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There is a need for more stringent business conduct standards.
The derivatives would have to adhere to other Dodd-Frank rules, including business conduct standards.
States, not the federal government, license certified public accountants, setting education, training and professional conduct standards.
The disparity in conduct standards has sown some animosity among the teachers.
Swap Dealers and MSPs are subject to CFTC rules that establish external business conduct standards.
Cross-reference to employees ethical conduct standards and financial disclosure regulations.
Similar(32)
Firms should be able to demonstrate that they have conducted adviser training on the "impartial conduct" standard.
Many decisions apply a "course of conduct" standard in which related acts or omissions are combined into a single violation for purposes of calculating civil money penalties.
Judge Foelak is most receptive to the common "course of conduct" standard, in which related acts are combined into a single unit of violation.
Remember, as the plan sponsor you are responsible for the vendor meeting the impartial conduct standard.
The FCC similarly embraced a different standard to police net neutrality violations in 2010 (the nondiscrimination standard) and again in 2015 (the general conduct standard).
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Justyna Jupowicz-Kozak
CEO of Professional Science Editing for Scientists @ prosciediting.com