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5 Apr 2010, 5:01 am
Administrative staff is typically provided by the advisor. [read post]
4 Oct 2019, 6:00 am
Proxy System Posted by Steve Wolosky, Andrew Freedman, and Ron Berenblat, Olshan Frome Wolosky LLP, on Saturday, September 28, 2019 Tags: Boards of Directors, Institutional Investors, Proxy voting, SEC, Securities regulation, Shareholder voting, Universal proxy ballots 2019 Proxy Season Review: North America Activism Posted by Jackie Cheung and Victor Guo, FrontLine Advisors Inc., on Saturday, September 28, 2019 Tags: Boards of… [read post]
5 Dec 2007, 12:45 pm
USDOJ Leaves No Doubt in Interpretation of Minimum Requirements for Structured Settlement Brokers September 13, 2007 As an aside the Delta Group website states as one reason to do business with it "many Delta Group specialists are registered settlement advisors who offer a complete analysis of the claimant's future financial needs". [read post]
5 Jun 2013, 9:06 am
Frequently, companies sponsoring their employee benefit plans and their executives mistakenly assume that they can rely upon vendors and advisors to ensure that their programs are appropriately established. [read post]
16 Aug 2023, 12:20 pm
Secure the services of an attorney. [read post]
27 Dec 2016, 6:12 am
Secure the services of an attorney. [read post]
24 Feb 2017, 6:00 am
A financial advisor that not only verifies your book-keeper but lets you know of other changes coming down the pike adds another layer. [read post]
19 Sep 2010, 3:20 pm
” And Yves Smith again, in response to Johnson’s comment… “The Administration is not about to change its stripes and suddenly take an action that might actually lead to some effective measures against the financial services industry. [read post]
15 May 2014, 10:00 am
Stamer has more than 24 years experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
6 Jun 2013, 9:37 pm
Chairman Garrett analogized the growth in the influence of proxy advisory firms to the rise of the use of credit rating agencies before the financial crisis. [read post]
2 Dec 2016, 4:41 am
NLRB Requires Employers to Look in a Chrystal Ball when Negotiating Management Rights Clauses — via Matt Austin Labor Law Policies Prohibiting “Insubordination or Other Disrespectful Conduct” and “Boisterous or Disruptive Activity in the Workplace” Struck Down by NLRB Majority — via Financial Services Employment Law And You Thought Trump-Clinton Was Close: Hoffa Squeaks Out Win To Remain Teamsters’… [read post]
11 Jan 2016, 2:19 pm
In addition, other professionals (such as appraisers, surveyors, financial advisors and others) may need to be engaged during this time. source:https://www.irs.gov/Businesses/Small-Businesses-&-Self-Employed/Frequently-Asked-Questions-on-Estate-Taxes#2 [read post]
18 Dec 2017, 1:42 pm
US Court Dismisses Copyright Infringement Complaint Against GAIN CapitalOnline trading services provider GAIN Capital Group LLC has secured a judgement in its favor on Friday, December 15, 2017, as a part of a copyright infringement case launched against it by Tibco Software Inc. [read post]
6 May 2020, 9:00 pm
If you have a professional license, as do teachers, financial advisors, and other professions, it will be suspended or revoked. [read post]
2 Dec 2016, 4:41 am
NLRB Requires Employers to Look in a Chrystal Ball when Negotiating Management Rights Clauses — via Matt Austin Labor Law Policies Prohibiting “Insubordination or Other Disrespectful Conduct” and “Boisterous or Disruptive Activity in the Workplace” Struck Down by NLRB Majority — via Financial Services Employment Law And You Thought Trump-Clinton Was Close: Hoffa Squeaks Out Win To Remain Teamsters’… [read post]
24 Jun 2016, 9:42 am
For listeners who made it through all of that, Jason explained how the New York State Department of Financial Services issued its second BitLicense, this time to Ripple (the global settlement network, not the fortified wine), and at this pace, would get to double digits in terms of BitLicenses issued by 2022. [read post]
1 Apr 2016, 11:08 am
So, if FINRA’s new pay-to-play proposal merely tracks the provisions already in place against registered investment advisors under current SEC rules, why did the Commission even bother to pump the breaks at all on its approval? [read post]
1 May 2020, 3:00 am
Supreme Court called for additional briefing on whether the court was authorized to settle a dispute about congressional subpoenas for President Trump’s financial records. [read post]
15 Apr 2016, 5:24 am
While it may appear difficult and even impossible, armed with strong financials and the support of an experienced investment advisor, even new players can enter the market. [read post]
12 Apr 2018, 12:14 pm
Maybe you just work in the area of financial literacy, or you work with seniors planning their retirement. [read post]
