Sentences with phrase «by a financial adviser as»

This should be evaluated by a financial adviser as part of the total picture.»

Not exact matches

Lee - Chin, a civil engineer by trade, landed a job as a financial adviser in 1977 after struggling to find work in his field.

Credit Suisse acted as lead financial adviser to Campbell, which was also advised by Rothschild.

Moreover, financial institutions and advisers who do not provide impartial advice as required by the Rule and PTEs would violate the prohibited transaction rules of the Code.

Provided by the Financial Industry Regulatory Authority (FINRA), BrokerCheck is a free tool to help investors research the professional backgrounds of current and former FINRA - registered brokerage firms and brokers, as well as investment adviser firms and representatives.

By the way, I love my clients, as most financial advisers do.

From that initial focus on financial planning, we expanded our efforts to include holding brokers to a fiduciary standard when they hold themselves out as advisers or as providing financial planning, which had become quite common by the 1990s.

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.

Workers who aren't saving as much as they want to can aim to get there over time by having their contribution rate increase automatically by one or two percentage points each year, financial advisers say.

Tailer fee, also known as Trail commission is paid by investment management companies to financial advisers and is generally around 1 % of the value of the portfolio.

Investigators have been looking at whether coaches at these schools have been paid by outside entities — such as financial advisers, agents, and apparel companies — in exchange for pressuring players to associate with those entities, people familiar with the investigation said.

Kaiman, who announced last Sunday he would leave his state posts as chairman of the Nassau Interim Finance Authority and special adviser to Gov. Andrew M. Cuomo on storm recovery to run for the congressional seat held by retiring Rep. Steve Israel (D - Huntington), said he was not familiar with the scope of Terry's financial problems.

Originally published in 1975, Fergusson later served as an adviser to Geoffrey Howe, and now Warren Buffett has recommended it as a warning of the changes posed by Europe's current financial crisis.

His uncle, Kenneth Moelis, is a financial consultant whose firm, Moelis & Co., was hired by the administration last year as an adviser on gambling matters.

Your financial adviser can help you manage your cash flow better by helping you set up a budget as part of a long - term financial plan.

Fee - for - service is also offered by a newer category of financial advisers known as money coaches.

The account can in some cases be managed by a third party such as a financial adviser who has knowledge and experience in investments.

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.

In - house products are products that are provided by a related party, such as the bank or other financial institution the adviser is employed by.

Financial advisers estimate the risk tolerance of investors by asking them a set of questions, such as «What would you prefer $ 50,000 right now or a 50 % chance at $ 200,000?»

We act as your financial adviser in India by offering complete wealth management and other advisory services.

A financial planner (also known as a financial adviser) is a person or authorised representative of an organisation, licensed by ASIC, to provide advice on some or all of these areas of your finances: investing, superannuation, retirement planning, estate planning, risk management, insurance and taxation.

Brokers have a different relationship to other financial and professional advisers as they are, more often than not, paid for their work by commission from the lender.

He has also represented clients charged before the Financial Services and Markets Tribunal, as well as architects at the ARB and immigration advisers regulated by the OISC.

By way of Denise Howell comes word of the launch today by her law firm Reed Smith, in conjunction with DolphinSearch, of ComplianSeek, described as «a first - of - its - kind integration of law and technology designed specifically to help meet the regulatory compliance needs of investment advisers within the financial services community.&raquBy way of Denise Howell comes word of the launch today by her law firm Reed Smith, in conjunction with DolphinSearch, of ComplianSeek, described as «a first - of - its - kind integration of law and technology designed specifically to help meet the regulatory compliance needs of investment advisers within the financial services community.&raquby her law firm Reed Smith, in conjunction with DolphinSearch, of ComplianSeek, described as «a first - of - its - kind integration of law and technology designed specifically to help meet the regulatory compliance needs of investment advisers within the financial services community.»

It also acted as lead financial adviser to Actelion Pharmaceuticals in its $ 30bn acquisition by Johnson & Johnson and as joint global co-ordinator on the $ 13bn underwritten rights issue for UniCredit.

In this respect, observers should bear in mind that Calunius Capital, which has been authorised and regulated by the Financial Services Authority as an Investment Adviser since June 2007, acts as the adviser to the Calunius Litigation Risk Fund LP («The Calunius Fund»), a # 40 million private fund based in Guernsey.

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..

The litigation concerns claims made against the Defendants by subscribers to a film partnership scheme known as the Evolution Films Partnerships in connection with the Defendants» actions as (i) sponsor and promoter, (ii) administrator, and / or as appropriate (iii) tax and financial adviser in relation to the Evolution Films Partnerships.

com 94 Transactions This announcement appears as a matter of record only DPE Invests in Swiss IT Consultancy AWK Group Legal adviser: Legal structuring: Legal and tax structuring: Commercial due diligence provider: Financial and tax adviser: Debt advisory: DPE Invests in Swiss IT Consultancy AWK Group Funds advised by DPE Deutsche Private Equity Management III GmbH (DPE) are investing in the AWK Group, Zurich, the leading independent Swiss IT consulting specialist.

This announcement appears as a matter of record only Neuberger Berman Acquires Fondo Italiano di Investimento Portfolio Legal adviser: Financial adviser: Due diligence provider: Tax adviser: Neuberger Berman Acquires Fondo Italiano di Investimento Portfolio Funds managed by Neuberger Berman, includingNB SecondaryOpportunities fund IV LP, have acquired all units of Fondo Italiano di Investimento (FII).

Those markets in question, financial, tax, accountancy, regulatory, though each is different from the other, have underlying elements such as the fact that they are driven by changing laws of one kind or another and are professional adviser markets in which qualified people trade on the basis of expertise, professionalism, ethics and trust to gain and retain business.

We have a particular interest as a firm in this sector, and our experienced banking team, led by Avril McCammon and Julie Huddleston, were able to work alongside Bank of Ireland, the advisers acting for the company, and the Business Growth Fund, to reach financial close in a timely manner.

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.

The WandX team is supported by a broad range of influential advisers and partners, such as financial services expert Raghuttama Rao, blockchain pioneer Bryan Feinberg, management advisor Ramesh Srinivas, data scientist and ICO adviser Nagu Thogiti and fintech entrepreneur Yogesh Gaikwad.