Search for: "Financial Advisors Services"
Results 4201 - 4220
of 7,345
Sort by Relevance
|
Sort by Date
20 Oct 2017, 6:05 am
Posted by HLS Forum on Corporate Governance and Financial Regulation, on Friday, October 20, 2017 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of October 13–19, 2017. [read post]
20 Oct 2017, 5:00 am
It is recommended to everyone who reads this communication to seek advice from his/her lawyer and/or financial advisor before carrying out any transaction described here. [read post]
18 Oct 2017, 9:30 pm
Shils Professor of Law at the University of Pennsylvania Law School, director of the Penn Program on Regulation, and faculty advisor to The Regulatory Review, moderated the panel. [read post]
16 Oct 2017, 12:47 pm
” When making your financial, tax and estate plans, do not go it alone. [read post]
14 Oct 2017, 12:12 pm
According to BrokerCheck records financial advisor David Capin (Capin), currently associated with Summit Brokerage Services, Inc. [read post]
13 Oct 2017, 10:00 am
Friends, family and other professional advisors are trustworthy sources. [read post]
13 Oct 2017, 8:33 am
State-level fines and penalties hit 5-year high | On Wall Street:"The SEC has begun to work with the Department of Labor on a fiduciary rule proposal to harmonize the standards of conduct for advisors and broker-dealers, Jay Clayton, the agency's chairman, told members of the House Financial Services Committee.Clayton's comments suggest that after months of collecting and reviewing comments on what a uniform fiduciary standard should look like, the… [read post]
13 Oct 2017, 6:44 am
Hill, University of Sydney Law School, on Wednesday, October 11, 2017 Tags: Engagement, Financial crisis, Institutional Investors, International governance, Securities regulation, Shareholder activism, Shareholder proposals, Shareholder rights, Stewardship, Stewardship Code So You Want to Buy a Stake in a Private Equity Manager? [read post]
12 Oct 2017, 2:24 pm
The Teaching Fellow for the SPILS program serves as the primary advisor for SPILS fellows, assists in teaching an empirical research methods seminar, and works closely with fellows and their faculty advisors from the design of the fellows’ thesis research through the submission of the written thesis. [read post]
12 Oct 2017, 12:35 pm
You may contact the Florida Department of Financial Services by telephone at 1-877-693-5236 for more information. [read post]
12 Oct 2017, 12:30 pm
FINRA Quantitative Suitability The Financial Industry Regulatory Authority (FINRA) is the regulatory entity that governs the rules and guidelines brokers/advisors and brokerage firms follow. [read post]
11 Oct 2017, 6:04 am
He has a deep working knowledge of multiple sectors including internet service providers, telecommunications, high technology, financial services, healthcare, manufacturing, retail, and state and federal government. [read post]
10 Oct 2017, 6:03 am
Financial services company State Street Corporation has agreed to pay $5 million to settle OFCCP claims that the employer discriminated against 305 female and 15 black executive employees in its compensation practices. [read post]
9 Oct 2017, 10:25 am
Russian operatives attempted to spread disinformation over ads on Google services such as Gmail, YouTube, and search. [read post]
9 Oct 2017, 7:46 am
The district court decision in UBS Financial Svcs., Inc. v. [read post]
6 Oct 2017, 11:39 pm
As part of the package of remedies imposed by the Consumer Financial Protection Bureau upon the National Collegiate Student Loan Trusts and their debt collector, TransWorld Systems, Inc. [read post]
5 Oct 2017, 10:00 am
Friends, family and other professional advisors are trustworthy sources. [read post]
5 Oct 2017, 7:31 am
Thank them for their service, tell them how sorry yo [read post]
5 Oct 2017, 7:24 am
Tweed Financial Services, Inc. et al, seeks permanent injunctions and civil penalties for the fraud, which the SEC claims Tweed and his firm perpetuated for years. [read post]
4 Oct 2017, 9:30 pm
In the future, these “robo advisors” will do even more— recommending mortgages, credit cards, and other financial services to more individuals, all with increasing technical sophistication. [read post]
