Sentences with phrase «fee disclosure with»

That's despite all the talk about trailer - fee disclosure with the full implementation of CRM2.

Not exact matches

For instance, a study from America's Best 401k, a Scottsdale, Arizona - based firm that works with retirement plans, reviewed fee disclosures for 11 insurers and payroll companies that specialize in plans with less than $ 10 million in assets.

«Evolving regulatory disclosure requirements have increased the disclosure in recent years of information about fees in the industry, but there is nothing new nor unusual about our fees and administrative expenses or disclosure practices which are fully compliant with regulatory requirements,» wrote O'Brien and Poirier to Maclean's.

Costs are both financial, including listing fees and the expenses associated with mandatory disclosures and other regulatory requirements, and less tangible, such as the perceived burden of quarterly earnings releases, the risk of being targeted by activist investors, and higher visibility that can result in political or competitive pressure.

The company would have to file a notice with the regulatory department; pay a registration fee of $ 250; provide evidence of registration with FinCEN as a money services business; agree to not invest or pledge virtual currency in its custody or control on behalf of others or to engage in the exchange or transfer of legal tender; and prove its policies for reporting, disclosures, and compliance.

I also think these advisors will have a tougher time competing with fee - only advisors that won't need to have their clients sign a complicated BICE disclosure document

David R. Kotok, Chairman & Chief Investment Officer for Cumberland Advisors, sits down with Asset TV to discuss the Department of Labor's potential rules change to fiduciary responsibilities and how it would affect the disclosure of «pay to play» fees.

Many factors could cause BlackBerry's actual results, performance or achievements to differ materially from those expressed or implied by the forward - looking statements, including, without limitation: BlackBerry's ability to enhance its current products and services, or develop new products and services in a timely manner or at competitive prices, including risks related to new product introductions; risks related to BlackBerry's ability to mitigate the impact of the anticipated decline in BlackBerry's infrastructure access fees on its consolidated revenue by developing an integrated services and software offering; intense competition, rapid change and significant strategic alliances within BlackBerry's industry; BlackBerry's reliance on carrier partners and distributors; risks associated with BlackBerry's foreign operations, including risks related to recent political and economic developments in Venezuela and the impact of foreign currency restrictions; risks relating to network disruptions and other business interruptions, including costs, potential liabilities, lost revenues and reputational damage associated with service interruptions; risks related to BlackBerry's ability to implement and to realize the anticipated benefits of its CORE program; BlackBerry's ability to maintain or increase its cash balance; security risks; BlackBerry's ability to attract and retain key personnel; risks related to intellectual property rights; BlackBerry's ability to expand and manage BlackBerry (R) World (TM); risks related to the collection, storage, transmission, use and disclosure of confidential and personal information;

Many factors could cause BlackBerry's actual results, performance or achievements to differ materially from those expressed or implied by the forward - looking statements, including, without limitation: BlackBerry's ability to enhance its current products and services, or develop new products and services in a timely manner or at competitive prices, including risks related to new product introductions; risks related to BlackBerry's ability to mitigate the impact of the anticipated decline in BlackBerry's infrastructure access fees on its consolidated revenue by developing an integrated services and software offering; intense competition, rapid change and significant strategic alliances within BlackBerry's industry; BlackBerry's reliance on carrier partners and distributors; risks associated with BlackBerry's foreign operations, including risks related to recent political and economic developments in Venezuela and the impact of foreign currency restrictions; risks relating to network disruptions and other business interruptions, including costs, potential liabilities, lost revenues and reputational damage associated with service interruptions; risks related to BlackBerry's ability to implement and to realize the anticipated benefits of its CORE program; BlackBerry's ability to maintain or increase its cash balance; security risks; BlackBerry's ability to attract and retain key personnel; risks related to intellectual property rights; BlackBerry's ability to expand and manage BlackBerry ® World ™; risks related to the collection, storage, transmission, use and disclosure of confidential and personal information; BlackBerry's ability to manage inventory and asset risk; BlackBerry's reliance on suppliers of functional components for its products and risks relating to its supply chain; BlackBerry's ability to obtain rights to use software or components supplied by third parties; BlackBerry's ability to successfully maintain and enhance its brand; risks related to government regulations, including regulations relating to encryption technology; BlackBerry's ability to continue to adapt to recent board and management changes and headcount reductions; reliance on strategic alliances with third - party network infrastructure developers, software platform vendors and service platform vendors; BlackBerry's reliance on third - party manufacturers; potential defects and vulnerabilities in BlackBerry's products; risks related to litigation, including litigation claims arising from BlackBerry's practice of providing forward - looking guidance; potential charges relating to the impairment of intangible assets recorded on BlackBerry's balance sheet; risks as a result of actions of activist shareholders; government regulation of wireless spectrum and radio frequencies; risks related to economic and geopolitical conditions; risks associated with acquisitions; foreign exchange risks; and difficulties in forecasting BlackBerry's financial results given the rapid technological changes, evolving industry standards, intense competition and short product life cycles that characterize the wireless communications industry.

Fiduciary duties of loyalty and due care are replaced with broker - dealer guidance on suitable «broker sales» recommendations, support for conflicted advice, inadequate disclosure, and unrestrained fees.

While not all providers with revenue sharing may be deemed fiduciaries, the risk of potential liability may cause many to evaluate their fee disclosure procedures and make pre-emptive changes.

View Edward Jones Trust Company disclosures, including fee disclosure statement with affiliate and mutual fund fee information.

The two trials laid bare many of the secrets the commission might have uncovered — with testimony about the vast, almost unilateral power exercised by legislative leaders, the way powerful real estate interests dole out campaign contributions, legal referrals and jobs to line politicians» pockets and maintain access, and how money is hidden by evading disclosure laws and funneling it through relatives, law firms and title fees.

Those consulting fees were listed on Percoco's 2014 financial disclosure form on file with the state Joint Commission on Public Ethics.

Percoco reported in his state financial disclosure filing for 2014 that he received up to $ 125,000 in non-campaign related consulting fees from two companies with big business before the state - Syracuse - area COR Development and CHA Consulting, an Albany - based engineering firm.

Greig says he has been paid by Clark and Campusano (though he declined to disclose how much), who opened a campaign fundraising account in late August, presumably to help meet their legal fees and will be obligated to file an «11 - day pre-primary» financial disclosure with the state Board of Election on September 1 or «10 - day post-primary» disclosure by September 22, depending on when the account is processed by the BOE.

Financial disclosure statements from a former senior aide and campaign manager to Gov. Andrew M. Cuomo, currently at the center of an investigation involving improper lobbying and conflicts of interest, show that he earned at least $ 70,000 in consulting fees in 2014 from two entities that do business with the state.

Personal information will only be passed on to third parties if necessary to provide the service offered (e.g. payment processing for fee - based memberships), and if you have given us your consent or disclosure in accordance with relevant statutory provisions that are required or permitted (e.g. if we have to comply with a request, a governmental investigative or security agency).

Personal information will only be passed on to third parties if necessary to provide the service offered (e.g. payment processing for fee - based memberships), or if you have given us your consent or disclosure is required in accordance with relevant statutory provisions that are required or permitted (e.g. if we have to comply with a request, a governmental investigative or security agency).

Personal data will only be passed on to third parties if necessary to provide the service offered (e.g. payment processing for fee - based memberships), and if you have given us your consent or disclosure in accordance with relevant statutory provisions that are required or permitted (e.g. if we have to comply with a request, a governmental investigative or security agency).

The Office of the Assistant General Counsel for Aviation Enforcement and Proceedings (Enforcement Office) will, if appropriate, continue to pursue enforcement action where it finds violations of 14 CFR 399.85 (c) and 399.87, which deal with the disclosure and assessment of baggage fees.

Amazon based its European headquarters in Luxembourg with the express intent of avoiding most of the tax fees that plague international companies; however, in full disclosure and with the intent of not painting any «bad guys» in the scenario, a large number of companies follow the same real estate principle, including Google and Starbucks.

Get a disclosure statement with each offer so you can compare fees.

A clear picture of subpar returns, combined with a cold - water splash of fee disclosure, could lead some investors to dump their advisors.

The government intends to establish an expert panel to study the scope for an Adult Fitness Tax Credit; it also has an initiative in progress to investigate the price gap between U.S. and Canadian goods and services, plus a commitment to work with mortgage lenders to improve voluntary disclosure of mortgage prepayment penalty fees

You can find out whether your credit card charges FX fees by looking at the rates disclosure that comes standard with every card.

The figures correspond with disclosure from a number of State Street ETFs, which reportedly pay variable fees equal to 0.03 % of assets, some with break points at a certain scale.

Since plan participants can not change record keepers or even advisors on the plan, FeeX focuses on investment fees — which might be easier to discover with the advent of 408 (b)(2) and 404 (a)(5) disclosures.

However, we think this will soon change with the roll out of Phase II of the Client Relationship Model (CRM II) and the uniform standard disclosure of both fees and performance.

Also some of the 401 (k) providers look sponsors in to their plans with crazy high exit fees that were written in 6 point font on page 96 of the plan disclosure document in some combination of legalese and calculous.

Compare mortgage quotes: insist on written disclosures with mortgage rates and fees.

The LE outlines fees associated with a new mortgage and combines information from other disclosures to provide valuable upfront information you should know about getting a new mortgage.

* For information about rates, fees, other costs and benefits associated with the use of this card or to apply, click on link above and refer to the disclosures accompanying the online credit card application.

I wish that honest financial advisors would put together a one - pager fee disclosure, and would be required to go over it with clients.

As well as an annual fee disclosure statement, you must also be provided with a renewal notice for the ongoing fee arrangement every 2 years.

CRM2 was a significant step toward fee transparency, but because it doesn't require disclosure of all costs associated with investments, investment advocates say that Canadian investors still have an incomplete awareness of the costs they pay.

A facilitator of a refund anticipation loan or refund anticipation check may not advertise or market a refund anticipation loan without including in the advertising or marketing materials a disclosure that the product is a loan and that tax refunds can be obtained without a loan or extra fees if tax returns are electronically filed with direct deposit.

Credit One Bank does provide an easier to read terms - and - conditions disclosure document with a range of the possible fees, interest rates, and terms you may encounter as a cardholder.

All credit cards come with detailed rates and fees disclosures so you can be a knowledgeable cardholder.

The fee disclosure transparency ratings, when published, will provide advisors with concrete basis to recommend a service provider to their plan sponsor clients.

We ensure all information obtained from you is electronically secure and all transactions are conducted with strict regulation regarding fees and APR disclosures.

DISCLOSURE: These programs may have an adverse effect on credit, fees are usually included, creditors can sue and there are potential tax consequences that come along with a debt settlement program.

With credit card penalty rates and fees now common, the Federal Reserve has begun efforts to revise disclosures to better inform consumers of these costs.

Investors interested in investing with a managed futures program (excepting those programs which are offered exclusively to qualified eligible persons as that term is defined by CFTC regulation 4.7) will be required to receive and sign off on a disclosure document in compliance with certain CFT rules The disclosure documents contains a complete description of the principal risk factors and each fee to be charged to your account by the CTA, as well as the composite performance of accounts under the CTA's management over at least the most recent five years.

They are designed to make it easier for plan sponsors to comply with new Department of Labor (DOL) fee disclosure regulations by separating mutual fund expenses from recordkeeping and other service - provider fees.

This loan offer will contained detailed information about the terms of the loan offer such as the disclosure of the rates and fees along with the repayment schedule.

With great difficulty, after many years of obfuscation (translation: stonewalling, wailing and gnashing of teeth) from the financial industry, regulators are just now forcing partial investment fee disclosure in annual investor statements.

I think the real long - term impact of CRM II disclosures rests with something else: the subtle alchemy that comes from people comparing the advisory fees and the performance reporting simultaneously.

The suits are settled with no payment to shareholders, just for attorney's fees and expenses plus some additional disclosures.

The CFPB deemed these forms too confusing because fees, calculations, and explanations were spread across two separate multi-page disclosures, so the bureau updated the forms effective with all loan applications after October 3, 2015.