Search for: "Financial Asset Management Systems"
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21 Jan 2021, 2:39 pm
As of March 2017, Cetera Financial Specialists allegedly had seven DRRs who operated through three outside RIAs with assets under management of about $382 million across 680 accounts. [read post]
19 Apr 2017, 6:56 pm
Digital wealth management platforms provide services including portfolio selection, asset allocation, account aggregation, and online risk assessments. [read post]
10 Jun 2011, 10:29 am
Like all advisers, they manage assets on behalf of clients and investors. [read post]
11 Jul 2017, 7:56 am
The consultation paper builds on the guidance set out in IOSCO’s 2013 report Principles of liquidity risk management for collective investment schemes and seeks to address structural vulnerabilities arising from asset management activities, as part of its mission to protect investors and mitigate systemic risk in global financial markets. [read post]
9 Nov 2011, 7:41 am
The information contained in Form PF is confidential and is designed, among other things, to assist the Financial Stability and Oversight Council in its assessment of systemic risk in the U.S. financial system. [read post]
6 Sep 2022, 7:47 am
Central bank asset freezings. [read post]
8 Feb 2016, 11:22 am
Business managers and family offices hold the most confidential information of their clients – financial records, bank and securities account information, health records, estate planning and trust documents, physical locations of valuable assets and the like. [read post]
25 Aug 2016, 2:48 pm
Business managers and family offices hold the most confidential information of their clients – financial records, bank and securities account information, health records, estate planning and trust documents, physical locations of valuable assets and the like. [read post]
23 Mar 2009, 4:51 pm
I believe deeply that terrible executive compensation systems were the rocket fuel that drove the financial sector to disastrous excess. [read post]
2 Jun 2021, 10:01 am
It had $6.4 billion in assets under management as of Dec. 31, 2020. [read post]
23 Jun 2023, 2:58 am
DLT Pilot The DLT Pilot facilitates the set-up of new types of market infrastructures, such as a DLT multilateral trading facility, a DLT settlement system and a combined DLT trading and settlement system. [read post]
SEC and CFTC Propose Joint Form for Hedge Fund Advisers and CPOs to Report Systemic Risk Information
26 Jan 2011, 3:53 pm
Advisers to hedge funds and other private funds would be required to report information for use by the Financial Stability Oversight Council in monitoring risk to the financial system under rules jointly proposed by the SEC and CFTC. [read post]
13 Nov 2023, 9:01 pm
Powell on Principles for Climate-Related Financial Risk Management for Large Financial Institutions [Press Release], (Oct. 24, 2023). [read post]
6 Jun 2019, 9:00 am
We have launched a new environmental, social and governance (ESG) page on our Asset Management Regulation knowledge hub. [read post]
23 Dec 2020, 6:39 am
Having a plan and systems in place to protect your assets before things go awry is the best way of keeping your money. [read post]
28 Apr 2011, 3:42 pm
, The System, Cash Flow, Earnings, Revenue, Working Capital, etc. [read post]
27 Jun 2016, 1:04 pm
For example, it is possible that after holding out on a long term investment with caution and precision, the moment you plan on cashing it in, the market crashes and you lose the value of the investment.To avoid that possibility, managing risk is the key to mitigating systemic and non-systemic risk. [read post]
17 Aug 2022, 6:56 am
FINRA Sanctions Axiom for Allegedly Ignoring Red Flags with Private Placement Offering According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly censured and fined Axiom Capital Management $40,000 for allegations that it failed to conduct due diligence on a private placement offering. [read post]
17 Aug 2022, 7:03 am
The post Axiom Capital Management Inc. [read post]
19 Aug 2017, 6:45 am
Miller is a Managing Member, Gary F. [read post]
