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19 Jul 2018, 6:39 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]
18 Jul 2018, 10:00 pm
Boston Capital, Bolton Global Capital, Advisory Group Equity Services, Moors & Cabot, Inc., Detwiler Fenton & Co., BTS Securities, and Winslow, Evans & Crocker. [read post]
17 Jul 2018, 7:00 am
buys Iran’s oil, we can resist the US,” one anonymous Iranian economic analyst told the Financial Times. [read post]
‘Hibernation’ Approach Recommended by Mercer to Wait Out High Demand for DB Plan Derisking Transfers
17 Jul 2018, 2:00 am
She has nearly 30 years’ experience as a writer/editor of financial services news. [read post]
‘Hibernation’ Approach Recommended by Mercer to Wait Out High Demand for DB Plan Derisking Transfers
17 Jul 2018, 2:00 am
She has nearly 30 years’ experience as a writer/editor of financial services news. [read post]
15 Jul 2018, 1:00 pm
Investment Banking Engagement Letter If you enlist the services of an investment banker as your sell side advisor then you need to understand what the engagement letter will encompass. [read post]
13 Jul 2018, 12:23 pm
Picayune Rancheria of Chukchansi Indians RFP Legal Services, Oakhurst, C.A. [read post]
13 Jul 2018, 6:19 am
Posted by Harvard Law School Forum on Corporate Governance & Financial Regulation, on Friday, July 13, 2018 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of July 6-12, 2018. [read post]
12 Jul 2018, 8:53 am
Form CRS would be added as a section to Form ADV and would disclose: (i) the relationships and services the firms offer; (ii) the standard of conduct and fees and costs associated with the services; (iii) specified conflicts of interest; and (iv) reportable legal or disciplinary events on the firm’s part or its financial professionals. [read post]
12 Jul 2018, 6:06 am
The securities attorneys at Gana Weinstein LLP are investigating claims against UBS Financial Services Inc. [read post]
12 Jul 2018, 6:01 am
According to BrokerCheck records financial advisor Herbert Voss (Voss), formerly associated with Stockcross Financial Services, Inc. [read post]
12 Jul 2018, 2:00 am
The post Improving the Workplace for Working Parents appeared first on HR Daily Advisor. [read post]
12 Jul 2018, 2:00 am
The post Improving the Workplace for Working Parents appeared first on HR Daily Advisor. [read post]
12 Jul 2018, 2:00 am
The post Improving the Workplace for Working Parents appeared first on HR Daily Advisor. [read post]
11 Jul 2018, 12:54 pm
Hartford Financial Services Group, or “The Hartford” as it is commonly known, is an investment and insurance company based in Hartford, Connecticut. [read post]
11 Jul 2018, 12:54 pm
Hartford Financial Services Group, or “The Hartford” as it is commonly known, is an investment and insurance company based in Hartford, Connecticut. [read post]
11 Jul 2018, 5:49 am
From 2011 to 2017, it was revealed that Glick misappropriated funds through the three financial services and accounting firms he owned in Orland Park, Illinois: Glick & Associates Ltd., Glick Accounting Services Inc., and Financial Management Strategies, Inc. [read post]
10 Jul 2018, 3:57 am
Szczepanik would be the agency’s first ever Senior Advisor for Digital Assets and Innovation. [read post]
9 Jul 2018, 2:06 pm
Just because a broker or brokerage firm is offering its services does not mean that it is licensed to do so. [read post]
9 Jul 2018, 12:52 pm
Those disclosures “included: (1) the unlevered cash flows used in the financial advisor’s discounted cash flow (“DCF”) analysis; (2) Krispy Kreme’s management’s considerations regarding their potential post-merger employment; (3) the financial advisor’s potential conflict of interest; and (4) metrics used to evaluate comparable companies. [read post]
