Sentences with phrase «defined as an advisor»

Not exact matches

This week, the DOL delayed the effective date of its Fiduciary Rule — which would define all retirement plan financial advisors as ERISA fiduciaries, effectively banning conflicted 401 (k) investment advice that puts advisor profit ahead of client interests — by 60 days from April 10, 2017 to June 9, 2017.

Signs of the changes percolating in the retirement market were everywhere on Wednesday at Dimensional Fund Advisors» first - ever conference focused on the defined contribution space, from the jokes DFA's David Booth told at the expense of the existing king of the retirement market, Fidelity, to the news of the investment product DFA is rolling out to serve as a combination default option and lesson in responsibility for employees who are the least engaged in their retirement planning.

Chetney expects much of the demand for the new Morningstar service will come from independent broker - dealers such as LPL, Commonwealth Financial Network and Cambridge Investment Research, which could mandate that their advisors use a third party to assume the fiduciary responsibility for defined contribution plans.

All data based on Fidelity analysis of 22,000 corporate defined contribution plans (including advisor - sold DC) and 13.6 million participants as of December 31, 2015.

It serves consultants and institutional investors, such as defined benefit and defined contribution plans, endowments, and financial advisors.

Sundt (left) defined «crisis alpha» as the ability to generate returns at a time of crisis, and cited 20 years worth of data from his firm's Altegris 40 index of top commodity trading advisors (CTAs) to prove the point.

Further, the final rule defines a variety of investment education activities that fall short of fiduciary conduct, and makes clear that advisors do not act as fiduciaries merely by recommending that a customer hire them to render advisory or asset management services.

Under the Employee Retirement Income Security Act, a fiduciary investment advisor is defined as one who «renders investment advice for a fee or other compensation.»

Further, as noted by Avril Haines, the former U.S. deputy national security advisor, unlike physical acts of war, there are no «metrics» for defining or measuring cyber-attacks.

There are a limited number of employer - sponsored defined benefit plans (pensions) available as it is, said Henry Ford, principal and senior advisor for LifeSteps Financial, a registered investment advisory firm.

Before that, he served two years as director of Investing Consulting at the Hartford, working with defined contribution plan sponsors, consultants and advisors.

(1) engage in the «Geographic Area» (as defined below) as an employee, agent, consultant, advisor, independent contractor, proprietor, partner, officer, director, or otherwise of a Competing Business (as defined below); (2) have any ownership interest (except for passive ownership of one percent (1 %) or less in any entity whose securities have been registered under the Securities Act of 1933 or Section 12 of the Securities Exchange Act of 1934 or the securities laws of any other jurisdiction of the United States) in a Competing Business; or (3) participate in the financing, operation, management, or control of a Competing Business.

Focusing on Cloud Computing and Big Data, Marketplaces, Mobility 2.0, New Age Media, Social Mobile, and Sustainability, we are defined by the extensive business experience of our partners, as well as the domain expertise of our investors and strategic advisors.

The purpose of this Gift Acceptance Policy is to define the practices and policies governing the acceptance of gifts by NEA and to provide guidance to prospective donors and their advisors when making gifts to NEA, so as to facilitate the gift - giving process.

The processes and protocols used for empowering the committee to define the Educators Rising Standards were borrowed from the National Board for Professional Teaching Standards (NBPTS), who served as a partner and advisor at every stage of the project.

(b) engaged as an «investment advisor» as that term is defined in Section 201 (11) of the Investment Advisor's Act of 1940 (whether or not registered or qualified under that Act), nor (c) employed by a bank or other organization exempt from registration under Federal and / or state securities laws to perform functions that would require him or her to be so registered or qualified if he or she were to perform such functions for an organization not so exempt.

Advisors see the rise of the robos as the evolution from exchange traded funds, which are portfolios of defined assets traditionally run as clones of indexes, to financial plans based on passive management of the client's entire fortune.

Here's the impact that the new fiduciary rules will have on financial advisors serving as advisors to 401 (k) and other defined contribution plans.

For our services as financial advisor to the Company, if a Transaction (as defined in the Engagement Letter) is successfully completed we will receive an additional larger fee.

It serves consultants and institutional investors, such as defined benefit and defined contribution plans, endowments, and financial advisors.

[Starwood] today announced that it has received a revised binding and fully financed proposal from a consortium consisting of Anbang Insurance Group Co., Ltd., J.C. Flowers & Co. and Primavera Capital Limited (the «Consortium»), that the Starwood Board of Directors, in consultation with its legal and financial advisors, has determined constitutes a «Superior Proposal,» as defined in Starwood's merger agreement with Marriott International, Inc..

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Cembre S.p.A. informs to have signed, assisted by «Studio Tributario e Societario Deloitte» as tax advisor, the agreement with the Tax Authority defining methods and criteria in order to calculate the...

Cembre S.p.A. informs to have signed, assisted by «Studio Tributario e Societario Deloitte» as tax advisor, the agreement with the Tax Authority defining methods and criteria in order to calculate the economic contribution to the production of intangible property income for the purposes of the so - called Patent Box regime, with reference to fiscal years 2015 - 2019.

Cembre S.p.A. informs to have signed, assisted by «Studio Tributario e Societario Deloitte» as tax advisor, the agreement with the Tax Authority defining methods and criteria in order to calculate the economic contribution to the production of intangible property income for the purposes of the...

I mean, essentially some of you define as what I see as a financial advisor, 90 % of our clients are securities licensed.

Webster's defines «disappointment» as an expectation that goes unfulfilled, a situation to which career advisors are far from immune.

If ever you feel that you have been victimized by a commissioned sales person, be it a Realtor, a Mortgage Broker / salesperson, or a fee - for - services person like an Appraiser, a new - age real estate «fee - for - service» advisor, or even by a lawyer, under the legally defined terms of Negligent Misrepresentation, or as in Crazy Guy's case, «Fraudulent Misrepresentation», stand firm if you are morally outraged by these bullying tactics, and fight the good fight.