Sentences with phrase «adviser for financial services companies»

The withdrawal of banks from the mortgage business is the result of the fundamental shift in regulations that took place in response to the housing crisis, says Meg Burns, managing director of the Collingwood Group, an adviser for financial services companies in Washington.

Not exact matches

It's also daunting for the financial services industry, where a cadre of advisers and mutual fund companies are reinventing themselves to work with, and for, people who may need to finance a 30 - year retirement.

For those who don't have time to research individual companies, services such as Betterment provide investment advice and diversified, fully automated investment management to customers for less than the typical cost of a traditional financial advisFor those who don't have time to research individual companies, services such as Betterment provide investment advice and diversified, fully automated investment management to customers for less than the typical cost of a traditional financial advisfor less than the typical cost of a traditional financial adviser.

In both instances, these services or products may include: company financial data and economic data (e.g., unemployment, inflation rates and GDP figures), stock quotes, last sale prices and trading volumes, research reports analyzing the performance of a particular company or stock, narrowly distributed trade magazines or technical journals covering specific industries, products, or issuers, seminars or conferences registration fees which provide substantive content relating to eligible research, quantitative analytical software and software that provides analyses of securities portfolios, trading strategies and pre / post trade analytics, discussions with research analysts or meetings with corporate executives which provide a means of obtaining oral advice on securities, markets or particular issuers, short - term custody related to effecting particular transactions and clearance and settlement of those trades, lines between the broker - dealer and order management systems operated by a third party vendor, dedicated lines between the broker - dealer and the investment adviser's order management system, dedicated lines providing direct dial - up service between the investment adviser and the trading desk at the broker - dealer, message services used to transmit orders to broker - dealers for execution, electronic communication of allocation instructions between institutions and broker - dealers, comparison services required by the SEC or another regulator (e.g., use of electronic confirmation and affirmation of institutional trades), exchange of messages among broker - dealers, custodians, and institutions related to a trade, post-trade matching of trade information, routing settlement instructions to custodian banks and broker - dealers» clearing agents, software that provides algorithmic trading strategies, and trading software operated by a broker - dealer to route orders to market centers or direct market access systems.

James has acted for life and general insurers investment managers, financial advisers, brokers and other financial services companies and regulators on regulatory, distribution, risk transfer, product development, funds and outsourcing matters as well as mergers and acquisitions.

A nationally recognized adviser to financial services, energy and technology companies, Bob is known for efficient, creative and early dispute resolution.

At Smith Barney and other financial - services companies, applications are up for programs designed to train new financial advisers, the position most financial institutions rely on as their primary sales role, Romero said.