 | Bracewell LLP

Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement,. ....

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