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5 Nov 2017, 2:56 pm
In addition, Dynamic Ledger Solutions raised $232 million for a ledger-technology service called Tezos (more about which below). [read post]
5 Nov 2017, 7:33 am
According to BrokerCheck records financial advisor Herbert Smith (Smith), currently associated with Kestra Investment Services, LLC (Ketra Investment), has been subject to one customer complaint and two tax liens. [read post]
3 Nov 2017, 6:02 am
Lowson, Global ESG Financial Regulatory Academy, on Monday, October 30, 2017 Tags: Climate change, Disclosure, Environmental disclosure, ESG, EU, Financial regulation, FSB, Institutional Investors, International governance, Risk assessment, Sustainability, UK SEC Enforcement Against Initial Coin Offering Posted by Steve Gatti, Megan Gordon, and Daniel Silver, Clifford Chance, on Monday, October 30, 2017 … [read post]
3 Nov 2017, 5:05 am
I think you really don’t like to see American families, including veterans and service members, get cheated out of their hard-earned money and be left helpless to fight back. [read post]
2 Nov 2017, 4:00 am
People in the justice system are already under significant stress (emotional, psychological and financial). [read post]
1 Nov 2017, 11:28 am
The original pact was signed by UBS Financial Services and Merrill Lynch, Pierce, Fenner & Smith, but was joined by virtually every major wirehouse firm, most of the regional and independent broker-dealers and hundreds of registered investment advisors. [read post]
1 Nov 2017, 10:21 am
However, financial advisors can provide many different services like estate planning, income tax preparation, and investment management. [read post]
1 Nov 2017, 4:13 am
Nonetheless, it seems reasonable to expect litigation arising out of recruiting in the financial services industry […] The post Timing of Morgan Stanley’s Broker Protocol Withdrawal Sends Shocks Through RIA Legal and Recruiting Circles, RIABiz, ft. [read post]
30 Oct 2017, 10:25 pm
(“HIT”) upon the recommendation of their financial advisor may be able to recover their losses in FINRA arbitration. [read post]
27 Oct 2017, 3:46 am
Venture capital fund managers which are currently licensed as fund managers or fund management companies and which seek to bring themselves within the VC Regime need to notify the MAS of their intention to be a venture capital fund manager through submission of Form IV.4 Consequential legislative amendments to the following Regulations and Notices as a result of the implementation of the VC Regime: Securities and Futures (Licensing and Conduct of Business) Regulations;… [read post]
27 Oct 2017, 2:16 am
South Korea’s Financial Services Commission made a similar announcement a few weeks later, stating that all ICO fundraising would be banned and that it would establish tighter anti-money laundering prevention policies for virtual currencies. [read post]
26 Oct 2017, 6:34 pm
Products and Services Growth Segments VI. [read post]
26 Oct 2017, 1:52 am
Utah Financial Advisor Pleads Guilty to Tax Evasion, Securities Fraud and Wire Fraud (Department of Justice Press Release 17-1221) https://www.justice.gov/opa/pr/utah-financial-advisor-pleads-guilty-tax-evasion-securities-fraud-and-wire-fraudFrom 2009 through 2017, Henry Brock served as President of a financial services company he founded, and through which he marketed and sold an “IRA Exit Strategy” to potential investors. [read post]
25 Oct 2017, 8:02 am
Alan Kaplinsky, who leads the firm’s Consumer Financial Services Group, provided testimony on behalf of the industry at three CFPB field hearings on the arbitration rule. [read post]
24 Oct 2017, 5:35 am
The Financial Industry Regulatory Authority (FINRA) has ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC to pay more than $3.4 million in restitution to customers for alleged unsuitable recommendations of volatility-linked exchange-traded products (ETPs) and supervisory failures, according to InvestmentNews. [read post]
23 Oct 2017, 2:23 pm
(CRD# 43814) (2002-2013), and Fortune Financial Services, Inc. [read post]
23 Oct 2017, 2:04 pm
A recent Norton Rose Fulbright legal update on proposed regulations issued by the Securities and Exchange Commission (SEC) may be of interest to readers of the Financial services: Regulation Tomorrow blog. [read post]
23 Oct 2017, 1:59 pm
Further, the financial advisor has a duty to determine if the investment is suitable in light of the investor’s profile and stated investment objectives. [read post]
23 Oct 2017, 1:11 pm
Those advisors who cleverly play to this expectation will get very rich. [read post]
23 Oct 2017, 11:04 am
In the second blog of the series, I dove deeper into the first step of the process, engaging a financial advisor and drafting the engagement letter. [read post]
