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Stipulation and Consent to Issuance of an Order of Prohibition, Lenard
- I Y I ” .., UNITED STATES OF AMERICA Before The l OFFICE OF THRIFT SUPERVISION In the Matter of ; OTS Order No. SF-97-007 LENARD CAWTA. j Dated: -oh 88. 1997 Former Employee and Institution-Affiliated Party of CALIFORNIA FEDERAL BANK, A F.S.B.; San Francisco, California. ! I STIPULATION AND CONSENT TO ISSUANCE OF AN ORDER OF PROHIBITION WHEREAS, the Office of Thrift Supervision ("OTS"), based upon information derived from the exercise of its regulatory responsibilities, has informed Lenard Canta ("CAWTA"), a former employee and institution-affiliated party of California Federal Bank, a F.S.B. ("CalFed" or "the Association"), OTS No. 5099, that the OTS is of the opinion that the grounds exist to initiate an administrative prohibition proceeding against CAWTA pursuant to 12 U.S.C. B 1818(e)'; and WHEREAS, CAWTA desires to cooperate with the OTS to avoid the time and expense of such administrative litigation and, without admitting or denying that such grounds exist, but admitting the statements and conclusions in Paragraph 1 below, hereby stipulates and agrees to the following terms: 'All references in this Stipulation and Consent and the Order of Prohibition to the U.S.C. are as amended. - _I 1. Jurisdiction. l (a) CalFed, at all times relevant hereto, was a "savings association" within the meaning of 12 U.S.C. § 1813(b) and Section 2(4) of the Home Owners' Loan Act, 12 U.S.C. 0 1462(4). Accordingly, CalFed is an "insured depository institution" as that term is defined in 12 U.S.C. § 1813(c). (b) CANTA, as a former employee of CalFed, isdeemed to be an "institution-affiliated party" as that term is defined in (12 U.S.C. -
Jefferies Financial Group Inc. 2019 Investor Meeting
Jefferies Financial Group Inc. 2019 Investor Meeting Wednesday, October 16, 2019 Presentations and Q&A Note on Forward Looking Statements Certain statements contained herein may constitute "forward-looking statements," within the meaning of Section 27A of the Securities Act of 1933, Section 21E of the Securities Exchange Act of 1934 and/or the Private Securities Litigation Reform Act of 1995, regarding Jefferies Financial Group Inc., Jefferies Group LLC, Spectrum Brands Holdings, Inc. and Global Brokerage, Inc., and their respective subsidiaries. These forward-looking statements reflect the respective issuer’s current views relating to, among other things, future revenues, earnings, operations, and other financial results, and may include statements of future performance, plans, and objectives. Forward-looking statements may also include statements pertaining to an issuer’s strategies for the future development of its business and products. These forward- looking statements are not historical facts and are based on the respective issuer’s management expectations, estimates, projections, beliefs and certain other assumptions, many of which, by their nature, are inherently uncertain and beyond management’s control. It is possible that the actual results may differ, possibly materially, from the anticipated results indicated in these forward-looking statements. Accordingly, readers are cautioned that any such forward-looking statements are not guarantees of future performance and are subject to certain risks, uncertainties and assumptions that are difficult to predict including, without limitation, the cautionary statements and risks set forth in the respective issuer’s Annual and Quarterly Reports and other reports or documents filed with, or furnished to, the SEC from time to time, which are accessible on the SEC website at sec.gov. -
2Nd Quarter 2021 SWMG Newsletter
June 2021 MAIN OFFICE Market Summary FLINT, MICHIGAN 5206 Gateway Centre, Suite 300 Flint, MI 48507 The economic recovery is on very solid ground and stronger than Phone: 810-732-7411 many expected. For the first quarter, our economy grew 6.4% as Fax: 810-732-8190 measured by GDP*. Second quarter growth could very well be in FLORIDA OFFICE 712 S. Oregon Ave. double digits and would put us back to where we were in the fourth Tampa, FL 33606 quarter of 2019 before the pandemic began. The market returns Phone: 813-251-1879 Fax: 813-251-1716 reflect a strong economic recovery and continued stimulus as the PEARL PLANNING S&P 500 now sits at or near all-time highs. Last year, the number of 8031 Main Street, Suite 302 stocks that had positive returns were dominated by very few. This Dexter, MI 48130 Phone: 734-274-6744 year, they are much more broadly reflected, especially given the Fax: 734-274-6754 recovery of the energy, hospitality and travel sectors. StephensWMG.com Interest rates rose slightly for a period before the Federal Reserve FINANCIAL MARKET clarified their position and comments from earlier in June. The fear UPDATE* Year-to-date change as of 06/30/21 is that rising inflation will lead to rising interest rates. Recent comments from the Federal Reserve Open Market Committee • S&P 500 Index…………………15.25% indicate they are expecting future inflation to be in the 3.4% range. • Bloomberg Commodity Index….....21.15% The Fed Reserve Chair, Jerome Powell, subsequently reassured that • MSCI EAFE $$ (International)…....…8.83% there is no plan to raise rates in the short-term. -
Market Perspectives
Market Perspectives Jason Castelli, CFA February 19, 2021 A Walk Down Memory Lane Over my 20+ year career in the financial services industry, I've experienced the tech Investment Strategy Team wreck, 9/11, the subprime lending and US housing crisis, the near-collapse of the global financial system, the massive interventions taken by central banks and Jason Castelli, CFA governments, a trade war between the two largest global economies and most Larbi Moumni, CFA recently, a historic recession brought on by a global pandemic. I've seen the rise and Nadeem Kassam, MBA, CFA fall of Canadian titans like Nortel, Research in Motion (now BlackBerry) and Valeant Pharmaceutical (now Bausch Health Co.), outright fraud with Bre-x Minerals and Sino- Forest, and of course, the egregious deception by rating agencies, US mortgage Mutual Funds & ETFs lenders and investment banks unloading worthless paper on unsuspecting purchasers. While it is human nature to remember adverse events so that we can avoid repeating Spencer Barnes, MSc, CIM® past mistakes, there have been many positives. First, from the first day I started in the industry, the S&P/TSX and S&P 500 have gained a cumulative 157% and 182% (not including dividends), respectively. This is impressive wealth creation despite the historical turmoil. We've seen significant technological advances in areas like Structured Notes & telecommunications, robotics and artificial intelligence, resulting in shifts in how we Alternatives work, communicate and live our personal lives. We're on the cusp of commercializing Chris Cafley, CFA space, which will open up another new wave of innovation. -
Instructions for Using This Powerpoint Template
2018 Interim Results For the six months ended 31 March 2018 Presentation and Investor Discussion Pack Westpac Banking Corporation | ABN 33 007 457 141 Westpac 2018 Interim Results index 2018 Interim Result Presentation 3 Image on front Investor Discussion Pack of 2018 Interim Result 28 The Westpac Rescue Helicopter Service in action Strategy 29 Image on right Overview 35 Performance discipline 38 Westpac head office, 275 Kent Street, Service leadership 40 Sydney Workforce revolution 42 Digital transformation 43 Sustainable futures 50 Earnings drivers 53 Revenue 54 Expenses 59 Impairment charges 61 Credit quality 62 Capital, Funding and Liquidity 84 Divisional results 95 Consumer Bank 96 Business Bank 99 BT Financial Group 102 Westpac Institutional Bank 106 Westpac New Zealand 109 Economics 115 Appendix and Disclaimer 130 Contact us 138 139 Disclaimer Brian Hartzer Chief Executive Officer WestpacFinancial results Banking based on Corporation cash earnings unless| ABN otherwise 33 007 stated 457 141 Refer page 36 for definition. Results principally cover the 1H18, 2H17 and 1H17 periods Comparison of 1H18 versus 2H17 (unless otherwise stated) 4 Consistency delivers • Cash earnings up 5% on 2H17 and 6% on 1H17 • Operating divisions performing well – all increased core earnings • Maintained discipline – prioritised return over growth • Increasing traction on efficiency • Continuing to build long-term franchise value • Well positioned for the changing landscape • Remain positive on the economic outlook Westpac Group 2018 Interim Results Presentation & Investor Discussion Pack 5 Headline results Change Change 1H18 1H18 – 2H17 1H18 – 1H17 Reported net profit after tax $4,198m 3% 7% Cash earnings $4,251m 5% 6% Cash EPS1 125.0c 4% 4% Common equity Tier 1 capital ratio2 10.5% (6bps) 53bps 3 Return on equity (ROE) 14.0% 37bps 1bp Net tangible assets per share $15.00 2% 5% 4 Margin (excl. -
2016 National Interagency Community Reinvestment Conference
February 7-10, 2016 Los Angeles, CA Sponsored by Federal Reserve Bank of San Francisco Federal Deposit Insurance Corporation Office of the Comptroller of the Currency Community Development Financial Institutions Fund JW Marriott at L.A. Live 900 West Olympic Boulevard Los Angeles, CA 90015 213-765-8600 Conference Registration Diamond Ballroom Plaza To Conference Ballrooms Ź Studio 3 Atrium Platinum Ballroom Olympic Studios 1, 2 Gold Ballroom 2 elcome to the 2016 National Interagency Community Reinvestment Conference and [V3VZ(UNLSLZHJP[`[OH[L_LTWSPÄLZIV[O[OLJOHSSLUNLZHUKVWWVY[\UP[PLZMHJPUN[OL Wcommunity development sector. Economic opportunity does not happen in a vacuum: it takes a coordinated approach to housing, LK\JH[PVUW\ISPJZHML[`OLHS[OJHYL[YHUZWVY[H[PVUHUKQVIZ6]LY[OLUL_[[OYLLKH`Z^L^PSS L_WSVYL[OLWH[O^H`Z[VVWWVY[\UP[`[OH[JHUJYLH[L]PIYHU[ULPNOIVYOVVKZMVYHSS(TLYPJHUZ >OL[OLY`V\»YLHIHURLYKL]LSVWLYVYJVTT\UP[`SLHKLY^LOVWL`V\^PSS[HRLM\SSHK]HU[HNLVM [OLSLHYUPUNHUKUL[^VYRPUNVWWVY[\UP[PLZ[OPZJVUMLYLUJLVMMLYZ;OLCRA Compliance track features an interagency team of top examiners from around the country. Sessions in this track cover virtually L]LY`HZWLJ[VM[OL*9(L_HTPUH[PVUWYVJLZZMVYHSSPUZ[P[\[PVUZPaLZHUKPUJS\KLILZ[WYHJ[PJLZ[OH[ L]LU[OLTVZ[L_WLYPLUJLK*9(VMÄJLYZ^PSSÄUK\ZLM\S ;OLZLZZPVUZPU[OLCommunity Development Policy and Practice trackOPNOSPNO[PUUV]H[P]LÄUHUJPUN Z[Y\J[\YLZZ[YH[LNPLZHUKWHY[ULYZOPWTVKLSZHPTLKH[I\PSKPUNWH[O^H`Z[VLJVUVTPJVWWVY[\UP[` PUSV^LYPUJVTLJVTT\UP[PLZ-VY^L»]LHKKLKHZLYPLZVM^VYRZOVWZLZZPVUZKLZPNULK[VIL ZRPSSI\PSKPUNVWWVY[\UP[PLZMVYWHY[PJPWHU[Z -
Raymond James Strengthens Its Leadership with Montreal Branch Manager Appointment Micol Haimson Joins the Firm
Raymond James strengthens its leadership with Montreal Branch Manager Appointment Micol Haimson Joins the Firm MONTREAL and TORONTO, April 30, 2019 /CNW/ - Raymond James Ltd., the Canadian arm of North American investment dealer Raymond James Financial, Inc., today announced that Micol Haimson has been appointed Senior Vice President and Branch Manager of the firm's Montreal Private Client Group flagship branch. "Micol is widely respected throughout the industry for her breadth of wealth experience and business development acumen," said Richard Rousseau, Executive Vice-President – Head of Wealth Management. "She will play a key role in supporting our Montreal advisors as they grow their businesses and she will help expand the Raymond James presence as we continue to attract high calibre professionals to the firm." Ms Haimson joins Raymond James after a 20 year career of senior executive roles in wealth management at a major Canadian bank. She will be focusing on growing the Private Client Group footprint in Montreal, supporting advisors and attracting top wealth management professionals to the firm. "I am excited to join Raymond James as I believe its platform uniquely serves the wealth management needs of Quebec investors and their families," says Ms Haimson. "As the nation's leading independent investment dealer and a global leader in wealth management, Raymond James provides its clients with the best of both worlds to meet their total wealth management needs." Ms Haimson earned her Bachelor of Science in Computer Science from McGill University. She is an active volunteer serving or having served as: Board member and President, Investment Committee, of the McGill University Health Centre Foundation; Vice-Chairman, The Trafalgar Ross Foundation; past Director of Membership of the Treasury Management Association of Canada; and past Committee Member, MS Society of Quebec. -
Commission Approves Deutsche Bank Takeover of Bankers Trust
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LAZARD GROUP LLC (Exact Name of Registrant As Specified in Its Charter)
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2008 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to 333-126751 (Commission File Number) LAZARD GROUP LLC (Exact name of registrant as specified in its charter) Delaware 51-0278097 (State or Other Jurisdiction of Incorporation (I.R.S. Employer Identification No.) or Organization) 30 Rockefeller Plaza New York, NY 10020 (Address of principal executive offices) Registrant’s telephone number: (212) 632-6000 Securities Registered Pursuant to Section 12(b) of the Act: None Securities Registered Pursuant to Section 12(g) of the Act: None Indicate by check mark if the Registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes ☒ No ☐ Indicate by check mark if the Registrant is not required to file reports pursuant to Section 13 or 15(d) of the Act. Yes ☐ No ☒ Indicate by check mark whether the Registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the Registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes ☒ No ☐ Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of Registrant’s knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. -
US Accounts in 24 Hours
U.S. Accounts In 24 Hours - eBook Thank you for purchasing our featured "U.S. Accounts In 24 Hours" eBook / Online Information Packet offered at our web site, U.S. Account Setup.com Within our featured online information packet, you will find all of the resources, tools, information, and contacts you'll need to quickly & easily open a NON-U.S. Resident Bank Account within 24 hours. You'll find lists of U.S. Banks, Account Application Forms, Information on how to obtain a U.S. Mailing Address, plus so much more. Just point and click your way through our Online Information Packet using the links above. If you should have any questions or experience any difficulties in opening your Non-U.S. Resident Account, please feel free to email us at any time, and one of our representatives will get back with you promptly. For Support, Email: [email protected] Homepage: www.usaccountsetup.com Application Forms UPDATE - E-TRADE'S NEW ACCOUNT OPENING POLICIES Etrade is changed the rules in which they open International Banking/ Brokerage accounts for foreigners. They now require all new applications be submitted to the local branch office in your region. Once account is opened, you will be able to use it as a U.S. Bank/Brokerage Account out of your home country. Below, you will find a list of International Etrade Phone Numbers & Addresses. Contact the etrade office that best reflects where you reside or would like your account based out of and where you would like to receive your debit card. U.S. -
The Corporate Culture in a Japanese Bank: Study of the Changing Organizational World
The Corporate Culture in a Japanese Bank: Study of the Changing Organizational World by HIROFUMI HOJO B.A. Law, Keio University (1986) SUBMITTED TO THE MIT SLOAN SCHOOL OF MANAGEMENT IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF MASTER OF SCIENCE IN MANAGEMENT at the MASSACHUSETTS INSTITUTE OF TECHNOLOGY June 2005 © Hirofumi Hojo 2005. All rights reserved. The author hereby grants to MIT permission to reproduce and to distribute publicly paper and electronic copies of this thesis document in whole or in part. ^ /' Ar Signature of Author: 'I (! J MIT SloVn School of Management May 6, 2005 Certified by: I John E. Van Maanen Erwin H. Schell Professor of Organization Studies Thesis Advisor Accepted by: / I I , / Stephen J. Sacca Director, Sloan Fellows Program in Innovation and Global Leadership lMASSACHUSETSINSTITE OF TECHNOLOGY 'A I IX~IFtes SEP 012005 LIBRARIES 2 The Corporate Culture in a Japanese Bank: Study of the Changing Organizational World by HIROFUMI HOJO Submitted to the MIT Sloan School of Management on May 6, 2005 in partial fulfillment of the requirements for the Degree of Master of Science in Management ABSTRACT The environment surrounding companies is constantly changing. and that change forces companies into paradigm shifts. If a company cannot cope with change, it faces the distinct possibility of being be weeded out of the industry. Today, Japanese companies are facing dramatic environmental change. For example, the introduction of new global accounting rules is changing the behavior of equity holders. The long and deep recession following the collapse of the Japanese "bubble" economy continues to sap the economic energy of many Japanese companies, and most leaders of those companies still struggle to find new ways to exit from this dark tunnel. -
Annual Financial Statements and Management Report of DZ BANK AG
2017 Annual Financial Statements and Management Report of DZ BANK AG DZ BANK AG 1 2017 Annual Financial Statements and Management Report Contents Contents 02 Management report of DZ BANK AG 06 DZ BANK AG fundamentals 16 Business report 30 Events after the balance sheet date 32 Human resources report and sustainability 38 Outlook 44 Combined opportunity and risk report 152 Annual financial statements of DZ BANK AG 154 Balance sheet as at December 31, 2017 156 Income statement for the period January 1 to December 31, 2017 158 Notes 212 Responsibility statement 213 Independent auditors’ report (translation) 2 DZ BANK AG 2017 Annual Financial Statements and Management Report Management report of DZ BANK AG Contents Management report of DZ BANK AG 06 DZ BANK AG fundamentals 30 Events after the balance sheet date 06 Business model 32 Human resources report 07 Strategic focus as a network-oriented and sustainability central institution and financial services group 32 Human resources report 07 Cooperative Banks / Verbund 32 HR work in the year of the migration 08 Corporate Banking 32 Professional development 08 Retail Banking 32 Training and development of young talent 09 Capital Markets 33 Health management 09 Transaction Banking 33 Work-life balance 33 TeamUp trainee program 10 Management of DZ BANK 33 ‘Verbund First’ career development program 10 Management units 33 Corporate Campus for Management & Strategy 10 Governance 34 DZ BANK Group’s employer branding campaign 13 Key performance indicators 34 Employer awards 13 Management process 34