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28 Feb 2007, 12:38 pm
Anyone can, and many do, factor their payments and cash them in at substantial cost, as a result of not being able to manage their money or other financial pressures. [read post]
4 May 2018, 11:57 am
The Senior Program Manager will oversee contracted neutral service providers and also provide direct mediation, facilitation, or training services as appropriate. [read post]
12 Nov 2019, 2:53 pm
For more up-to-date coverage from Tax Controversy and Financial Crimes Report, please subscribe by clicking here. [read post]
29 Nov 2011, 3:29 pm
Capital Financial Services of Minot, ND, was ordered to pay $200,000 in restitution to affected customers, and Brian W. [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]
21 Feb 2024, 3:48 am
Go over both of these subjects with your tax advisor. [read post]
10 Jun 2024, 5:05 pm
Before Senator Dodd’s latest proposal, there were a couple of exemptions in SB 478 for certain highly regulated businesses who comply with their primary regulator’s detailed rules (such as broadband services complying with FTC regulations, or financial entities complying with relevant regulations such as the Financial Code, Truth in Lending or the Federal Reserve Act). [read post]
14 Jan 2015, 10:26 am
Proxy Services – OCIE intends to examine proxy advisory service firms and investment advisers’ compliance with their fiduciary duty in voting proxies on behalf of investors. [read post]
14 Jan 2015, 10:26 am
Proxy Services – OCIE intends to examine proxy advisory service firms and investment advisers’ compliance with their fiduciary duty in voting proxies on behalf of investors. [read post]
19 Jun 2013, 8:15 am
Auto-enrollment is usually only at 3% which financial advisors suggest is too little to adequately prepare for retirement (but your finances may not allow for more right now) and you may not be contributing enough to capture all company match. [read post]
12 Mar 2019, 9:06 pm
In addition to the three pending nominees, the Trump White House has not nominated either a chief financial officer or Under Secretary of Agriculture for Food, Nutrition and Consumer Services. [read post]
6 Mar 2019, 4:00 am
By the time the respondents invested in Focus, they had formed their own opinion on their financial advisors’ competence and probity which was not dependent on Mr. [read post]
7 Apr 2022, 11:49 am
He previously served on the Democratic staff of the House Financial Services Committee, and as a Presidential appointee at the U.S. [read post]
18 Oct 2018, 10:00 am
Make sure you have excellent advisors on your team if you need to take this step. [read post]
10 Apr 2018, 8:18 am
Non-traded REITs are generally high risk investment, but financial advisor often sell them as low-risk, conservative investments. [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]
21 Jul 2008, 6:24 pm
A good friend is likely to have needs and preferences similar to your own, and a current advisor is already familiar with your financial situation. [read post]
3 May 2017, 10:29 am
The BIC Exemption effectively states that the fiduciary advisor must sign a “Best Interests Contract” (BIC) with the client, stipulating that the advisor will provide advice that is in the Best Interests of the client. [read post]
20 Jun 2018, 5:51 am
From 1986 to 1990, he was registered with Municipal Investors Service, Inc. [read post]
26 May 2011, 9:01 am
The complexities of transitioning your practice will require asking many questions of financial planners, tax accountants, advisors and attorneys who can help shape your exit strategy. [read post]
