Current News. Our primary focus is on consumer and antitrust issues where local action in support of consumers can be relevant and effective. To offer comments, or receive our weekly newsletter, contact the editor at  donresnikoffdonresnikofflaw. The Supreme Court seemed ready at oral argument  to interpret a federal law protecting whistle blowers narrowly, barring many retaliation suits from people who say they were fired for reporting wrongdoing. The plain words of the law, part of the Dodd Frank Act, required that conclusion, justices across the ideological spectrum said. How much clearer could Congress have been Justice Neil M. Gorsuch asked. The question for the justices was who qualified as a whistle blower entitled to protection from retaliation. Most of the justices seemed ready to rely on the definition in the law itself, which defines whistle blower to mean an individual who provides information relating to a violation of the securities laws to the Securities and Exchange Commission. Note Your browser does not support JavaScript or it is turned off. Press the button to proceed. A member of Melbourne Convention Visitors Bureau, Morgan Expo is a leading provider of a range of services, products and solutions for exhibitions, events and. We would like to show you a description here but the site wont allow us. Yahoo Lifestyle is your source for style, beauty, and wellness, including health, inspiring stories, and the latest fashion trends. The definition seemed to exclude people who merely reported wrongdoing to their employers, and some justices said that could have been a drafting oversight. The transcript of the oral argument before the US Supreme Court is here  https www. See NYT article  https www. Leandra Englishs lawsuit defending her right to head the CFPB is here https assets. English Complaint CFPB. From the Complaint Effective at midnight on November 2. Adobe Photoshop Cs Com Serial Interface. Bureaus first Director, Richard Cordray, resigned his post. At that point, plaintiff Leandra English, the Bureaus Deputy Director, became the agencys Acting Director by operation of law. The Dodd Frank Act is clear on this point It mandates that the Deputy Director shall. Director in the absence or unavailability of the Director. U. S. C. 5. 49. B. By statute, she serves in that capacity until such time as the President appoints and the Senate confirms a new Director. See 1. 2 U. S. C. Best-Automated-Forex-Trading-Systems-672x372.jpg' alt='Best Forex System Inc Manual Automated Version 50 Executive Desk' title='Best Forex System Inc Manual Automated Version 50 Executive Desk' />SecurityStudy. Hot Bizzle City Business Classifieds Marketplace offers business automobile electronics fashion household jobs ads realestate list deals shopping s. Best Forex System Inc Manual Automated Version 50 Executive Desk' title='Best Forex System Inc Manual Automated Version 50 Executive Desk' />Case 1 1. Document 1 Filed 1. Page 1 of 9 2 Disregarding this statutory language, President Trump issued a press release on the evening of November 2. PILATES z 2017 leden 2018 1. LEKCE PILATES zahajujeme v z 2017, v pondl na SO tursova a ve stedu na SO Kosinova v Olomouci. DC Consumer Rights Coalition. Paul Alan Levy on bogus Homeland Security summons seeking to identify the owners of a Twitter account hostile to the government agency. Job Interview Practice Test Why Do You Want This Job Answer this job interview question to determine if you are prepared for a successful job interview. Mulvaney, the Director of the White House Office of Management and Budget, as the Bureaus Acting Director. Under this scenario, Mr. Mulvaney would seek to serve indefinitely as the interim head of a statutorily independent agency while simultaneously occupying his current White House post. The President apparently believes that he has authority to appoint Mr. Mulvaney under the Federal Vacancies Reform Act of 1. U. S. C. 3. 34. But the Vacancies Act, by its own terms, does not apply where another statute expressly. U. S. C. 3. 34. Bwhich is exactly what the Dodd Frank Act does. The Trump administration late Friday set up a clash over the leadership of the Consumer Financial Protection Bureau, installing an acting director hours after Richard Cordray told the agency his chief of staff would assume the role at the moment of his departure. Cordray named Leandra English as deputy director, setting her up to become acting director after Cordrays departure. Cordray sent out his resignation letter to staff on Friday, moving up his planned departure a week. His resignation is effective midnight on Friday. Cordray said in a separate letter to the CFPB on Friday In considering how to ensure an orderly succession for this independent agency, I determined that it would be best to avoid leaving this key position filled only in an acting capacity. In consultation over the past few days, I have also come to recognize that appointing the current chief of staff to the deputy director position would minimize operational disruption and provide for a smooth transition given her operational expertise. Hours after Cordrays announcement, President Donald Trump said Mick Mulvaney, director of the Office of Management and Budget, would serve as acting director of the CFPB. The White House said in a statement The president looks forward to seeing Director Mulvaney take a common sense approach to leading the CFPBs dedicated staff, an approach that will empower consumers to make their own financial decisions and facilitate investment in our communities. Director Mulvaney will serve as Acting Director until a permanent director is nominated and confirmed. The move set up a clash over the leadership of the agency. Sen. Elizabeth Warren, D Massachusetts, an architect of the CFPB, tweeted on Friday View image on Twitter. Elizabeth WarrenSen. Warren. The Dodd Frank Act is clear if there is a CFPB Director vacancy, the Deputy Director becomes Acting Director. Donald. Trump cant override that. If there ends up being a dispute about whos the rightful head of the CFPB, the final say will rest with the courts. And if the courts follow the text, structure, and history of Dodd Frank, its clear what they should say Leandra English is currently the acting Director of the CFPB, Brianne Gorod, chief counsel to the Constitutional Accountability Center, wrote late Friday at the blog Take Care. Full article at https www. Cerner deal as another sign Amazon has big plans for healthcareby Mark Brohan  Nov 2. Reportedly, the two companies will announce a business development and technology integration deal whereby Amazon Web Services would provide cloud computing services for Healthe. Intent, Cerners population health management product series. New reports have Amazon. Inc. via its Amazon Web Services unit, moving further into digital healthcare with a new partnership with electronic health records vendor Cerner Corp. If that is indeed the case the move makes lots of sense and opens new potential for both companies, says R. W. Baird senior research analyst Matthew Gilmore who follows healthcare stocks. CNBC has reported that next week Amazon Web Services, the online retailers cloud computing arm, will announce a major new alliance with Cerner at its annual user group meeting. Reportedly, the two companies will announce a business development and technology integration deal whereby Amazon Web Services would provide cloud computing services for Healthe. Intent, Cerners population health management product series. Amazon and Cerner have yet to talk publicly about the proposed deal. The expanded relationship will also leverage AWSs analytics capabilities and global data. Population Health Management is the aggregation of patient data from many sources into a single electronic patient record. Healthe. Intent is a cloud based, population health management system that Cerner says can receive data from any electronic health record, existing healthcare information technology system and other data sources, such as pharmacy benefits managers or insurance claims. Big health systems such as Carolinas Health. Care in Charlotte, NC, are using Healthe. Intent to better manage more than 1. Cerner already utilizes Amazon Web Services for storage services, but it is reportedly set to use AWS for a broader range of cloud computing services to support Healthe. Intent. If that is case, Cerner be able to offer better cloud computing services to major hospital clients at time when many are looking to replace outdated legacy systems with cloud based software. In return Amazon, via Amazon Web Services, gets broader access to the mainstream health systems and hospital information technology market, says Gilmore. We believe Cerners population health platform, Healthe. OSC Staff Notice 3. Annual Summary Report for Dealers, Advisers and Investment Fund Managers PDF Version. Annual Summary Report for Dealers, Advisers and Investment Fund Managers. Compliance and. OSC Staff Notice 3. July 1. 1, 2. 01. Table of Contents. Introduction. 71. Outreach to registrants. Registrant Outreach program. OSC Launch. Pad. 14. Registrant Advisory Committee. Communication tools for registrants. Topical Guide for Registrants. Directors decisions by topic and by year. Registration of firms and individuals. Update on registration initiatives. Current trends in deficiencies and acceptable practices. Information for dealers, advisers and investment fund managers. All registrants. 32. Dealers EMDs and SPDs4. Advisers PMs5. 73. Investment fund managers. Acting on registrant misconduct. Key policy initiatives impacting registrants. Syndicated mortgages. Targeted reforms and best interest standard. Review of compensation practices. Proposed amendments to registration rules for dealers, advisers and investment fund managers. Derivatives regulation. Dealers and advisers servicing foreign resident clients from Ontario. Independent dispute resolution services for registrants. Proposed exemptions for distributions of securities outside of Canada. Efforts to move to T2 settlement cycle. International Organization of Securities Commissions IOSCO Committee 3 Market Intermediaries C39. Additional resources. Appendix A contact information for registrants. DIRECTORS MESSAGEFor the 2. Compliance and Registrant Regulation CRR Branch continues to focus on conducting compliance reviews, our registrant outreach program, and various policy initiatives. We continue to strive for strong and open lines of communication with registrants and look for ways to better achieve this goal. In the past year, the Ontario Securities Commission OSC introduced the OSC Launch. Pad. OSC Launch. Pad is the first dedicated team assembled by a securities regulator in Canada to provide direct support to eligible financial technology businesses in navigating the regulatory requirements. Additional information regarding the initiative can be found at OSC Launch. Pads dedicated site. Our Registrant Outreach program continues to be very popular and well attended by registrants. For those of you who may have missed a topic or would like to refresh what you previously heard, you can find the materials from past sessions on the Registrant Outreach web page. We would like to take this opportunity and remind registrants that Know your client KYC and suitability are fundamental obligations that registrants owe to their clients. However, these areas continue to be the top deficiencies noted in compliance reviews for all registrant categories. Firms need to do more to focus their resources in these areas to reduce the number of deficiencies. Firms play an important gatekeeper role in the registration regime. As such, firms need to provide complete and accurate information in all registration applications filed with us. Firms are also encouraged to assess their existing policies and procedures relating to the due diligence reviews they conduct on applicants that they put forward for registration. As gatekeepers, firms are responsible for assessing that the applicants they sponsor have the required proficiency, integrity and are a suitable candidate to represent their firm. Investors must always be a priority and we expect firms to process transfer requests in a timely and efficient manner without unnecessary delays. We will take issue with any anti competitive practices in relation to requests from clients to transfer their assets to another firm. This year, we are focusing our compliance reviews in the following areas firms who have a significant number of senior investors as clients, compliance with the new prospectus exemptions that came into force in fiscal 2. Risk Assessment Questionnaire the 2. RAQ, and firms that participated in the Registration as the First Compliance Review program to assess their compliance after participating in the program. CRR is also involved in a number of projects that have impacted or will impact the regulatory landscape in Ontario. These initiatives include Syndicated mortgages as detailed in the 2. Ontario Budget, the government plans to transfer regulatory oversight of syndicated mortgage investments from the Financial Services Commission of Ontario FSCO to the OSC. The OSC will be working with the government and FSCO to plan an orderly transfer of the oversight of these products. Targeted Reforms and Best Interest Standard projects the objective of these projects are to enhance the obligations that dealers and advisers owe to their clients. Review of compensation practices we will continue to review the compensation practices of firms to inform our views of the potential material conflicts of interest that arise from certain compensation arrangements. Publication of amendments to National Instrument 3. Registration Requirements, Exemptions and Ongoing Registrant Obligations pertaining to custody requirements, CRM 2 and exempt market dealer activities these amendments are designed to provide further clarity to registrants and enhance compliance. Financial planning On November 1, 2. Final Report from the Expert Committee appointed by the Minister of Finance was published with policy recommendations on regulating financial planning. The OSC is working with the government and other stakeholders to respond to the recommendations of the Expert Committee. Over the course of the last few years we have increased the number of compliance reviews, provided additional guidance to industry on various topics and areas of concern and introduced and enhanced our Registrant Outreach program. We are hopeful that these additional activities have had a positive impact on overall compliance by registrants. There appears to be some evidence of this as the firms selected for review last year had fewer significant deficiencies than in the prior year. We are encouraged that firms are more aware of compliance issues and are responding to them more effectively. We look forward to continuing to build on these improvements and our relationship with firms in the current year. Debra Foubert. Director, Compliance and Registrant Regulation Branch. Introduction. This annual summary report prepared by the CRR Branch this annual report or report provides information for registered firms and individuals collectively, registrants that are directly regulated by the OSC. These registrants primarily include exempt market dealers EMDs, scholarship plan dealers SPDs, advisers portfolio managers or PMs, and investment fund managers IFMs. The CRR Branch registers and oversees firms and individuals that trade or advise in securities or act as IFMs in Ontario. Individuals. Firms. PMs. EMDs. SPDs. IFMs. This number excludes firms registered as mutual fund dealers or firms registered solely in the category of investment dealer or other registration categories commodity trading manager, futures commission merchant, restricted PM, and restricted dealer. This number includes firms registered as sole PMs and PMs also registered as EMDs, and in other registration categories. This number includes firms registered as sole EMDs and EMDs also registered in other registration categories. This number includes sole IFMs and IFMs registered in multiple registration categories.