Sentences with phrase «forms of advisory services»

Leveraging our leading institutional distribution platform, our goal is to provide our clients with solutions across all banking products, including initial public offerings, follow - on offerings, wall - crossed offerings, bought deals, private placements, ATMs, convertible offerings, leveraged loans, investment grade and high - yield debt offerings and all forms of advisory services.

Not exact matches

Ameriprise advisors receive compensation for financial advisory services in the form of commission and fee.

Jon Smith is a co-founder of DT Investment Partners, which was formed in 2011 to separate investment management from Daniels + Tansey's financial advisory and tax services.

RIAs are eligible to participate in the Program if they represent to Fidelity Investments that they meet the following criteria: (1) RIA is an investment adviser registered and in good standing with the U.S. Securities and Exchange Commission and / or any applicable state securities regulatory authorities or is exempt from such registration; (2) RIA's representatives who provide services to referred clients are appropriately registered / licensed as «Investment Advisers Representatives» in required jurisdictions; (3) RIA charges fee - based, asset - based, or flat - rate investment advisory service fees (which may include hourly fees); (4) RIA will maintain a minimum of $ 350,000,000 in total regulatory assets under management, as reported in response to Item 5 in Part 1A of the RIA's Form ADV, throughout the duration of RIA's participation in the Program; (5) RIA and all associated persons of the RIA who manage client assets or who supervise such associated persons shall at all times be covered through both Errors and Omissions Liability Insurance and Fidelity Bond Coverage; and (6) RIA maintains a minimum of two principals or officers as well as a minimum of five employees.

The Chicago Park District hopes to address complaints against its harbor - management company by forming an advisory committee made up largely of boaters and sending in «secret shoppers» to evaluate the company's customer service practices.

There has been a determination to ensure staff cleanse their hands between patients with the «Cleanyourhands» campaign, although this has now been closed down, there are some in the Health Service who are determined to see the work of the former campaign continue by forming a new advisory group along with patient groups.

Andrews is joint owner of Data IQ, which was formed in 1996 and specialises in «data governance, research, audit and advisory services and technologies to firstly de-risk data assets and once protected help our clients use their data to drive business performance.»

Andrews is the joint owner of Data IQ, which was formed in 1996 and specialises in «data governance, research, audit and advisory services and technologies to firstly de-risk data assets and once protected help our clients use their data to drive business performance.»

ML Wealth does not participate, at this time, in wrap fee programs, which are arrangements between broker - dealers, investment advisers, banks and other financial institutions and affiliated and unaffiliated investment advisers through which the clients of such firms receive discretionary investment advisory, execution, clearing and custodial services in a «bundled» form.

Form ADV Part 2 acts as a disclosure document for clients of the business and includes information such as advisory services offered, advisor's fee schedule, whether the investment advisor acts as a broker - dealer and transacts securities, disciplinary information, and conflicts of interest.

Information pertaining to SoFi Wealth's advisory operations, services, and fees is set forth in SoFi Wealth's current Form ADV Part 2 (Brochure), a copy of which is available upon request and at www.adviserinfo.sec.gov.

Information pertaining to IFA's advisory operations, services, and fees is set forth in IFAs» current Form ADV Part 2 (Brochure), a copy of which is available upon request and at www.adviserinfo.sec.gov.

The National Association of Software and Services Companies announced that it had formed an international advisory board to help curate the speaker lie - up for the NASSCOM GDC, as well as working to establish relationships with other firms such as sponsors and trade bodies.

The gallery provides a full - range of art advisory services, from forming and maintaining a collection, to securing secondary market material, to assisting with framing and installation.

The gallery offers a full range of art advisory services, from forming and maintaining a collection to framing and installation.

• Ensure that the limit on coal financing in the Energy Directions paper is comprehensive and applies to all forms of World Bank Group support, including development policy loans, financial intermediaries, and advisory services.

«Software is eating the world and legal services have to be delivered now in some form other than a text - based narrative or by an advisory consultant... Increasingly, lawyers are going to be needed to build information products comprised of a mix of tech, design [and] project management.

Construction We offer our construction clients a comprehensive advisory service, from drafting and reviewing standard - form and bespoke contracts with the aim of avoiding future disputes, to representing our clients» interests in court when disputes do arise.