Late Tuesday, Gerova, a Bermuda-based, Cayman Islands-registered firm that describes itself as a reinsurer, announced yet another glitch in its bid to find new leadership.
Auditor Access: A broker-dealer that maintains custody of customer securities and cash or clears transactions would have to allow SEC and SRO examiners to access the work papers of the registered public accounting firm that audits the broker-dealer and discuss any findings with the personnel of the registered public accounting firm.
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Caithness Solutions comprises of Cheshire-registered engineering firm Amec and Salt Lake City-based nuclear services company EnergySolutions.
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Settlements with Price Waterhouse (PW) India, the US-registered audit firm of PricewaterhouseCoopers (PwC), and Satyam, the Indian outsourcing company that blew up in a dramatically public and fraudulent fashion in early 2009, will probably provide significant ammunition to private lawsuits still pending in New York and court hearings in India.
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In fact, it is a multinational firm registered for tax purposes in the Netherlands Antilles.
Chad Brand is the managing partner at Peridot Capital, a Registered Investment Advisory firm out of Pittsburgh.
Michael Kay is President of Financial Focus, LLC, an Independent Registered Investment Advisory firm based in Livingston, New Jersey.
Some private equity firms, like Blackstone, are public companies and are required under SEC rules to have a registered public accounting firm audit.
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As of fiscal years ending after December 31, 2008 the financial statements of non-public broker-dealers must be certified by a PCAOB-registered public accounting firm.
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Mr. Moenning is a full-time professional money manager and is the President and Chief Investment Strategist for his Chicago based SEC Registered Investment Advisory firm.
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The IGT 2010 proxy goes on to say that the Audit Committee conducted a competitive process to select an independent registered public accounting firm for the 2011 fiscal year.
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In addition to its legal services, the firm registered as an agent of a foreign principal under the Foreign Agents Registration Act of 1938 (FARA) as well as the Lobbying Disclosure Act of 1995 (LDA) to press the Kuwaiti detainees' cause on Capitol Hill.
However, we can provide no assurance at this time that management will be able to report that our internal control over financial reporting is effective as of December 31, 2012, or that our registered public accounting firm will be able to attest that such internal controls are effective.
Audit Enhancements: A broker-dealer that maintains custody of customer securities and cash would be required to undergo a compliance examination by a Public Company Accounting Oversight Board-registered public accounting firm that would include an audit of the controls the broker-dealer has in place to protect customer assets.
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Rapley entered the securities industry in 1995 and was registered with FINRA member firm Andrew Garrett, Inc. during the times relevant to this matter.
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Gulan entered the securities industry in 1998 and by December 2002 was registered with FINRA member firm Fintegra, LLC, where he remained until May 10, 2011.
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In 2008, Royal Bank of Canada and FBW announced a merger agreement whereby RBC Dain Rauscher Inc. acquired FBW. Subsequently, Kuta subsequently was registered with FINRA member firm RBC Capital Markets Corporation from March through September 2009.
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Section 17(e) of the Securities Exchange Act of 1934 (as amended by the Sarbanes-Oxley Act of 2002) requires every registered broker or dealer to annually file certain financial statements with the SEC that are certified by an audit firm that is also registered with the PCAOB.
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Scott is indicated as not having been registered with a FINRA member firm since August 2011.
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The registered person did not give specific tax advice and in fact Claimants received numerous documents notifying them that neither the registered person nor the member firm was in the business of giving tax advice.
Starting in 2008 and continuing to the present day, we read of increasing numbers of cases involving so-called trading platforms, FOREX scams, and all sorts of odd investment opportunities offered by registered persons to their brokerage firm customers.
FORBES: FOREX Private Securities Transactions Earn Stockbroker Fine And Suspension
As such, the Respondents may have taken the position that Medical Capital perpetrated a fraud on the market as a whole, and that the brokerage firm and its registered person were similarly duped by the falsehoods and misrepresentations.
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Nominee directors and shareholders will be registered at Companies House without the firm's real shareholders or directors being revealed.
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There is only one independent audit firm in Saudi Arabia registered with the PCAOB and it has never been inspected.
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The Central Bureau of Investigation (CBI) said it had registered a criminal case against the firm and its Italian parent company Finmeccanica.
They are registered with the PCAOB to cover the dozen or SEC registered clients they support and the firm was inspected most recently in 2009.
This arrangement, run by Amazon, a large internet firm, pays people registered with it (known as Turkers) small sums of money to do jobs for others.
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The SEC alleges that JMA is not registered or licensed as an accounting firm, and that its website was paid for by a Murray-controlled entity.
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Although the firm's founders registered the Dagadu Djokdja trademark a few years ago, they say they have received no help from the local government in staunching the flood of pirated Dagadu products.
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