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17 Sep 2010, 5:00 am
Here are some recent compliance-related stories that I found interesting: Fighting to Protect Consumers by Elizabeth Warren in the Huffington Post The president asked me, and I enthusiastically agreed, to serve as an Assistant to the President and Special Advisor to the Secretary of the Treasury on the Consumer Financial Protection Bureau. [read post]
16 Sep 2010, 10:43 am
For those who are provided offers of compensation from other sources, such as boosters, agents, marketing representatives, or financial advisors. [read post]
16 Sep 2010, 12:09 am
" AManuel Orozco, member of the Financial Services Advisor board and director of the remittances and development program at the Inter-American Dialogue: "There exists a slow recovery of remittances to Latin America mostly reflected in that more people are sending money to their relatives with regular frequency. [read post]
15 Sep 2010, 12:14 pm
In the best of all worlds, your children will at some point in time meet your attorney, accountant and financial advisor. [read post]
15 Sep 2010, 12:09 pm
Yet in private-equity transactions, as in real estate funds, the increase in value is abstract until there is a future financial-transaction event. [read post]
14 Sep 2010, 3:38 pm
A Veteran Service Organization (VSO) that is accredited through the VA.[1] A listing of approved organizations is available online at http://www.va.gov/ogc/recognizedvsos.asp3. [read post]
11 Sep 2010, 1:38 pm
They may signify nothing more than that the advisor took a marketing course and paid a fee to become "certified". [read post]
10 Sep 2010, 12:15 pm
He will remain as the “Chairman Emeritus, Executive Director and Senior Advisor” to the company; his term as a director will expire at the 2011 annual shareholders’ meeting. [read post]
9 Sep 2010, 8:29 am
The defendant was a licensed pilot and financial advisor with Morgan Stanley. [read post]
8 Sep 2010, 9:40 am
Where possible, enlist the services of an accountant, business attorney and/or financial advisor with experience in assisting clients with franchise businesses. [read post]
7 Sep 2010, 8:31 pm
” The good news is that almost all of the HAMP participating servicers have already signed on to participate in the new program, so most homeowners are very likely to find that they have a STUPID Servicer handling their loan. [read post]
6 Sep 2010, 2:52 pm
The definition includes financial advisors, guaranteed investment contract brokers, third-party marketers, placement agents, solicitors, finders, and certain swap advisors that provide municipal advisory services. [read post]
2 Sep 2010, 10:07 am
What you should be demanding from your legal advisors in the 21st Century. [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]
30 Aug 2010, 3:10 pm
Truland Service Corp., 56 Fed.Appx. 108, 110 (4th Cir.2003); Prudential Securities, Inc. v. [read post]
27 Aug 2010, 2:57 pm
Portfolio also includes, taxes, financial services, and small business. [read post]
24 Aug 2010, 11:17 am
Please seek the advice or counsel of your attorney, financial advisor or CPA as it may be appropriate. [read post]
23 Aug 2010, 5:53 am
Schron was charged $14 million for financial advice in the Mariner deal by MetCap Advisory Services, which was 25% owned by Mr. [read post]
23 Aug 2010, 5:11 am
Are there translation services available? [read post]
21 Aug 2010, 9:29 am
The categories include: Basics & Structure Offering Documents Service Providers Investment Adviser Regulation Futures & Commodities Regulation Marketing & Advertising Operational Issues We would also like to remind managers who are thinking of starting a fund to view our Start Up Presentation. [read post]
