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28 Feb 2018, 3:48 am
She has nearly 30 years’ experience as a writer/editor of financial services news. [read post]
28 Feb 2018, 3:48 am
She has nearly 30 years’ experience as a writer/editor of financial services news. [read post]
28 Feb 2018, 3:48 am
She has nearly 30 years’ experience as a writer/editor of financial services news. [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
Also, in formulating this proposal, the Commission collaborated with the U.K.'s Financial Services Authority and other members of the International Organization of Securities Commissions. [read post]
9 Dec 2011, 9:56 am
Moreover, it should preserve investor access to and choice among suitable financial products and services delivered by qualified financial professionals. [read post]
24 Dec 2020, 3:00 pm
Your Investment Advisor or Broker Made Trades Solely in Order to Generate Fees While investment advisors and brokers are entitled to earn a reasonable fee when they perform services for their clients, they are not permitted to make recommendations or execute trades solely for the purpose of generating a fee. [read post]
4 May 2011, 2:24 pm
This list would include contact information for an attorney, financial advisor, primary care physician, and insurance agent. [read post]
17 Nov 2008, 2:59 pm
While Obama generally has backed greater transparency and disclosure and a tightening up of financial-services regulation, he and his economic advisors have been very quiet about the specifics under discussion at the summit. [read post]
9 Feb 2021, 7:52 am
This can work, however, US advisors often don’t take into account Canadian tax or financial planning considerations. [read post]
10 Feb 2016, 3:09 pm
Private companies do not have special access to these free consumer complaint resources.Requests for secrecy — Never allow anyone to discourage you from seeking information, support, and advice from family members, friends, or trusted advisors before making a financial transaction.How do I get help? [read post]
Chancery says only Baker Hughes CEO is still on the hook for disclosures in merger with GE Oil & Gas
15 Nov 2020, 6:14 pm
The Delaware Court of Chancery recently decided it was not “reasonably conceivable” that General Electric Corp. aided and abetted breaches of fiduciary duty by oil field services provider Baker Hughes Inc. [read post]
5 Dec 2019, 1:07 am
Tax Expat Tax Services. [read post]
4 Jan 2022, 9:34 am
Without that oversight, financial services representatives may conduct business in a way that is not conducive to good business practices nor to the client’s best interest. [read post]
10 Aug 2015, 7:03 am
Broker Thomas Sharp Sanctioned by FINRA Over Misleading Statements Concerning Non-Traded REITs Pennsylvania Regulator Investigates Securities America and Landenburg Thalmann Non-Traded REIT Sales National Planning Corporation Broker Matthew Westfall Sanctioned Over Outside Business Activities and Non-Traded REIT Sales Hantz Financial Services Sanctioned Over Non-Traded REIT Due Diligence Failures Former LPL Financial Broker Brian Brunhaver Accused of Fraud in the Sale of… [read post]
19 Aug 2020, 4:00 am
In addition to the FINRA findings, Western allegedly failed to notify, train, and assist its financial advisors regarding the mutual fund sales charge waivers. [read post]
7 Aug 2020, 4:00 am
The findings also stated that Park Avenue allegedly failed to notify, train, and assist its financial advisors regarding the mutual fund sales charge waivers. [read post]
4 May 2008, 2:53 pm
The tractor trailer with smoking tires in my rear view mirror - Georgia attorney Ken Shigley in his Atlanta Injury Law & Civil Litigation Blog The incredible shrinking financial advisor - Jerry Kalish at National Benefit Services, Inc. in his Retirement Plan Blog Chinese fish imports raise concerns - Seattle lawyer Bill Marler of Marler Clark in his Marler Blog Dismissed case and evidence of innocence still counts as a "brush with the… [read post]
14 Feb 2012, 11:51 am
The activity in question began while Brenda Esbach was employed as an investment advisor with Ameriprise Financial Services and continued after she left Ameriprise and began working with Aventine Investment Services, Inc. and Purshe Kaplan Sterling Investments. [read post]
18 Sep 2018, 6:44 am
Lyell Dampeer, president of investor communications solutions at Broadridge Financial Solutions, touted his firm’s experience in providing proxy voting and shareholder communications services. [read post]
8 Apr 2022, 2:00 am
The post Employer Perspective: How Voluntary Benefits Can Help Your Business Compete for Talent appeared first on HR Daily Advisor. [read post]
