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| What to do when your investment adviser resigns MarketWatch That's a worthwhile theoretical question to ask at any time, since such changes occur frequently in the investment advisory world. But there is a practical reason to ask it now: An announcement over this past weekend that the editor of a top-performing ... See all stories on this topic » | ||
| Team proves choosing the Best Buy pays off [The Blade, Toledo, Ohio] Businessweek All the teams did a good job and hopefully learned about how the economy impacts people's daily lives, Ronald Belle, investment advisers executive and senior vice president at Fifth Third Bank, wrote in an email to The Blade. The top teams managed to ... See all stories on this topic » |
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| Investment Adviser | Compliance Focus Rule 206(4)-7 of the Investment Advisers Act ("the Act") sets forth the general categories of compliance requirements for investment advisers. Among these ... compliancefocus.com/category/investment-adviser/ | ||
| Dentons - Are Investment Advisers Under a Fiduciary Duty? The Law Commission has been asked to review the legal obligations that arise from fiduciary duties upon parties who invest other parties' money, including ... www.dentons.com/.../are-investment-advisers-under-a-fiduciar... | ||
| Tips for Investors and Financial Professionals: What is an Investment... Shustak & Partners, P.C. handles complex securities and business litigation in San Diego and New York. Call 888-748-8748 for a free consult. www.shufirm.com/Tips-for-Investors-and-Financial-Professio... | ||
| H.R.1627 - 113th Congress (2013-2014) - To amend the Investment... H.R.1627 - To amend the Investment Advisers Act of 1940 to require certain investment advisers to pay fees to help cover the costs of inspecting and examining ... beta.congress.gov/bill/113th-congress/house.../cosponsors?... | ||
| Lindquist & Vennum > Publications Select SEC Enforcement Cases ... The U.S. Securities and Exchange Commission (the "SEC") continues to aggressively pursue enforcement actions against registered investment advisers and ... www.lindquist.com/pubs/xprPubDetail.aspx?xpST...pub... |
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