Sentences with phrase «including client money»

Advising on the detailed provisions of the FSA Handbook for various clients, including client money issues and the application of the Financial Services Compensation Scheme).

Accordingly, if the intention of CASS7 is to include all client money in the expression «client money account», the term must be wider than accounts containing segregated monies.»

Not exact matches

Betterment has shifted its strategy to capture clients from much larger money managers, including Charles Schwab and Morgan Stanley, who skew older and wealthier.

There will be no severance pay, and the deal did not include any renumeration for clients, like me, who have lost their money.

Last week, the U.S. Treasury accused ABLV bank of «institutionalized money laundering,» including allowing its clients to conduct business with parties connected to North Korea.

With assets under administration of $ 5.2 trillion, including managed assets of $ 2.1 trillion as of April 30, 2015, we focus on meeting the unique needs of a diverse set of customers: helping more than 24 million people invest their own life savings, nearly 20,000 businesses manage employee benefit programs, as well as providing nearly 10,000 advisory firms with technology solutions to invest their own clients» money.

With assets under administration of $ 6.2 trillion, including managed assets of $ 2.3 trillion as of June 30, 2017, we focus on meeting the unique needs of a diverse set of customers: helping more than 24 million people invest their own life savings, nearly 20,000 businesses manage employee benefit programs, as well as providing nearly 10,000 advisory firms with technology solutions to invest their own clients» money.

With assets under administration of $ 6.9 trillion, including managed assets of $ 2.5 trillion as of March 31, 2018, we focus on meeting the unique needs of a diverse set of customers: helping more than 27 million people invest their own life savings, 23,000 businesses manage employee benefit programs, as well as providing more than 12,500 financial advisory firms with investment and technology solutions to invest their own clients» money.

With assets under administration of $ 6.9 trillion, including managed assets of $ 2.5 trillion as of February 28, 2018, we focus on meeting the unique needs of a diverse set of customers: helping more than 27 million people invest their own life savings, 23,000 businesses manage employee benefit programs, as well as providing more than 12,500 financial advisory firms with investment and technology solutions to invest their own clients» money.

The executives» corner - cutting on compliance adds to the embarrassment and regulatory headaches for Zurich - based Credit Suisse, which has had to pay billions of dollars of fines to U.S. authorities in recent years over a wide range of allegations, including mis - selling of mortgage - backed securities, deficiencies in its anti-money-laundering program, front - running clients on foreign - exchange trades and violating U.S. sanctions by secretly funneling money from Iran through American banks.

For institutional investors, including McKinsey clients, there's an obvious attraction in the prospect of upfront government money providing a measure of security in what might otherwise look like risky infrastructure ventures.

With assets under administration of $ 6.2 trillion, including managed assets of $ 2.2 trillion as of May 31, 2017, we focus on meeting the unique needs of a diverse set of customers: helping more than 26 million people invest their own life savings, nearly 23,000 businesses manage employee benefit programs, as well as providing nearly 12,500 advisory firms with technology solutions to invest their own clients» money.

MSCI's clients include 97 of the top 100 largest money managers.

Shares of T. Rowe Price Group Inc. took a beating in Thursday's market after the Baltimore money manager reported fourth - quarter results that included the outflow of $ 5 billion in clients» investments.Shares in the Baltimore - based money management firm...

During a raid last month, FBI agents seized records about Cohen's clients and personal finances — including documents related to money that Cohen paid adult - film star Stormy Daniels to remain silent about an alleged decade - old affair with Trump.

For many people who come into sudden wealth, «the initial instinct is to spend the money like it is going to last forever,» said Horrigan, a certified financial planner whose clients include business owners, doctors and other types of wealthy individuals.

Once Levy was a Madoff client, the relationship included classic, unchecked evidence of money laundering for years and years that should have resulted in legally - mandated Suspicious Activity Reports (SARs) filed with the U.S. Treasury Department's Financial Crimes Enforcement Network (FinCEN).

Tove Ryding, a tax coordinator for Eurodad, told CNBC she wasn't surprised by Germany's ranking and money laundering risk, given the number of recent scandals involving German banks including Deutsche Bank, which was fined by South African anti-money laundering regulators in February, and saw investigations launched over alleged money laundering for Russian clients in June.

I should start by noting that the line can move for a variety of reasons including injuries, weather and officials, but most of the time oddsmakers shade their opening lines to account for public money on the favorite and then allow sharp money from their most respected clients to shape the line.

The spread can move for a variety of reasons including injuries, weather, and officials, but most of the time oddsmakers shade their opening lines to account for public money on the favorite and then allow sharp money from their most respected clients to shape the line.

Even if Silver was taking the money and not detailing it — he recently admitted the $ 650,000 in outside earnings he listed on his 2013 disclosure form included private law clients in addition to payments from Weitz & Luxenberg, a large plaintiff's firm — a failure of disclosure is not a federal offense.

Lobbyist Todd Howe repeatedly emailed his clients — including executives at LPCiminelli who are facing charges of bid - rigging — about giving money to Gov. Andrew Cuomo and his then running mate, -LSB-...]

The documents show how clients — including 72 current or former heads of state — were helped to launder money, dodge sanctions and evade tax.

But he ended up shutting down his own highly touted investigative body, the Moreland Commission, when its members began to hone in on the root of all problems in Albany: outside money earned by lawmakers, and specifically lawyers who have long claimed they couldn't disclose details of their work — including their clients — because that would be a breach of lawyer - client privilege.

This can include continuing to build my brand through social media and connecting with bloggers; money management through understanding cash flows and reconciling book keeping; managing existing client relationships and looking for growth opportunities; to ultimately baking in the kitchen!

Our commitment to making your debt recovery process work includes access to free budgeting, money management and credit rebuilding learning centre offered to our clients.

Mizgala gets new clients to fill out a questionnaire, which includes questions about what they would like to do if money was no object.

We make sure our clients get the most out of their benefit and take advantage of every opportunity it provides including no money down options, no private mortgage insurance and competitive interest rates.

With assets under administration of $ 6.2 trillion, including managed assets of $ 2.3 trillion as of June 30, 2017, we focus on meeting the unique needs of a diverse set of customers: helping more than 24 million people invest their own life savings, nearly 20,000 businesses manage employee benefit programs, as well as providing nearly 10,000 advisory firms with technology solutions to invest their own clients» money.

Neil Woodford — BBC Hardtalk 30 minute interview This Stephen Sackur BBC interview with London Value Investor Conference speaker Neil Woodford covers a variety of topics including the reasons for Neil's stunning success as a fund manager, the skill sets that he thinks are important for managers and entrepreneurs, his thoughts on the Eurozone; plus Neil also comments on the lack of value for money that the fund management industry is providing to clients because many funds are «taking fees for active management and returning passive yields».

I believe thousands of do - it - yourself investors have directly benefited from this combination, which reflects the way that Merriman Wealth Management (with which I am no longer affiliated) still manages money for clients, including a major portion of my own portfolio.

Through our relationship with LPL Financial, our clients have access to a wide array of financial and wealth management strategies, including services such as professional money management, retirement and education planning, and investment products including stocks, bonds, mutual funds, annuities, and insurance products.

-- Fast transfers — the Wallet allows the client to deposit money to your trading account at any time and any place, RAMM and Stocks accounts included.

One of the main features of EightCap MAM program is that it allows money managers the ability to personalise all of the trading conditions for their clients — including choosing from various allocation methods and customising the commission and spread mark - ups, leverage, performance fees, account currency and margin call / stop out levels.

Most brokers I know have had at least a 30 % drop in their salary (not including the clients who have taken their money elsewhere).

An OTC CFD provider should maintain and apply a clear policy on the use of client money, including whether they use money deposited by one investor to meet the margin or settlement requirements of another.

Include kudos from superiors examples of ways you saved the company money or landed the big clients.

HSBC Securities clients may elect to have their idle cash balances swept into money market funds including funds that are managed by AMUS and affiliates, and for which they receive advisory fees.

She continued to raise money for local and national political and non-profit clients including Arizona Sonora Desert Museum, Morris K. Udall and Scottsdale Center for the Arts.

Client shall be responsible for all other costs, including, without limitation: excess, oversized or sporting equipment baggage fees; personal spending money; travel insurance; airport taxes; customs and duties; passport and inoculation costs; personal meals and beverages and gratuities.

Marc Drier's clients include (Bill Cosby, Tim Burton, Justin Timberlake, and 50 Cent among them), the one - time legal honcho spent at lest $ 10 million of his firm's money at the Gagosian Gallery last year.

For example your client acquisition cost is the KPI that tells you how much it costs for you to acquire a new client, including time spent networking, money spent on advertising, etc..

This week, the Supreme Court of Canada will hear five appeals including a number of significant cases that will determine the rights of the Crown to «take up» Aboriginal lands under treaty; the right of public - sector workers in Saskatchewan to strike; and the extent of solicitor - client privilege as it pertains to money laundering laws.

Furthermore, if your lawyer includes a practice of taking money from clients without having done any significant work, individuals clients are now able to make their complaints openly known effortlessly.

Barry, Michael and the team have previously advised on various regulatory and criminal investigations, including insider dealing, Libor manipulation, FX, mis - selling, client money and data protection / security.

As previously reported in Law Times, Keshen was accused of several acts of misconduct, including failing to pay Indian residential school clients their full settlements within a reasonable period of time after receiving them, and transferring settlement funds for clients from his trust account to his general account «without any legal entitlement to the monies.»

The list includes spending money — he recommends shelling out at least 2.5 percent of gross revenue on marketing, doing things like jazzing up your Web site with video — and start with low hanging fruit by mining existing clients for additional work.

Mr. Rice has defended clients charged in a broad range of cases including conspiracy, drug trafficking, fraud, money laundering, criminal organization offences, homicide and regulatory offences.

The sooner you can adopt the mindset Alex finds at the end of the book the sooner you'll have the law firm you've dreamed of having, including throngs of happy clients and lots of money in your pocket.

She has appeared on behalf of clients charged with a full spectrum of offences, including murder and other serious violent offences, fraud and money laundering matters, drug and sexual offences.