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12 Mar 2014, 12:07 pm
Daniel Dodd-Ramirez has joined the CFPB as the Assistant Director of Financial Empowerment in the Bureau’s Consumer Education and Engagement Division. [read post]
12 Mar 2014, 4:19 am
- What are the issues and industries covered by SASB's disclosure standards for the Financials sector? [read post]
11 Mar 2014, 12:59 pm
The decision sends a strong message that boards should actively oversee their financial advisors in any sale process. [read post]
11 Mar 2014, 9:31 am
” Private employers that provide services to public companies need to beware of this new development. [read post]
11 Mar 2014, 3:36 am
This article updates "Broker Suspended For Downloading Customer Files On Flash Drive And Laptop Files" (BrokeAndBroker.com, March 26, 2013)Steven Robert Tomlinson entered the financial industry in 1981, and over a 20 year span worked for various firms before joining a Corning , NY credit union in 2001 as a financial advisor in its investment services group –by 2003, he became the group manager. [read post]
11 Mar 2014, 12:00 am
The Advisor’s Guide to Life Insurance16 is a useful tool for advisors in making better informed life insurance recommendations to their clients. [read post]
10 Mar 2014, 10:55 am
Financial advisors have a fiduciary duty to put their client’s needs ahead of their own. [read post]
9 Mar 2014, 1:12 pm
These include additional coverage, benefit, and nondiscrimination rules added to the Employee Retirement Income Security Act (ERISA), the Code, the Public Health Services Act and other provisions of the Social Security Act, by laws like the Consolidated Omnibus [read post]
8 Mar 2014, 3:52 pm
Just one medical bill reported to a credit agency may become a “millstone around your neck” said Mark Rukavina, principal at Community Health Advisors, a health care advisory service. [read post]
8 Mar 2014, 4:13 am
GLBA was enacted to ensure that financial institutions respect the privacy of their customers and protect the security and confidentiality of nonpublic personal information. [read post]
7 Mar 2014, 3:22 pm
The most recent SEC investigation revealed that, although not registered with the SEC, international financial services company, Credit Suisse Group AG, has been engaging in financial transactions with U.S. customers. [read post]
6 Mar 2014, 3:10 pm
Stamer has more than 25 years’ experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
SOX Whistleblower Protection Extends to Employees of Private Contractors, According to Supreme Court
6 Mar 2014, 2:26 pm
Jackie Hosang Lawson was the Senior Director of Finance for a private advisory firm that contracted to provide services to the Fidelity family of mutual funds. [read post]
6 Mar 2014, 11:11 am
Financial advisors have a fiduciary duty to put their client’s needs ahead of their own. [read post]
6 Mar 2014, 10:54 am
The “covered entities” which are subject to Staff Advisory 14-21 (futures commission merchants (FCMs), commodity trading advisors (CTAs), commodity pool operators (CPOs), introducing brokers (IBs), retail foreign exchange dealers, SDs and MSPs) are not consumer-facing but they are part of the financial system. [read post]
6 Mar 2014, 8:22 am
Instead, the funds contracted with investment advisors like FMR to handle the day-to-day operations of the funds. [read post]
6 Mar 2014, 5:00 am
Berks County Board of Assessment Appeals, the Trial Court found that neither the provision of free services to resident advisors (which the Trial Court characterized as a management expense) nor the donation of surplus revenue to ESU demonstrated that UPI donated or rendered gratuitously a substantial portion of its services. [read post]
5 Mar 2014, 11:25 am
H.R. 3193, which passed by a 232-182 vote, incorporates five CFPB reform bills approved in November 2013 by the House Financial Services Committee. [read post]
5 Mar 2014, 11:06 am
Stamer has more than 25 years’ experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
5 Mar 2014, 7:25 am
Are you a financial advisor in a dispute with your current or former broker-dealer? [read post]
