Search for: "Industry Service Fund"
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16 Jan 2019, 9:00 am
There are 13,634 businesses providing similar products and services in the industry, but there are no major/dominant players in the industry due to individual sector and asset class focused funds[2]. [read post]
28 Jan 2009, 1:03 pm
Documentation - integrated STP According to recent ISDA statistics, approximately 60% of the hedge fund industry's OTC instruments are still confirmed manually. [read post]
30 Jul 2009, 3:22 pm
The Financial Industry Regulatory Authority (FINRA) has fined Merrill Lynch and UBS Financial Services $250,000 for supervisory failures that led to unsuitable sales of closed-end funds. [read post]
12 Dec 2011, 3:28 am
Third-party litigation funding may be, for once, a legal service where Germany has had a head start over the UK. [read post]
31 Aug 2021, 1:16 pm
I see these sorts of service as the emissions of high-tech industry: they bring profits, but the costs are borne by society. [read post]
7 Mar 2017, 10:01 am
• Service Providers. [read post]
2 Sep 2011, 7:34 pm
In addition to the end of summer, the industry is preparing for a number of significant changes which will begin affecting managers this year and next year. [read post]
7 Aug 2020, 4:00 am
Class A shares typically are subject to a front-end sales charge when originally purchased and have annual fund expenses, including ongoing distribution and service fees (“fees”) that are typically 0.25 percent. [read post]
18 Apr 2022, 7:24 am
FINRA Censures and Fines IBN Financial Services for Unsuitable GPB Funds Sales According to The Financial Industry Regulatory Authority (FINRA) on April 14, the regulator has censured and fined IBN Financial Services $45,000 and ordered the firm to pay partial restitution of $32,385, plus interest. [read post]
4 Oct 2020, 12:46 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) Hannes was employed by his prior employer Woodbury Financial Services, Inc. [read post]
19 Aug 2020, 4:00 am
Class A shares typically are subject to a front-end sales charge when originally purchased and have annual fund expenses. including ongoing distribution and service fees (“fees”) that are typically 0.25 percent. [read post]
14 Jul 2022, 8:46 am
The New York State Department of Financial Services (DFS) has issued an Industry Letter providing guidance on overdraft and non-sufficient funds (NSF) fees to depository institutions that it supervises. [read post]
11 Sep 2023, 9:34 pm
By funding the IWC, labor had a backup plan to continue to regulate the quick-service industry (among other industries across California) in case the FAST Act was repealed by the voters in 2024. [read post]
26 Aug 2009, 1:07 pm
Since Bentzen's funding source, Structured Asset Funding, is a company that engages in servicing, can she can shed some light on what happens to the payments of those who sell only a part of their structured settlement payments to Bentzen, or SAF, that are serviced by SAF if Structured Asset Funding goes belly up? [read post]
14 Aug 2019, 5:00 pm
The educational service industry has also been catching up with the global pace[11]. [read post]
16 Nov 2022, 11:21 am
As the industry continues to digest the Fifth Circuit’s opinion in Community Financial Services Association of America, Ltd. v. [read post]
31 May 2009, 6:28 pm
"Given the need for greater oversight and transparency in many corners of the financial services industry in the wake of the market meltdown, Congress should give the SEC explicit statutory authority to regulate hedge fund advisers as investment advisers," Joseph said. [read post]
28 Mar 2022, 4:02 am
If they were, everyone’s portfolio would consist solely of a handful of index funds and the financial services industry would be much smaller than it is today. [read post]
10 Jun 2021, 2:10 am
If you are a financial service employee, such as a broker, investment advisor, wealth manager, capital acquisition broker, work with funding portals or provide similar services, you are mostly likely subject to rules and regulations governed by the Financial Industry Regulatory Authority (FINRA). [read post]
22 Nov 2016, 4:39 am
Gryphon IV will invest in healthcare and other industries. [read post]
