Sentences with phrase «securities as its financial adviser»

Fladgate LLP acted for Charles Street Securities as financial advisers to iPoint Media PLC (iPoint) on its open offer and subscription offer to raise approximately # 1.73 million through a combination of issues of ordinary shares and loan notes.

Not exact matches

Credit Suisse Securities (USA) and Moelis & Co are serving as financial advisers to AdvancePierre, while Skadden, Arps, Slate, Meagher & Flom is providing legal counsel.

(The website of the company she started offers to trade on behalf of clients; neither Ms. Berwick nor the firm is registered as an investment adviser with the Securities and Exchange Commission or the Financial Industry Regulatory Authority.)

The Dodd - Frank Act, which itself made matters worse rather than better in the wake of the government - fueled financial downturn of 2008, explicitly empowered the Securities and Exchange Commission (SEC) as the agency to formulate rules relating to investment advisers who offer «personalized investment advice about securities to a retail customSecurities and Exchange Commission (SEC) as the agency to formulate rules relating to investment advisers who offer «personalized investment advice about securities to a retail customsecurities to a retail customer.»

(i) persons who are licensed in the securities industry (such as a registered broker or investment adviser) with the Securities and Exchange Commission (the «SEC»), the Financial Industry Regulatory Authority («FINRA»), or the securities division of a state or an equivalent state divsecurities industry (such as a registered broker or investment adviser) with the Securities and Exchange Commission (the «SEC»), the Financial Industry Regulatory Authority («FINRA»), or the securities division of a state or an equivalent state divSecurities and Exchange Commission (the «SEC»), the Financial Industry Regulatory Authority («FINRA»), or the securities division of a state or an equivalent state divsecurities division of a state or an equivalent state division; and

who is a licensed or registered as a broker investment adviser with the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), or a state level equivalent division;

This document is being distributed by the following Allianz Global Investors companies: Allianz Global Investors U.S. LLC, an investment adviser registered with the U.S. Securities and Exchange Commission; Allianz Global Investors GmbH, an investment company in Germany, authorized by the German Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin); Allianz Global Investors Asia Pacific Ltd., licensed by the Hong Kong Securities and Futures Commission; Allianz Global Investors Singapore Ltd., regulated by the Monetary Authority of Singapore [Company Registration No. 199907169Z; Allianz Global Investors Japan Co., Ltd., registered in Japan as a Financial Instruments Business Operator [Registered No.

Drawing on his own varied experience as an economist, financial adviser, and successful investor, Malkiel shows why, despite recent advice to the country from so - called experts in the wake of the financial crisis, an individual who buys over time and holds a low - cost internationally diversified index of securities is still likely to exceed the performance of portfolio carefully picked by professionals using sophisticated analytical techniques.

Davis Polk is advising J.P. Morgan Securities LLC as financial adviser to Cavium, Inc. in connection with its $ 6 billion acquisition by Marvell Technology Group Ltd..

Davis Polk is advising Bank of America Merrill Lynch and J.P. Morgan Securities LLC as financial advisers to Fidelity National Financial, Inc. in connection with its $ 2.9 billion acquisition of Lender Processing Servicfinancial advisers to Fidelity National Financial, Inc. in connection with its $ 2.9 billion acquisition of Lender Processing ServicFinancial, Inc. in connection with its $ 2.9 billion acquisition of Lender Processing Services, Inc..

For distributing NPS, they have to be certified by the Pension Fund Regulatory and Development Authority (PFRDA), and for selling financial products regulated by the Securities and Exchange Board of India (Sebi), they necessarily have to obtain registration as investment advisers under the Securities and Exchange Board of India (Investment Advisers) Regulations, 2013.

Client Associates work alongside financial advisers and are involved in a variety of tasks, such as giving quotes, assisting customers, updating records, developing portfolios, researching investment trades, handling financial securities and preparing various financial forms.