While the legal, regulatory and compliance aspects of the soft dollar business have assumed greater prominence in recent years and the penalties for non-compliance by money managers can be severe, most soft dollar firms are not owned or managed by individuals with significantly-relevant legal, regulatory or compliance backgrounds.
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Add to this mix legal and regulatory requirements that require extremely careful reporting of information, and it becomes clear that corporations must implement sound legal contract management principles in order to ensure the efficient use of both resources per se and those specifically within the scope of those agreements.
But the information industry is inherently fascinating beyond its unique legal, regulatory and security challenges.
Rather, we will continue to focus on building robust and reliable legal and regulatory frameworks.
Instead, look into private-public partnerships, but be careful with the legal and regulatory framework.
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And then as funds have be registered with SEC, there are growing legal and regulatory costs to consider.
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It docks those with antitakeover defenses (Amgen), problem directors (Bank of America) and legal or regulatory problems (Merrill Lynch).
There may be other legal and regulatory compliance issues hiding in Berkshire Hathaway.
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This framework structures an original synthesis of empirical research and case studies of selected technical, legal and regulatory trends.
These private banks are not required to comply with the same legal and regulatory standards that apply to U.S. money managers.
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And it will create tremendous legal and regulatory uncertainty for Goldman Sachs, which the market hates more than almost anything else.
But no factor was more important than the financial, legal, regulatory and trust environment that fostered relationships between ICBs and small businesses.
But this is purely a problem with the CA legal and regulatory system, and that is where it needs to be fixed.
The members of its task force already have identified 20 cost-free paths to growth, primarily in the areas of legal and regulatory reform.
For technology to advance, the legal and regulatory system will need to accept that driverless cars sound risky only compared with cars driven by error-prone humans.
It centres on equipping Americans to compete in the global economy by reducing tax, trade, legal and regulatory burdens as well as revamping education and training.
Still, Evans added, government must play a significant enough role to create a legal and regulatory atmosphere conducive to the proper, profitable application of private capital.
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Asset-backed securities are incredibly complex structured investments that, before they could be sold to the public, required myriad legal, regulatory, tax and other opinions and approvals.
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Those of us who would like to help you avoid financial pitfalls are fighting an uphill battle where the legal and regulatory system is often a hindrance.
On the legal and regulatory front, Unum reached a multistate regulatory settlement agreement on its claims practices in 2004 and agreed to reassess thousands of denied disability claims.
Chris Norris, of the National Landlords Association, which seeks a legal and regulatory environment for landlords and tenants, said it supported Shelter's calls for more to be done.
The Conference recommended that regional governments consider harmonising policies and the legal and regulatory framework for the development of public service broadcasting which should be independent of direct political control.
As detailed in a recent survey of business owners by Thumbtack, most of the legal and regulatory reform that needs to happen to help entrepreneurs is at the state and local level.
Firms openly flout the prohibitions regarding audit partner compensation tied to business development and still struggle mightily with enforcement of legal and regulatory compliance activities such as independence and rules against insider trading.
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Given our due diligence to date, we anticipate that the remaining due diligence would focus on key business, accounting, legal and regulatory matters and could be completed quickly, assuming full cooperation of Dell and its advisors.
Officials also pledged legal and regulatory reforms, including amendments to the Bankruptcy Act to speed up collateral collection by creditors, tighter supervision and examination of accounts of financial institutions, and tougher disclosure requirements to promote transparency.
With the facts of the investment or transaction understood, the transactional lawyer must then map out not merely the transactional documents, but also the legal and regulatory issues to be dealt with to achieve the desired end.
Under the chair of Arley Gill (Grenada), the Committee will examine the periodic reports submitted by 16 States Parties to the convention regarding legal, regulatory or other measures taken to safeguard intangible cultural heritage in their countries.
Basic legal and regulatory compliance issues start the minute you buy or rent a building, hire your first employee, borrow money from a bank, manufacture a product or deliver a service, and seek to deliver a return to investors.
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When signing the Convention, States Parties commit to identifying sites for potential inscription and to preserving sites on the World Heritage List, as well as sites of national and regional importance, notably by providing an appropriate legal and regulatory framework.
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