Carl Wright of Cartel Client review, one of the claims management companies involved in the test cases, welcomed the OFT's views.
The client should review the return, and the return preparer should ask the client to verify that all figures are correct, the correct boxes are checked, and so on.
Furthermore, these affiliated brokerage firms also sell services to the very same money managers that the consultants review in client searches.
He said senior executive Steve Ross had been appointed to the new position of client data compliance officer to review Bloomberg's policies.
The magnitude of the conflicts was so great, Winter wrote, that each client would need his own lawyer to review the 29-page DRSA to figure out whether he should sign the agreement with Leeds Morelli.
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Ali Fazel, who is the court appointed lawyer for Stanford, wanted a delay in the trial because his client had not had enough time to review massive numbers of documents and help in the defense strategy.
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"The client signs off on it, and you review it together once a year at least, " Mr. Grande says.
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Mr. Maneshinde said he would consider filing a review petition of the decision on his client's behalf after seeing the judgment.
The fraud was discovered when the accounting firm I was working for at the time discovered it during a due diligence review that we were performing on behalf of our client that was going to purchase Cenco.
Ultimately, the AWC alleged that Hesse had failed to reasonably supervise President Esposito and also failed to reasonably review the trades and wire transmissions directed by the Client for potentially suspicious activity and other irregularities, in violation of NASD Conduct Rules 3010 and 2110 and FINRA Rule 2010.
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When I review institutional portfolios, I regularly request, receive and review non-public SEC deficiency letters of firms handling client assets.
Ordinarily I review documents before they are submitted to the IRS on behalf of my client.
Both have vowed to review any rating issued by an employee who leaves to work for a client.
US-based GAAP and SEC reporting experts in the global audit firms review the workpapers behind the filings for every non-US based audit client that is listed on a US stock exchange, all over the world, before any filing with the SEC.
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