Trade Brains

SEPTEMBER 26, 2024

NSE also oversees compliance by its members and listed companies with relevant rules and regulations. Furthermore, it claims 59% in currency derivatives and 79% in interest rate derivatives in India, as of 2016. The exchange also received the CII EXIM Bank Excellence Prize in 2014 and 2016.

Compliance 90

Compliance Banking Management Risk Management 90

Trade Brains

MAY 6, 2023

At its height spanning 14 years between 2002 and 2016, the company went on an acquisition spree. The majority of the issues related to Yes Bank were related to corporate governance and compliance. Yes Bank however under-reported its NPA by a huge margin from 2016-2018 in an attempt to mislead its investors.

Banking 52

Banking License Government Investing 52

The Big Picture

AUGUST 20, 2024

We were one of the last to get what’s called a value added license to the compus stat database. So any compliance people listening, I’m just spitballing here. Stumbled across our stuff and reached out and said, Hey, could you link this to the public equity databases like Compus stat so we could use it for valuing stocks?

Assets 173

Assets Management Portfolio Taxes 173

Brown Advisory

JANUARY 1, 2023

The business has progressed during the past three years as a result of strategic objectives on business digitisation, continued investment into the Premier Agency sales model, and expansion within mainland China through new provincial license approvals. In China alone, we believe AIA still has meaningful growth opportunities.

Investing 52

Investing Investments Valuation Clients 52

The Big Picture

JANUARY 24, 2023

RITHOLTZ: — and having the guy — the attendant asked me, do you have an even number or odd number license plate? RITHOLTZ: My answer was, I’m 11, I don’t have a license plate, just give the kid a gallon of gas. KLINSKY: Right. Do you target specific returns for different types of investment?

Investing 263

Investing Investments Numbers Banking 263

The Big Picture

SEPTEMBER 5, 2023

And so it’s become more and more heated to the point where the appraisal subcommittee, which is allowed to monitor and review the appraisal foundation, the appraisal foundation is basically to maintain the verbiage of our license, our certification, what we’re supposed to do. RITHOLTZ: 44, I mean, it’s there for the taking.

Sales 130

Sales Numbers Taxes Marketing 130

Sara Grillo

SEPTEMBER 26, 2022

In addition to his formal Education Robert Wright holds his FINRA Series 7 and 66 licenses, is a CERTIFIED FINANCIAL PLANNER Professional and holds Georgia Resident Life and Health Insurance. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59