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11 Nov 2009, 4:14 am
- financial services reform bill. [read post]
10 Nov 2009, 8:26 pm
"What do you believe are the key obstacles or disincentives for financial planners/advisors for incorporating social media in their marketing strategy? [read post]
10 Nov 2009, 8:26 pm
"What do you believe are the key obstacles or disincentives for financial planners/advisors for incorporating social media in their marketing strategy? [read post]
10 Nov 2009, 7:01 am
Without a legal hold process or proper enforcement a company can be vulnerable to legal or financial sanctions. [read post]
10 Nov 2009, 6:26 am
Settlement Asset Management, a Jacksonville, Florida financial advisor firm, has just launched a web site. [read post]
9 Nov 2009, 9:28 am
Given our litigious society, there is a good chance that your bank or financial institution will soon be responding to requests for e-discovery. [read post]
5 Nov 2009, 8:58 pm
Find more commentary in the RIA current awareness services, or the rather jaded view of a financial advisor here. [read post]
5 Nov 2009, 10:48 am
The venture, likely to be called Century Advisor Services, will be marketed to fee-only RIAs and "hybrid" advisers who want to supplement their fee-based practices with commissions. [read post]
5 Nov 2009, 6:41 am
On November 3, 2009, the Financial Planning Coalition sent a letter to members of the House Financial Services Committee expressing the Coalition's concern regarding an amendment to the Investor Protection Act of 2009 (“IPA”), which was passed by the Committee on October 25, 2009. [read post]
5 Nov 2009, 1:55 am
At various times over the past several years, companies in the high tech sector, telecommunications category and, more recently, in the financial services industries, have found themselves for a period to be the most popular targets for plaintiffs’ securities class action attorneys. [read post]
4 Nov 2009, 7:59 am
The ban will deprive participants and beneficiaries of public funds of well qualified advisers and drive up the cost of investment advisory services due to higher compliance costs. [read post]
3 Nov 2009, 5:14 pm
" What the Section does is impose upon investment advisors "a fiduciary duty with respect to the receipt of compensation for services. [read post]
3 Nov 2009, 6:46 am
Please seek the advice or counsel of your attorney, financial advisor or CPA as it may be appropriate. [read post]
3 Nov 2009, 1:59 am
. **** November 2 Sponsor: University of Oregon Lundquist College of Business Securities Analysis Center Event: Portland Alternative Investment Association - Educational Event Location: Portland, OR November 3 - November 5 Sponsors: Battea - Class Action Services, LLC, Citco Banking Services, Custom House Fund Management, DGAM (Diversified Global Asset Management), FinAnalytica, Fractal Advisors, Gottex Solutions Services, Riskdata,… [read post]
2 Nov 2009, 8:32 am
[and that] "mutual funds are a component of the financial services industry, where abuses have been rampant. [read post]
1 Nov 2009, 12:26 pm
During the fake conference Jacques Servin, a member of the Yes Men, stood behind a podium that incorporated the Chamber's logo and service marks (U.S. [read post]
31 Oct 2009, 4:06 pm
Fish and Wildlife Service and the U.S. [read post]
31 Oct 2009, 2:49 am
Advisors who help to set up offshore accounts would be required to disclose their activities or pay a penalty. [read post]
31 Oct 2009, 2:49 am
Advisors who help to set up offshore accounts would be required to disclose their activities or pay a penalty. [read post]
29 Oct 2009, 10:42 pm
As has been reported by a number of groups the Private Fund Investment Advisors Act of 2009 was approved by the House Financial Services Committee by a vote of 67-1. [read post]
