Search for: "Financial Advisors Services"
Results 2721 - 2740
of 7,344
Sort by Relevance
|
Sort by Date
7 Feb 2020, 6:00 am
Coates, SEC Investor Advisory Committee, on Friday, January 31, 2020 Tags: Asset management, Boards of Directors, Conflicts of interest, Institutional Investors, Proxy advisors, Proxy voting, SEC, Securities regulation, Shareholder proposals, Shareholder voting, Universal proxy ballots Statement by Commissioner Peirce on Proposed Amendments to Modernize and Enhance Financial Disclosures Posted by Hester M. [read post]
5 Feb 2020, 8:34 am
His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. [read post]
5 Feb 2020, 7:52 am
Financial Advisor Charles J. [read post]
4 Feb 2020, 8:12 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Dennis Nakamura (Nakamura), formerly employed by McNally Financial Services Corporation (McNally Financial) has been subject to at least five customer complaints and one regulatory action during the course of his career. [read post]
4 Feb 2020, 2:00 am
The post Tips for Keeping Background Checks Legal appeared first on HR Daily Advisor. [read post]
3 Feb 2020, 12:42 pm
.: The House Armed Services Committee's Future of Defense Task Force will hold a hearing on supercharging the innovation base. [read post]
3 Feb 2020, 12:39 pm
Industry: Compiles legal resources related to established and booming industries, such as financial services and cannabis. [read post]
3 Feb 2020, 8:21 am
Employer and other plan sponsors, fiduciaries, administrators, advisors and service providers also will want to consider the advisability of modifying budget estimates, data collection and recordkeeping practices or other related activities and plans to account for the modified rules and responsibilities. [read post]
3 Feb 2020, 3:04 am
CalSTRS also filed its first report on climate-related financial risk under California Senate Bill 964. [read post]
31 Jan 2020, 9:03 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including compliance with federal and state laws and rules. [read post]
31 Jan 2020, 7:57 am
I just got back from a trip with my wife, where we had an opportunity to join about 700 other of what I think are the best financial advisors in the country, and it was a launch to a new year, and one of the things that makes this group of advisors so special, in my mind, is there are two things. [read post]
30 Jan 2020, 3:25 pm
Financial Technology—Digital Assets and Electronic Investment Advice OCIE will continue to monitor firms’ use of financial technologies to enhance services to investors and other service providers. [read post]
30 Jan 2020, 2:00 am
The post Canadian Companies Beware: Class Action Worker Misclassification Lawsuits Trending Up appeared first on HR Daily Advisor. [read post]
30 Jan 2020, 2:00 am
The post When Background Screening Goes Astray, Employers Face Severe Penalties appeared first on HR Daily Advisor. [read post]
29 Jan 2020, 4:25 pm
DWF seeks to do business in new ways, such as through its Managed Services division, to provide value beyond the traditional legal advisor role. [read post]
29 Jan 2020, 2:39 pm
She signed a document stating that she might pay TCA $1.45 million for investment banking services. [read post]
29 Jan 2020, 10:11 am
The apps connect through campus Wi-Fi or Bluetooth technology, and can alert a professor or advisor when students don’t show up to class or arrive a few minutes late. [read post]
29 Jan 2020, 4:55 am
Firms will continue to expand with sophisticated financial services, tools, investment strategies, different products, and new market participants, especially as millennials begin investing and saving more. [read post]
28 Jan 2020, 9:58 pm
Health plans and their health plan records providers and other business associates should review and update their existing policies and practices concerning providing and charging individuals for access to protected health information in response to modifications in the Department of Health & Human Service (“HHS”) Office of Civil Rights (“OCR”) rules implementing the Health Insurance Portability & Accountability Act (“HIPAA”) requirements… [read post]
28 Jan 2020, 7:16 am
The ALI Advisor has more information regarding this project. [read post]
