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27 Apr 2016, 11:48 am
Second, the broker then must match the investment as being appropriate for the customer’s specific investment needs and objectives such as the client’s retirement status, long or short term goals, age, disability, income needs, or any other relevant factor. [read post]
2 Feb 2018, 11:19 am
Furthermore, recommendations should be consistent with an individual’s age, risk tolerance, financial objectives, and investment knowledge. [read post]
8 Feb 2016, 10:08 am
Second, the broker then must match the investment as being appropriate for the customer’s specific investment needs and objectives such as the client’s retirement status, long or short term goals, age, disability, income needs, or any other relevant factor. [read post]
16 Jun 2023, 6:30 am
Embracing Environmental Justice Initiatives to Advance Corporate Objectives Posted by Tatjana Vujic, Arie T. [read post]
16 Jun 2023, 6:30 am
Embracing Environmental Justice Initiatives to Advance Corporate Objectives Posted by Tatjana Vujic, Arie T. [read post]
25 Jul 2008, 7:18 pm
In mid-February, the auctions for the investment instruments failed. [read post]
21 May 2018, 12:08 pm
Recommendations should only be made if the investment is suitable for an individual investor given their age, investment objections, investment experience and risk tolerance. [read post]
30 Oct 2021, 3:14 pm
Investment in Affordable Housing. [read post]
24 Feb 2009, 6:54 am
Two words: "corporate greed," the same two words that are at the root of our current economic meltdown. [read post]
21 Nov 2011, 1:55 am
RiskMetrics (through ISS Governance Services) provides corporate governance data and we subscribe their Directors Data through WRDS: RiskMetrics. [read post]
21 Nov 2011, 1:55 am
RiskMetrics (through ISS Governance Services) provides corporate governance data and we subscribe their Directors Data through WRDS: RiskMetrics. [read post]
23 Jun 2022, 3:00 am
The court was not convinced that the relevant changes caused losses for the company or amounted to sex, age and race discrimination against some of the members in favour of other. [read post]
1 Aug 2023, 4:27 pm
Thus, companies choose to make disclosures related to ESG factors because many investors and consumers want to understand whether the companies in which they invest or from whom they purchase products and services are taking actions—either beneficial or harmful—that may impact corporate stakeholders[5] and, in turn, have an effect on present and/or future shareholder value. [read post]
30 Aug 2017, 7:11 am
Recommendations should be in line with the investor’s age, risk tolerance, net worth, and investment experience. [read post]
18 Jan 2011, 12:23 pm
When Lehman Brothers failed, was it a failure of corporate risk management, or corporate crisis management, or both? [read post]
24 Nov 2020, 5:02 am
A customer’s investment profile includes age, other investments, income, financial situation, liquidity needs, tax status, risk tolerance, lifestyle, personal preferences, and other factors. [read post]
24 Nov 2020, 5:02 am
A customer’s investment profile includes age, other investments, income, financial situation, liquidity needs, tax status, risk tolerance, lifestyle, personal preferences, and other factors. [read post]
14 Feb 2023, 11:29 am
Broker dealers are required to perform adequate due diligence on all investment recommendations to ensure that each investment recommendation that is made is suitable for the investor in light of the investor’s age, risk tolerance, net worth, financial needs, and investment experience. [read post]
5 Jan 2018, 6:02 am
Bell, Fenwick & West LLP, on Tuesday, January 2, 2018 Tags: Board composition, Board declassification, Board leadership, Boards of Directors, Classified boards, Corporate governance, Diversity, Dual-class stock, Executive Compensation, Executive ownership, Majority voting, Outside directors, Public firms, Shareholder proposals, Surveys, Tech companies Opportunity Makes a Thief: Corporate… [read post]
23 Oct 2015, 6:48 am
It is part of a broader U.S. crackdown on undeclared offshore accounts that has ensnared big Swiss banks such as UBS Group AG, but has received scant attention because it mostly involves little-known firms and relatively small fines. [read post]
