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9 Oct 2016, 7:47 pm
The Fine Line to the Double-Edged Sword Advisors and bankers walk a fine line in pitching services to potential sellers. [read post]
1 Sep 2012, 2:09 pm
A private investment fund must provide annual audited financial statements to its investors. [read post]
1 Sep 2012, 2:09 pm
A private investment fund must provide annual audited financial statements to its investors. [read post]
17 Sep 2023, 4:09 am
Prachi has joined her mother at Uttara Vaid Advisory Services. [read post]
4 Sep 2024, 3:42 pm
The lawsuit also named company advisor Steve Davis, who Musk appointed to help run the company. [read post]
22 Jul 2008, 7:54 pm
The meeting lasted less than half an hour and the directors did not consult any independent legal or financial advisors. [read post]
13 Aug 2024, 7:00 am
The CEPA will will coordinate the discovery, valuation, and planning processes and supply services within the advisor’s area of expertise. [read post]
10 Mar 2017, 6:09 am
Karp, Paul, Weiss, Rifkind, Wharton & Garrison LLP, on Wednesday, March 8, 2017 Tags: Accountability, Accounting, Banks, BSA/AML, Compliance & ethics, Compliance and disclosure interpretation, Cybersecurity, Financial institutions, Financial regulation, Money laundering, Oversight, Risk management The Materiality Gap Between Investors, the C-Suite and Board Posted by Judy McLevey, The Conference Board, on Wednesday, March 8, 2017 Tags: Accounting, Boards of Directors,… [read post]
23 Jun 2017, 6:07 am
Posted by John Roe, Institutional Shareholder Services, Inc., on Monday, June 19, 2017 Tags: Climate change, Environmental disclosure, ESG, Institutional Investors, Private ordering, Proxy advisors, Shareholder proposals, Shareholder voting, Sustainability Changing Attitudes: The Stark Results Of Thirty Years Of Evolution In Delaware M&A Litigation Posted by Hon. [read post]
30 Mar 2023, 6:52 am
Fiduciary relationships can take many forms, such as between an attorney and client, a trustee and beneficiary, a corporate officer and shareholders, or a financial advisor and client. [read post]
9 Nov 2021, 2:06 pm
Generally, it’s best to file your disability benefits claim based on the recommendation of your medical advisor. [read post]
25 Nov 2009, 5:48 am
The industry could consolidate, as financial services did. [read post]
22 Mar 2018, 9:38 am
Shutterstock With less than a month until Tax Day, the Internal Revenue Service (IRS) is reminding taxpayers to be on the lookout for tax scams. [read post]
28 Nov 2011, 8:57 am
Since passage of the Investment Advisor’s Act of 1940 – 71 years ago – no special definition of the “fiduciary duty” of financial advisors has been necessary. [read post]
21 Sep 2010, 7:09 pm
Laurie Posner (PNC Capital Advisors) 10:00 – 10:30 – Coffee Break (Sponsored by Firm 58) 10:30 – 11:00 – Manager Selection and Portfolio Creation at a Fund of Funds (Sponsored by Ruddy Law Office, PLLC) Speaker To Be Confirmed (The Kenmar Group) 11:00 – 12:00 – Innovations in Investment Products and Marketing Exchange Traded Funds (Sponsored by Michael Coglianese CPA, PC) Tim Pickering (Auspice Capital Advisors Ltd) 11:00 – 12:00… [read post]
17 Apr 2019, 8:55 am
According to a press announcement, on March 26, 2019, the Securities and Exchange Commission has reportedly barred former financial advisor Oscar Francis from the securities industry. [read post]
16 Jan 2014, 11:41 pm
Preliminary Remarks Whilst negotiating their Management Service Agreements, Executive Board Members, Managing Directors and their legal advisors are foremost focusing their attention on issues concerning pay packages, remuneration, bonuses, retirement pension plans and company cars. [read post]
27 May 2010, 6:11 am
Municipal securities are a $2.8 trillion market, according to Municipal Market Advisors. [read post]
1 Jul 2015, 4:00 am
Gould-Wartofsky, Author of “The Occupiers” Location: New York, NY Date: July 29, 2015 Sponsor: Alternative Asset Event: Liquid Alpha Summit Location: New York, NY Date: July 29, 2015 Sponsor: HFC Event: HFC NY Young Professionals Glow Ball Location: New York, NY Date: July 29-30, 2015 Sponsor: FRA Event: Private Investment Fund Accounting, Operations & Compliance Forum Location: New York, NY Date: July 29-31, 2015 Sponsor: BZ Events Event: AnDevCon: The Android Developer Conference… [read post]
31 Dec 2010, 8:41 pm
Junior Kim, previously with UBS Financial Services in Beverly Hills, CA, was fined $5,000 and suspended from association with any FINRA member in any capacity for 30 days in connection with changing customer telephone numbers to report inaccurate information, without the customers' knowledge or authorization. [read post]
