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28 Feb 2020, 1:30 am
In financial matters, correct advice is needed to ensure that the futures of both parties to a divorce are properly protected. [read post]
28 Feb 2020, 1:00 am
In our new paper, “Why Financial Regulation Keeps Falling Short,” we identify the key drivers of this fundamental mismatch between finance and financial regulation, demonstrate how this mismatch contributes to undesirable policy outcomes, and lay the conceptual foundations for understanding how the processes governing the creation of financial regulations can be improved to help close this gap. [read post]
27 Feb 2020, 2:20 pm
For more up-to-date coverage from Tax Controversy and Financial Crimes Report, please subscribe by clicking here. [read post]
27 Feb 2020, 1:39 pm
The Securities and Exchange Commission today announced settled charges against Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network for failing reasonably to supervise investment advisers and registered representatives who recommended…Read the Full Press ReleaseHave a securities law question? [read post]
27 Feb 2020, 7:59 am
According to BrokerCheck records, Lowder was formerly registered with FINRA member firm MSI Financial Services, Inc. [read post]
26 Feb 2020, 2:00 am
The post ESPP 101 appeared first on HR Daily Advisor. [read post]
25 Feb 2020, 4:17 pm
Stamer also contributes her service and leadership to a professional and civic organizations and efforts. [read post]
25 Feb 2020, 4:02 pm
Stamer also contributes her service and leadership to a professional and civic organizations and efforts. [read post]
25 Feb 2020, 12:33 pm
They often have high fees and sales commissions, making them an attractive product for financial advisors to sell. [read post]
25 Feb 2020, 7:08 am
Stoltmann Law Offices is investigating claims made by the Securities and Exchange Commission (SEC) against Robert Gravette, Mark MacArthur, and their Registered Investment Advisory firm, Criterion Wealth Management Insurance Services, Inc. [read post]
24 Feb 2020, 9:59 am
.: The Senate Armed Services Committee will hold a hearing on U.S. [read post]
22 Feb 2020, 3:00 am
Cole-Frieman & Mallon LLP Cole-Frieman & Mallon LLP is a premier boutique investment management law firm, providing top-tier, responsive, and cost-effective legal solutions for financial services matters. [read post]
21 Feb 2020, 3:03 am
And Broc blogged last fall about the “fishy” comment letters submitted to the SEC ahead of its proposed rulemaking on proxy advisors. [read post]
20 Feb 2020, 2:52 pm
Impact on Capital Market Regulation The potential failure to achieve a trade deal presents particularly significant issues concerning, firstly, the “passporting” system (i.e. the system that enables banks and financial services firms that are authorised in any EU or EEA state to trade freely with minimal regulatory oversight – thereby serving as the foundation of the EU single market for financial services) and, secondly, the creation of a new EU… [read post]
20 Feb 2020, 9:06 am
In November 2016, the CFPB issued a request for information (RFI) about market practices related to consumer access to financial information, and in October 2017, it released a set of “Consumer Protection Principles” for participants “in the developing market for services based on the consumer-authorized use of financial data. [read post]
20 Feb 2020, 8:22 am
If the trustee does these things, she is not liable to the beneficiaries or the trust for decisions made by the advisor. [read post]
19 Feb 2020, 9:38 am
The Great American policy afforded coverage for, among other things, valuation services. [read post]
19 Feb 2020, 2:30 am
Despite his checkered employment record, he has been affiliated with 7 different advisory firms during his career, including Concorde Investment Services in Spring Lake, NJ, and Westminster Financial Services in Providence, Rhode Island. [read post]
19 Feb 2020, 1:55 am
Key Findings 2020 Democratic presidential candidates have proposed various changes to the corporate income tax to raise revenue for their policy proposals. [read post]
18 Feb 2020, 12:34 pm
Military Departments to discuss the state of their services, defense strategy, and key initiatives in the FY 2021 budget and associated future years defense program. [read post]
