Search for: "Financial Advisors Services"
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4 Sep 2024, 8:00 am
UBS Financial Services discharged Luis E. [read post]
3 Sep 2024, 7:13 am
Automated trading algorithms and AI-based financial advisory services are reducing the need for human traders and financial advisors. [read post]
3 Sep 2024, 7:00 am
Our Investment Adviser Group assists financial service providers with complex issues that arise in the course of their business, including complying with federal and state laws and rules. [read post]
2 Sep 2024, 7:16 am
For example, in March 2024, the agency filed settled enforcement actions against two investment advisors that allegedly misled investors about the firms’ AI-enabled services. [read post]
1 Sep 2024, 7:35 pm
Consulting with a legal advisor can provide clarity and peace of mind. [read post]
29 Aug 2024, 9:05 pm
Treasury Department’s Financial Crimes Enforcement Network (FinCEN) has finalized two rules intended to protect residential real estate sectors and investment advisor sectors from unlawful finance. [read post]
29 Aug 2024, 9:54 am
Consultation with Financial Advisors Given the complexity of retirement plan rules and the significant consequences of early withdrawals, plan administrators should encourage plan participants to consult with a financial advisor. [read post]
29 Aug 2024, 6:10 am
As a result, employers offering a settlement agreement with confidentiality provisions may be asked to increase their financial contributions to enable the employee’s advisor to provide more detailed advice. [read post]
29 Aug 2024, 1:30 am
Speak with an estate attorney or financial advisor for the latest information on gifting limits. [read post]
28 Aug 2024, 5:46 pm
Stamer’s work throughout her career has focused heavily on working with health care and managed care, life sciences, health and other employee benefit plan, insurance and financial services and other public and private organizations and their technology, data, and other service providers and advisors domestically and internationally with legal and operational compliance and risk management, performance and workforce management, regulatory and public policy… [read post]
28 Aug 2024, 10:56 am
In addition, and as discussed here, in June 2024, the SEC filed an SEC enforcement action against an employment recruiting firm and its advisor. [read post]
27 Aug 2024, 5:00 am
Talking to other residents, visiting communities, and consulting with a financial advisor can also help you make an informed decision. [read post]
26 Aug 2024, 8:26 am
I shall definitely take my son through what I perceive to be appropriate “financial education” early on. [read post]
26 Aug 2024, 3:00 am
At Harbor, Applebaum aims to redefine the company’s value proposition and position it as a holistic service provider for the legal industry. [read post]
23 Aug 2024, 6:05 am
We at Human Rights First had the opportunity to work with Kara-Murza on sanctions advocacy when he joined us as a senior advisor in July 2020. [read post]
23 Aug 2024, 3:08 am
Sara Kennedy is the Associate Director of Incident & Policy Management at StarCompliance, a leading provider of compliance software solutions to the global financial services sector. [read post]
21 Aug 2024, 10:17 am
The Act aimed to close loopholes that allowed “enablers” to launder illicit funds in the U.S. by extending anti-money laundering requirements to professional service providers, including accountants, lawyers, and third-party payment services. [read post]
21 Aug 2024, 10:00 am
This transfer will affect financial services, non-profits, families, and luxury goods. [read post]
Time for the International Criminal Court to Recognize Persons with Disabilities and the Slave Trade
21 Aug 2024, 5:50 am
Persons with disabilities are sometimes imprisoned or enslaved in order to exploit government-provided financial benefits, including by caregivers or perpetrators posing as caregivers. [read post]
20 Aug 2024, 3:03 pm
Senior Investor Seeks Up to $5M in Damages After Texas Financial Advisor Allegedly Stole His Money The Shepherd Smith Edwards and Kantas Elder Financial Exploitation Law Firm (investorlawyers.com) represents a disabled retiree in his seven-figure FINRA lawsuit requesting up to $5M in damages from UBS Financial Services. [read post]
