Search for: "Investment Management Advisory Group"
Results 1341 - 1360
of 1,582
Sort by Relevance
|
Sort by Date
24 Jan 2011, 8:40 am
According to the report, retail investors seek guidance from broker-dealers and investment advisers to manage their investments and to meet their own and their familiesandrsquo; financial goals. [read post]
21 Jan 2011, 2:14 pm
These issues are complicated by the diversity of the investment adviser industry and strong industry opposition.The diversity of the investment advisory industry, ranging from small, locally-operated financial planning firms to global money managers suggests the potential for multiple SROs, each of which could oversee a different type of investment adviser. [read post]
21 Jan 2011, 9:46 am
Stockbrokers, from a variety of firms, took these managers and certain traders, sometimes in groups, on more than thirty trips to such destinations as the Super Bowl, Las Vegas, Florida, the Caribbean, and Nantucket. [read post]
12 Jan 2011, 8:00 am
For example, in 2004 Janus Capital Management LLC (“JCM”), a wholly-owned subsidiary of Janus Capital Group, Inc. [read post]
12 Jan 2011, 5:00 am
If a mutual fund adviser oversees fund portfolios totaling $200 billion in assets, a 1% advisory fee would result in $2 billion per year in management fees. [read post]
8 Jan 2011, 2:30 pm
Josh Rosner, a well respected financial analyst, issued a client advisory in October, advising of widespread violations of pooling and servicing agreements on mortgages. [read post]
4 Jan 2011, 3:35 pm
This coming summer over 4,000 mid-size investment advisory firms will fall under the auspices of a new regulator: their home state. [read post]
4 Jan 2011, 7:32 am
Firm name Total sales Total commission paid to BD Advisory Group Equity Services Ltd [read post]
30 Dec 2010, 6:00 am
UK subsidiaries of non-EEA country groups will be obliged to apply the revised Code in relation to all the entities within the sub-group which undertake investment activities that are regulated by the MiFID, including entities based outside the UK. [read post]
20 Dec 2010, 9:45 am
In total, over 3,000 written comments were received and reviewed.Tribes, groups, and individuals who participated in the review of the U.S. position on the Declaration presented a wide range of views on the meaning and importance of the Declaration. [read post]
16 Dec 2010, 8:46 am
$411,000 Advisory Group Equity Services Ltd [read post]
15 Dec 2010, 8:00 am
While Citigroup was not originally a partnership, Smith Barney, its investment bank arm, was once a partnership. [read post]
13 Dec 2010, 11:41 am
“The program involves a series of site visits, advisory sessions and workshops to help businesses to improve their capability to develop safety systems. [read post]
5 Dec 2010, 11:25 am
The only example the SEC gave of an investment company decision that warrants the protection of the proxy access rule is the approval of advisory contracts and fees, noted the brief, and the Investment Company Act already has special requirements for advisory contracts’ terms and approval, which include shareholder approval for new contracts.Finally, the business groups contended that the proxy access rule violates the First Amendment by forcing… [read post]
23 Nov 2010, 5:00 am
Lumpkins currently serves as a director of Ecolab, Inc., a cleaning and sanitation products and services provider; a Senior Advisor to Varde Partners, Inc., an asset management company specializing in alternative investments; and a member of the Advisory Board of Metalmark Capital, a private equity investment firm. [read post]
21 Nov 2010, 11:53 pm
For purposes of this section: (1) You must count an owner as a client if you provide investment advisory services to the owner separate and apart from the investment advisory services you provide to the legal organization, provided, however, that the determination that an owner is a client will not affect the applicability of this section with regard to any other owner; (2) You are not required to count an owner as a client solely because you, on behalf of the… [read post]
10 Nov 2010, 8:55 am
And when it comes to one of the hottest environmental issues today - greenhouse gases - a new study by "DB Climate Change Advisors (DBCCA), a New York-based eco-investment advisory unit of Deutsche Bank Group" concluded that: The failure of federal cap and trade, the return of Republican control in the U.S. [read post]
10 Nov 2010, 8:55 am
And when it comes to one of the hottest environmental issues today - greenhouse gases - a new study by "DB Climate Change Advisors (DBCCA), a New York-based eco-investment advisory unit of Deutsche Bank Group" concluded that: The failure of federal cap and trade, the return of Republican control in the U.S. [read post]
9 Nov 2010, 4:00 am
It helps them search for and select money managers, allocate assets, review performance, and design investment policies. [read post]
5 Nov 2010, 5:27 pm
Janus Capital Group, Inc. v. [read post]
