Search for: "Financial Advisors Services"
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27 Feb 2015, 6:41 am
According to InvestmentNews, only about 12% of financial advisors have any type of disclosure event on their records. [read post]
26 Aug 2020, 11:33 am
Some of the sites also contain poor grammar, misspellings, odd or awkward phrasings or incorrect usage of financial services terminology, FINRA said. [read post]
5 Apr 2018, 3:02 am
Yesterday, Corp Fin issued two new CDIs about non-GAAP financial measures that are used in connection with business combinations. [read post]
5 Apr 2018, 3:02 am
Yesterday, Corp Fin issued two new CDIs about non-GAAP financial measures that are used in connection with business combinations. [read post]
5 Aug 2015, 2:06 pm
Firms are required to supervise their licensed brokers and financial advisors to ensure that they do not cause violations of the securities laws and industry rules, as well as remain in compliance with the firm’s policies and procedures. [read post]
11 Nov 2019, 11:07 am
Below is a summary of her testimony, as compiled from the transcript of his deposition. *** The testimony of former Senior Advisor to the Secretary of State Michael McKinley, a career Foreign Service officer, focused on his concern over the lack of State Department support for Marie Yovanovitch after the call transcript was released. [read post]
18 Mar 2014, 7:57 am
Financial advisors have a fiduciary duty to put their client’s needs ahead of their own. [read post]
18 Aug 2017, 10:00 am
Friends, family and other professional advisors are trustworthy sources. [read post]
3 Sep 2014, 5:26 am
If these funds are to be used not just to offset volatile resource revenues but to finance national development plans, then a greater understanding of their management and potential is required.This conference will consider how SWFs can develop strategies to ensure their performance as accountable financial tools in service of national economies, rather than becoming grey financial tools or parallel budgets. [read post]
5 Jun 2015, 8:47 am
For equity offered and sold to consultants or advisors, several special rules apply. [read post]
25 Oct 2023, 12:36 pm
According to the SEC’s order, in many of BIT’s annual and semi-annual reports that were publicly available to investors and filed with the SEC, BlackRock inaccurately described Aviron as a “Diversified Financial Services” company. [read post]
19 Apr 2019, 5:39 am
According to FINRA Disciplinary actions for March 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Barrera, Cynthia Morgan Stanley Smith Barney Merrill Lynch, Pierce, Fenner & Smith Beyn, Edward Rothchild Lieberman LLC Craig Scott Capital Blanchard, Keith Waddell & Reed Block, Gabriel … [read post]
10 Feb 2015, 5:00 am
There is a long history of splitting financial regulatory oversight between state regulators and federal regulators. [read post]
11 Feb 2015, 5:00 am
There is a long history of splitting financial regulatory oversight between state regulators and federal regulators. [read post]
6 Feb 2014, 1:40 pm
Babiarz told clients he was a broker agent for Fidelity Brokerage Services when in fact he was conducting business as an independent advisor. [read post]
31 Jan 2009, 11:09 am
Tom Daschle, ex-Senate Majority leader and Obama’s choice for Health and Human Services Secretary, just paid the IRS $140,000 in back taxes. [read post]
3 Dec 2018, 2:00 am
It includes observations by professionals in the firm’s Sourcing Advisory Services, Financial Management, Technology, Human Resources, Customer & Operations and other practice areas. [read post]
24 Sep 2018, 6:21 am
Bankruptcy is a potential sign that financial advisors are struggling with their finances. [read post]
26 Mar 2018, 3:20 pm
” For example, if a “company previously experienced a material cybersecurity incident involving denial-of-service, it likely would not be sufficient for the company to disclose that there is a risk that a denial-of-service incident may occur. [read post]
21 Apr 2020, 12:46 pm
In November 2019, the financial services regulators responsible for the Volcker Rule regulations (the Board of Governors of the Federal Reserve Board, the Office of the Comptroller of the Currency, the Commodity Futures Trading Commission, the Federal Deposit Insurance Corporation and the Securities and Exchange Commission, collectively, the “Agencies”) issued final rules revising the proprietary trading restrictions placed on certain banking entities (the “2019… [read post]
