Sentences with phrase «of fee disclosures»

In recent years, the U.S. Department of Labor (DOL) has released significant updates to regulations of fee disclosures to plan sponsors and plan participants.

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

Not exact matches

That's the judgment of several fee - only financial advisers whom MONEY asked to review the financial disclosure documents that Bush released to the public after announcing his run.

«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.

Pew wants more regulations to protect the people who use these cards — the sorts of things now required for checking accounts: clear disclosure of terms and fees, an easy way to track transactions, FDIC insurance and protection from unauthorized transactions.

This is a significant step up from regulators» previous efforts to improve the industry's disclosure of hidden or hard - to - understand charges on their statements, and it could at last move the needle on fees.

The state of New York is considering regulating online lenders after lawmakers found that there was «significant potential for unscrupulous online lenders to exploit consumers through predatory practices such as unusually high interest rates, lack of disclosure of hidden fees, and unclear loan terms.»

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.

Part V, as amended, requires that prior to an extension of credit, the plan must receive from the fiduciary written disclosure of (i) the rate of interest (or other fees) that will apply and (ii) the method of determining the balance upon which interest will be charged in the event that the fiduciary extends credit to avoid a failed purchase or sale of securities, as well as prior written disclosure of any changes to these terms.

Thus, reforms like stricter regulations on brokers, disclosure of 401 (k) fees, or requiring plan sponsors to offer more lower - cost index funds, would be band - aids; they wouldn't fix this fundamentally broken system.

The BICE allows advisors to retain commissions as well as 12b - 1 fees, revenue - sharing agreements and noncash incentives, among other compensation, but it must include disclosures of all indirect compensation.

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.

That's unfortunate given the erosive effect of 401 (k) fees, but hardly surprising when you consider most 401 (k) providers charge hidden fees that don't appear in participant statements or fee disclosures.

The Committee was established under the Dodd - Frank Wall Street Reform and Consumer Protection Act to advise the Commission on regulatory priorities, regulation of securities products, trading strategies, fee structures, disclosure effectiveness, and initiatives to protect investors and promote investor confidence and the integrity of the U.S. securities markets.

And, because the Trump Organization is a privately held company, the actual structure of the deal remains unknown: Though Trump declared more than $ 5 million in revenue from the property on his most recent financial - disclosure forms, it's unclear whether that sum represents a flat fee or a percent of the hotel's revenue.

We discuss implications for disclosure by institutional investors; regulation of their fees; stewardship codes; the rise of index investing; proxy advisors; hedge funds; wolf pack activism; and the allocation of power between corporate managers and shareholders.

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.

The proposed rule is expected to require brokers to provide advice that puts the clients» interests first while also requiring up front disclosures regarding fees, services, and conflicts of interest.

The new Form D will require some new disclosure in other areas, however, including a requirement to provide information on the recipients of sales commissions or finders fees.

ABOT Pakistan Stock Exchange — April 21, 2016 It's always encouraging to see a company improve its overall disclosure, including fees paid to the auditor, however, in this case the additional disclosure of tax advisory services has served to highlight the excessive non-audit fees paid to said auditor.

Ask lenders for full disclosure of points, closing costs, and other fees.

See http://janebryantquinn.com/2010/09/have-an-annuity-with-lifetime-income-guarantees-dont-give-it-up/ I have written negatively about equity - indexed annuities (which the industry likes to call «fixed annuities,» even though they aren't fixed), due to lack of disclosure, hidden fees and, yes, abusive sales, as several lawsuits by attorneys general can attest.

Now, a Securities Industry Financial and Markets Association (SIFMA) statement discusses conflicts of interest, disclosure and fee transparency.

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.

We probably would not have the fuss over the fiduciary rule if total and prominent disclosure of fees were done.

Information about account agreements, features and terms of service, fees, protection and privacy, terms and recurring disclosures.

Watch out, too, if the creditor tries to explain away every fee or cost of the disclosure.

As long as portals provide conflict of interest disclosure to issuers and investors, the receipt of a portion of a portal fee in securities is likely to help the industry and portals form sustainable businesses versus causing any problems.

According to the senator's July campaign disclosure report, he has spent $ 25,000 worth of political contributions so far on legal fees — including $ 15,000 to Albany firm Greenberg Traurig.

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.

Other expenses include a few thousand on school supplies, which he handed out in his district a few weeks ago, $ 14,000 in contributions to other political campaigns, and $ 3,243 to the State Board of Elections for violation fees (Espada has a history of failing to file his campaign disclosure reports.)

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.

Of particular concern was the fact that the legal fees Silver earned through a real estate tax firm doing work for developers, one of which regularly lobbied Silver directly, never appeared on his disclosure formOf particular concern was the fact that the legal fees Silver earned through a real estate tax firm doing work for developers, one of which regularly lobbied Silver directly, never appeared on his disclosure formof which regularly lobbied Silver directly, never appeared on his disclosure forms.

Registration would require him to file disclosures of clients and fees.

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.

* A balanced budget completed on time and without increased taxes, fees, assessment or borrowing * Full disclosure of all outside income * A non-partisan commission to redraw legislative district lines * Vote against any unfunded mandates

So prophylactic disclosure can save everyone a lot of time and lawyers» fees.

Conflict of Interest Disclosures: Dr Alexander reports institutional research grants from Boehringer Ingelheim, Bristol - Myers Squibb, CSL Behring, Pfizer, Sanofi, Regado Biosciences, Tenax, and Vivus and consulting fees / honoraria from Bristol - Myers Squibb, CSL Behring, Daiichi Sankyo, GlaxoSmithKline, Janssen, Pfizer, Portola, Sohmalution, and Xoma.

The commission and state and federal enforcement agencies have taken dozens of recent actions against dealerships, including credit - application fraud, add - on products disclosure and document - fee violations.

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.

Pacific Delight failed to include fuel surcharges, where applicable, in air tour prices it listed in a number of print advertisements and on its website and failed to provide adequate disclosure of additional charges and fees, such as taxes and other fees that may be listed separately.

EgyptAir violated rules requiring the disclosure of fees for baggage and the inclusion of assurances in its customer service plan allowing consumers to cancel a reservation without penalty for 24 hours after they book a flight and was assessed a civil penalty of $ 60,000.

The committee discussed airline policies on change and cancellation fees, the disclosure of hotel resort fees, and airline policies and procedures for the transport of baggage.

Royal Air Maroc violated the rule requiring the disclosure of fees for baggage and was assessed a civil penalty of $ 60,000.

Specifically, the new rule would: increase compensation for passengers involuntarily bumped from flights; allow passengers to make and cancel reservations within 24 hours without penalty; require full and prominently displayed disclosure of baggage fees as well as refunds and expense reimbursement when bags are not delivered on time; require fair price advertising; prohibit price increases after a ticket is purchased; and mandate timely notice of flight status changes.

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.

NewPages prefers disclosure of the fact you have a reading / submission fee in your ad copy.