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| Brokers, advisers facing uphill battle in finding new recruits - InvestmentNews InvestmentNews With the decline in the ranks of financial advisers showing no signs of abating, large broker-dealers and individual investment advisers are faced with the stark challenge of figuring out how to bring fresh blood into the investment advice business. See all stories on this topic » | ||
| No fiduciary rule better than bad one, NAPFA official says - InvestmentNews InvestmentNews The financial advisory business and the Securities and Exchange Commission would be better off if the SEC did not propose a uniform standard for investment advice, rather than offering one that dilutes the concept of acting in a client's best interest ... See all stories on this topic » | ||
| Dodd-Frank Brings Regulatory Change to Investment Advisers New York Law Journal (registration) Patrick D. Sweeney, a partner at Herrick, Feinstein, and Matthew H. Kunkes, an associate at the firm, write that Dodd-Frank enacted various new exemptions that focus on specific types of investment advisory activities, including exemptions and ... See all stories on this topic » | ||
| Lunch-hour seminars Fiji Times PARTICIPANTS of the free lunch-hour seminars organised by the South Pacific Stock Exchange this month will be able to consult investment advisers and stock broker representatives on potential securities. SPSE chief executive Jinita Prasad said they ... See all stories on this topic » | ||
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| Chart your course early, experts say - Vancouver Sun Vancouver Sun We talked with Mark Marlow, investment adviser at TD Waterhouse, and Heather Rivers, a manager of financial planning at Vancity, about other mistakes made on the way to a well-upholstered rocking chair. Depending on Canada Pension Plan and Old Age ... See all stories on this topic » |
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| Investment Advisers ActCompliance Focus | 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/tag/investment-advisers-act/ | ||
| When is a Registered Investment Advisor Required to Obtain an ... We handle matters including investment advisor regulation, securities arbitration, litigation and enforcement, employment-related matters, broker-dealer ... advisors4advisors.com/.../17429-when-is-a-registered-investm... | ||
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