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21 Jan 2022, 6:28 am
Securities and Exchange Commission, on Thursday, January 20, 2022 Tags: Artificial intelligence, Capital markets, Financial technology, Hedge funds, Institutional Investors, Investor protection, SEC, Securities regulation [read post]
15 Apr 2021, 3:03 am
Statements closely tying representations about ESG to financial performance may heighten litigation risks if those representations are later considered misleading. [read post]
23 Oct 2015, 3:00 am
Last month, the House Financial Services Committee sent a bill to overturn the rule to the floor. [read post]
11 Aug 2023, 12:48 pm
It can involve the services of a variety of professionals, including your lawyer, accountant, financial planner, life insurance advisor, banker and broker.Estate planning covers the transfer of property at death as well as a variety of other personal matters and may or may not involve tax planning. [read post]
12 Nov 2010, 6:03 am
”NAIFA represents licensed LIFE insurance agents and Financial Advisors. [read post]
19 Jul 2012, 5:30 am
A family lawyer might look at these businesses to staff his circle: Therapist Residential realtor Financial advisor Wills & Trusts attorney Childcare provider Co-parenting skills trainer Employment recruiter Moving company Investigator People contemplating a divorce might have need of many of those services. [read post]
11 Oct 2018, 4:35 pm
The proposed regulations define “specified service trade or business” as any business in the fields of health, law, accounting, actuarial science, performing arts, consulting, athletics, financial services, brokerage services, investing and investment management, trading, dealing in securities, or any trade or business where the principal asset of the business is the reputation or skill of one of its employees or owners. [read post]
4 Mar 2022, 6:01 am
Elovitz, Schulte, Roth & Zabel LLP, on Friday, February 25, 2022 Tags: Disclosure, Financial reporting, Form PF, Hedge funds, Investment advisers, Private equity, Private funds, SEC, Securities regulation ESG: 2021 Trends and Expectations for 2022 Posted by Greg Norman and Simon Toms, Skadden, Arps, Slate, Meagher & Flom LLP, on Friday, February 25, 2022 Tags: Climate change, Diversity, ESG, Human… [read post]
20 Jun 2008, 4:26 pm
“And, having The Miller Group as our financial advisor and now an equity owner confirms our belief in the relationship we are building with them. [read post]
16 Jan 2012, 4:42 pm
November 2011 UBS Financial Services Inc., in Weehawken NJ was censured and fined $300,000 in connection with a finding by FINRA that the firm failed to reasonably supervise resulting in a failure to prevent improper, excessive, and unsuitable short-term trading for multiple customer accounts. [read post]
28 Apr 2023, 8:20 am
Lastly, discuss the situation with your lawyer, consult a financial advisor and consider getting a mortgage pre-approval, to help ensure that you add the right conditions to your Agreement of Purchase and Sale before signing. [read post]
28 Aug 2017, 10:15 am
As regular readers of this blog know, the rule requires financial advisors to act in the best interests of retirement savers. [read post]
30 Aug 2010, 5:56 pm
The final rules include financial requirements designed to ensure the financial integrity of firms engaging in retail forex transactions and robust customer protections. [read post]
4 May 2011, 5:00 am
Morgan) who voted for the loan were engineers without financial acumen, and because they didn’t think to retain their own financial advisor they were at the mercy of the financial advice they received from Copeland and the other conflicted directors. [read post]
8 Aug 2016, 10:25 am
Friends, family and other professional advisors are trustworthy sources. [read post]
12 Nov 2008, 8:40 pm
• UBS promised its "Financial Advisors" extra economic incentives to sell these securities to UBS' customers. [read post]
24 Jul 2023, 10:51 am
According to her FINRA broker report, Lynn Bryant was reportedly affiliated with the following firms during her career, among others: B , 10/24/2007 – 10/07/2022 , LPL FINANCIAL LLC (CRD#:6413) , HURST, TX B , 07/14/2000 – 10/25/2007 , RAYMOND JAMES FINANCIAL SERVICES, INC. [read post]
19 Jan 2016, 4:14 pm
Friends, family and other professional advisors are trustworthy sources. [read post]
13 Aug 2024, 7:17 am
GWG L Bonds Are Risky And Speculative Investments GWG Holdings (GWGH) is a financial services company based in Dallas, TX. [read post]
21 Aug 2024, 10:00 am
This transfer will affect financial services, non-profits, families, and luxury goods. [read post]
