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30 Jun 2010, 11:42 am
Large banks are not immune to this trend—and the potential to increase their client base by offering financial elder-care services. [read post]
30 Jun 2010, 9:28 am
Large banks are not immune to this trend—and the potential to increase their client base by offering financial elder-care services. [read post]
30 Jun 2010, 1:34 am
Janus Capital Management (JCM) is the funds’ investment advisor. [read post]
29 Jun 2010, 1:09 pm
Many investment advisors are brokerage firm rejects. [read post]
29 Jun 2010, 10:23 am
In financial-services, they do the product development research and regulatory filings. [read post]
29 Jun 2010, 5:00 am
Indeed, whether a financial services professional is a broker or an investment adviser is indistinguishable to most investors. [read post]
28 Jun 2010, 2:20 am
Event: Freshwater Wind 2010 Location: Cleveland, OH July 19-21 Sponsor: Financial Research Associates Event: Hedge Fund Auditing, Accounting & Administration Forum Location: New York, NY July 20 Sponsor: Southeastern Hedge Fund Association Event: SEHFA Barbeque Location: Atlanta, GA July 21 Sponsor: FRA Event: Hedge Fund of Funds Accounting, Auditing & Tax Location: New York, NY July 21 Sponsor: Opal Financial Group Event: 2010 Public Funds Summit East Location:… [read post]
26 Jun 2010, 4:59 pm
Independent Rule Writing: Able to autonomously write rules for consumer protections governing all financial institutions – banks and non-banks – offering consumer financial services or products. [read post]
24 Jun 2010, 4:30 am
My personal favorite is Excuse # 16, wherein the keen financial advisor suggests that the reader simply go all "George Carlin" on the court. [read post]
22 Jun 2010, 8:27 am
The big highlight has been the financial-services regulatory revamp that passed the Senate, and now faces negotiations with the House. [read post]
21 Jun 2010, 5:13 am
Family members and trusted advisors who serve as individual trustees have unlimited personal liability. [read post]
18 Jun 2010, 6:41 am
We love representing professionals in the financial services industry who need help with their non-compete agreements.Why do we feel such a kinship toward these professionals? [read post]
17 Jun 2010, 11:30 am
Fiduciary abuse can be done by anyone such as a financial advisor, power of attorney, or family member. [read post]
17 Jun 2010, 6:47 am
Outside Salesmen Exemption The DOL regulations define an “outside salesman” as an employee: (1) Whose primary duty is: (i) making sales within the meaning of section 3(k) of the [FLSA], or (ii) obtaining orders or contracts for services or for the use of facilities for which a consideration will be paid by the client or customer; and (2) Who is customarily and regularly engaged away from the employer’s place or places of business in performing such primary duty. [read post]
16 Jun 2010, 7:56 pm
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]
14 Jun 2010, 8:39 am
Cosgrove also serves as the compliance counsel for a national financial products company and represents a national brokerage company, several investment advisors, as well as defrauded investors. [read post]
9 Jun 2010, 2:57 pm
Goods and services tax (GST)-registered businesses must be ready on July 1, 2010. [read post]
9 Jun 2010, 9:53 am
http://structuredsettlements.typepad.com/structured_settlements_4r/scott-rothstein-ponzi/ Your web site says that you run a "National Registry to find pre-screened, five star rated planners and advisors who provide financial advice and services in your community"as a free Public Service. [read post]
4 Jun 2010, 8:17 am
Avoiding Litigation Exploring probate litigation and trust litigation risks and how to minimize them creates an excellent opportunity to suggest and put together a qualified team of advisors who can ensure proper trust administration. [read post]
3 Jun 2010, 2:04 am
Financial Reform Bill May Devastate Overburdened State Securities Divisions As many states are facing huge budget shortfalls, government services have been cutback and certain states have furloughed workers in certain divisions. [read post]
