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Document Mentions (5 shared documents)
2 mentions1 same-page
Page ?Same page
n 2011, Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. (collectively "Raymond James") settled with most of the states, Puerto Rico, the Virgin Islands, and the District of Columbia allegations that they failed to supervise and/or engaged in dishonest or unethical practices (o
ated as "attributable" to withholdable payments. The United Kingdom and the United States have entered into a Model 1 intergovernmental agreement (the "U.S. IGA") relating to FATCA, and the United Kingdom has brought into law regulations to implement the provisions of the U.S. IGA (such regulations and any
2 mentions1 same-page
Page ?Same page
n 2011, Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. (collectively "Raymond James") settled with most of the states, Puerto Rico, the Virgin Islands, and the District of Columbia allegations that they failed to supervise and/or engaged in dishonest or unethical practices (o
ated as "attributable" to withholdable payments. The United Kingdom and the United States have entered into a Model 1 intergovernmental agreement (the "U.S. IGA") relating to FATCA, and the United Kingdom has brought into law regulations to implement the provisions of the U.S. IGA (such regulations and any
2 mentions1 same-page
Page ?Same page
n 2011, Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. (collectively "Raymond James") settled with most of the states, Puerto Rico, the Virgin Islands, and the District of Columbia allegations that they failed to supervise and/or engaged in dishonest or unethical practices (o
ated as "attributable" to withholdable payments. The United Kingdom and the United States have entered into a Model 1 intergovernmental agreement (the "U.S. IGA") relating to FATCA, and the United Kingdom has brought into law regulations to implement the provisions of the U.S. IGA (such regulations and any
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2 mentions1 same-page
Page ?Same page
n 2011, Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. (collectively "Raymond James") settled with most of the states, Puerto Rico, the Virgin Islands, and the District of Columbia allegations that they failed to supervise and/or engaged in dishonest or unethical practices (o
ated as "attributable" to withholdable payments. The United Kingdom and the United States have entered into a Model 1 intergovernmental agreement (the "U.S. IGA") relating to FATCA, and the United Kingdom has brought into law regulations to implement the provisions of the U.S. IGA (such regulations and any
2 mentions1 same-page
Page ?Same page
n 2011, Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. (collectively "Raymond James") settled with most of the states, Puerto Rico, the Virgin Islands, and the District of Columbia allegations that they failed to supervise and/or engaged in dishonest or unethical practices (o
ated as "attributable" to withholdable payments. The United Kingdom and the United States have entered into a Model 1 intergovernmental agreement (the "U.S. IGA") relating to FATCA, and the United Kingdom has brought into law regulations to implement the provisions of the U.S. IGA (such regulations and any
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Mutual Connections (58)
Entities connected to both Puerto Rico and the "U.S. IGA"
the Securities and Exchange Commission
ORGANIZATION134 w/ Puerto·5 w/ the
Prince Charles
PERSON119 w/ Puerto·5 w/ the
New York State
LOCATION57 w/ Puerto·5 w/ the
RJ
Raymond James'
PERSON41 w/ Puerto·5 w/ the
United Kingdom
LOCATION39 w/ Puerto·5 w/ the
Denmark
LOCATION32 w/ Puerto·5 w/ the
the U.S. Investment Company Act
ORGANIZATION31 w/ Puerto·5 w/ the
Columbia University
LOCATION27 w/ Puerto·5 w/ the
Credit Suisse
ORGANIZATION26 w/ Puerto·5 w/ the
European Union
ORGANIZATION26 w/ Puerto·5 w/ the
CREDIT SUISSE SECURITIES (USA) LLC
ORGANIZATION23 w/ Puerto·5 w/ the
Finland
LOCATION20 w/ Puerto·5 w/ the
Ontario
LOCATION17 w/ Puerto·5 w/ the
Wales
LOCATION16 w/ Puerto·5 w/ the
Glendower
LOCATION10 w/ Puerto·5 w/ the
Glendower Capital
ORGANIZATION10 w/ Puerto·5 w/ the
Raymond James & Associates, Inc.
ORGANIZATION10 w/ Puerto·5 w/ the
Davies
ORGANIZATION9 w/ Puerto·5 w/ the
Macau
LOCATION8 w/ Puerto·5 w/ the
the Cayman Islands
LOCATION8 w/ Puerto·5 w/ the