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23 Jul 2009, 2:32 am
While this might not apply to companies in certain industries that require industry-specific experience because of the specific regulatory nature or the complexity of the sector, such as healthcare or financial services, most other companies can benefit from considering candidates in crossover industries.5. [read post]
22 Jul 2009, 6:25 am
Representative Barney Frank (D-MA), House Financial Services Chairman, declared his support for the legislation and circulated it to other members of the committee with the near-term objective of marking up the legislation this week. [read post]
21 Jul 2009, 7:05 am
” The SEC would also conduct regular examinations and share its findings with the Federal Reserve and the Financial Services Oversight Council in order to track the overall risk associated with the private equity, venture capital and hedge fund industry as a whole.For a copy of the proposed legislation, please click here. [read post]
19 Jul 2009, 9:00 am
Indeed, the Report found that whether a financial services professional is a broker or an investment advisers is indistinguishable to most investors. [read post]
19 Jul 2009, 8:30 am
Congressman Barney Frank, Chair of the Financial Services Committee, to include in his "Iran Sanctions Enabling Act" provisions that would offer additional protections, including indemnification, for large investors such as the City's Pension Funds that choose to sell holdings of companies doing business with Iran. [read post]
16 Jul 2009, 2:37 am
Peregrine ultimately issued restatements of its financial statements for fiscal years 2000 and 2001. [read post]
15 Jul 2009, 6:07 pm
In addition, the SEC would share the disclosure reports received from funds with the Federal Reserve and the Financial Services Oversight Council. [read post]
14 Jul 2009, 3:29 pm
NASAA joined the Certified Financial Planner Board of Standards, the Consumer Federation of America, the Financial Planning Association, Fund Democracy, the Investment Adviser Association, and the National Association of Personal Financial Advisors in submitting comments on the proposal in a letter today to the leadership of the House Financial Services Committee. [read post]
14 Jul 2009, 8:50 am
The report indicates that professional investment advisors and service providers -- such as investment consultants and asset managers -- to institutional investors may have a far greater legal obligation to incorporate ESG issues into their investment services or face "a very real risk that they will be sued for negligence" if they do not. [read post]
14 Jul 2009, 6:28 am
Ameriprise Financial Services has agreed to pay over $17 million to settle Securities and Exchange Commission charges that it sold investments without disclosing that it was being paid by the investment company to sell the investment, according to a July 11 article by the Associated Press published in the New York Times. [read post]
13 Jul 2009, 3:46 pm
I bring it to you as a public service, kind of a "know your foes" post. [read post]
10 Jul 2009, 9:31 am
Sponsored Topics: Lateral Link - Law - Services - Lawyers and Law Firms - United States [read post]
10 Jul 2009, 7:18 am
This makes common sense in the brokerage industry given that investors who hire financial advisors typically rely on their expertise to make sound investment decisions. [read post]
9 Jul 2009, 3:05 am
Byrd and Harris were employed as financial advisors for Bank of America. [read post]
8 Jul 2009, 2:39 pm
Collectively, the nine pre-qualified PPIP fund managers have established 10 unique relationships with leading small-, veteran-, minority-, and women-owned financial services businesses, located in five different states, pursuant to the Legacy Securities PPIP. [read post]
6 Jul 2009, 7:58 am
- Recent M&A survey by Pricewaterhouse Coopers and Economist Intelligence Unit: - 42% of all financial services respondents, globally, plan to make acquisition within year. [read post]
4 Jul 2009, 11:26 am
The following summary is also very helpful for manager because it discusses some of the nuances of California law as it relates to investment advisors who are also hedge fund managers. [read post]
2 Jul 2009, 6:24 pm
And congrats on having what I think might be the first Financial Services blog by a CPA! [read post]
1 Jul 2009, 6:45 am
Therefore, it is important that investors carefully select financial professionals that they can trust and make sure that they do their research on any product, despite the trust they have for their advisor, prior to investing. [read post]
29 Jun 2009, 2:47 am
In addition, according to a June 14, 2009 article in the FinCri Advisor (here, registration required), the FDIC is currently assessing whether to pursue claims against the former directors and officers of failed financial institutions. [read post]
