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3 Feb 2012, 6:57 am
The Georgia Commissioner of Securities has proposed twelve amendments to investment adviser and broker-dealer rules it promulgated late last year under the Georgia Uniform Securities Act. [read post]
16 May 2022, 12:21 pm by Kevin Kaufman
” Applied research is also original investigation in service of acquiring new knowledge, but is “directed primarily towards a specific, practical aim or objective. [read post]
While HSAs were originally introduced to employees as a long-term investment tool that can also be used to pay for eligible medical expenses along the way, employees’ usage of the accounts has drastically shifted. [read post]
30 Jul 2018, 5:58 am by Simon Lovegrove
The FCA’s proposals provide that the platform should have a reasonable basis to conclude that the return it is advertising to investors can reasonably be achieved within the risk parameters originally advertised; where the platform chooses which loans to facilitate for an investor the platform should ensure that investors are only exposed to loans that, at the point they are allocated to an investor, meet the risk parameters advertised at the time of investment. [read post]
4 Mar 2022, 7:22 am by Silver Law Group
Griffin Capital is an investment management firm that specializes in alternative investments. [read post]
5 Sep 2014, 4:52 am by admin
When the stock peaked a small original investment before the company went public would have been worth about 40x. [read post]
16 Jul 2012, 2:20 pm by Jay Salamon
This article was originally posted on Stock Market LossExchange Traded Notes or “ETNs” are unsecured debt obligations typically issued by financial institutions. [read post]
21 Nov 2014, 6:52 am by Adam Weinstein
Indeed, in some cases we have handled investors are given new account forms to sign several months after signing the original forms and like magic, the investor doubles their investment experience overnight, has higher risk tolerance, increased assets, and are now ready to load up on private placements. [read post]
1 Oct 2018, 7:24 am by Renae Lloyd
This may represent a significant loss on investors’ capital investment, as the original purchase price was $10.00 per share. [read post]
7 Dec 2010, 5:56 am by Dennis Hursh
This means that during rising markets, you don’t take on more risk than you originally intended. [read post]
19 May 2007, 4:33 am
Originalist lawyers and scholars shifted from original intention and original understanding theories to original meaning in the 1980s to answer important criticisms of originalism. [read post]
7 Nov 2016, 2:01 pm by Nate Nead
For instance, automation is eclipsing Deal Origination, Know Your Customer (KYC), Anti-Money Laundering (AML), Bad Actor Checks, Deal Marketing, Due Diligence and even Legal. [read post]
3 Nov 2023, 6:57 am by Geoff Cockrell
Originally set to expire in May, these extensions followed extensive public input, including 38,000 comments and two telemedicine listening sessions. [read post]
30 Jul 2024, 6:47 am by Dan Bressler
” “After tartly pointing out that V&E’s original position was that no compromise was necessary, the judge rejected the ethical wall terms as inadequate to repair the underlying conflict. [read post]
30 Mar 2010, 7:36 am by Erin Miller
 The Court embraces what is called the “Gartenberg standard” on the degree to which investment advisers to mutual funds control the fees they pay for investments advice. [read post]
18 Jul 2012, 6:30 am by D. Daxton White
According to the arbitration award, which was decided by a three-person Financial Industry Regulatory Authority Inc. panel, the investor originally claimed $3.1 million in compensatory damages, alleging excessive trading and churning, common law fraud, gross negligence and other violations. [read post]
18 Jul 2012, 6:30 am by D. Daxton White
According to the arbitration award, which was decided by a three-person Financial Industry Regulatory Authority Inc. panel, the investor originally claimed $3.1 million in compensatory damages, alleging excessive trading and churning, common law fraud, gross negligence and other violations. [read post]