Sentences with phrase «of registered investment»

During his tenure at the SEC, Mr. Viola worked on several compliance inspection projects and enforcement actions involving examinations of registered investment advisers, ensuring compliance with federal and state securities laws.

Representation of a registered investment advisor in SEC and private litigation alleging conversion of investor funds

A legal document that describes the main features, investment vehicles and administration procedures of a registered investment product.

In this way, the CTA is much like the commodities equivalent of a registered investment advisor for an individual's stock and bond portfolio.

I leave the day - to - day business operations of my Registered Investment Adviser with the SEC to colleagues at Pacific Park.

For 21 years he was the president and chief investment officer of a registered investment advisory firm with more than 50,000 clients.

However, I do not want to be paid an annual percentage of YOUR assets like 99 % of registered investment advisers who will take their fees out of YOUR assets year after year.

Provides access to a network of registered investment advisors that can provide customized wealth management and investment strategies.

The services provided are that of an registered investment advisor and include: managed portfolios, dividend paying stocks, income portfolio, covered call, cash secured puts and many others.

He told me that he was doing attestations for a number of his registered investment advisor clients.

Transactions undertaken by a registered investment adviser that is also a broker - dealer, will frequently trigger disclosure requirements under Rule 3280 to make it clear that advisory activities of a registered investment adviser fall outside the scope of Rule 3280.

The National Association of Active Investment Managers (NAAIM) is an association of registered investment advisors.

A large majority of registered investment advisors (RIAs) offer clients insurance planning.

Provides access to a network of registered investment advisors that can provide customized wealth management and investment strategies.

Because hedge funds cater to sophisticated accredited investors their investing and trading activities are less restricted by regulation than other forms of registered investments.

For example, it may be a great idea to look at TFSA's, RESP's, non-registered investments, capital or dividend intensive investments outside of registered investments, corporate investments, life insurance investments, private company investments, limited partnerships, public but infrequently used / known investments etc..

Not exact matches

There are rules already in place for investments in specific registered accounts — RRSPs, RRIFs and TFSAs — to prohibit certain advantages, such as the shifting of taxable income into a registered fund, swap transactions, non-arm's length portfolio investments, and the making of prohibited asset investments in a registered plan.

In May 2015 he and his brother, Ding Xiaoming, registered an investment company called Ninin, the same name Ding had used for a series of entities in Hong Kong, Macau, and mainland China.

Robbins is a board member and chief of investor psychology at Creative Planning, Inc., an SEC Registered Investment Advisor (RIA).

«I had some clients whose retirements were saved because of [variable annuity] contracts they purchased before the financial crisis,» said Marc Ruiz, a financial advisor with Oak Partners and a registered rep with SII Investments.

David Reyes is founder of Reyes Financial Architecture of La Jolla, Calif., a Registered Investment Advisory firm that acts as a fiduciary and specializes in portfolio risk management strategies, retirement income distribution and Social Security planning.

As part of its consumer protection mission, the SEC has implemented examinations that all SEC - registered investment advisors must undergo.

The IRS RMD rules can be a bit confusing, and failing to satisfy your annual RMD can be expensive, costing you an excise - tax penalty of up to 50 percent on the amount not distributed as required, warns Manisha Thakor, director of Wealth Strategies for Women at Buckingham and The BAM Alliance, a community of more than 140 independent registered investment advisors throughout the country.

As part of its consumer protection mission, the SEC has implemented an examination program that all SEC - registered investment advisors undergo on a periodic and somewhat random basis.

Registered investment advisors tend to loathe the thought of being examined by securities regulators.

«Although time - consuming, resource - intensive and somewhat disruptive, SEC examinations are just part of doing business as a registered investment advisor.»

Currently, registered investment advisors regulated by the Securities and Exchange Commission or state securities regulators are already held to a fiduciary standard of conduct under which they must act in their clients» best interests.

He says now he was only a «consultant CEO» of the UK - registered company Euro Forex Investment Ltd, and that he had used the «EuroFX» name for short.

One department produces non-sponsored analyst certified content generally in the form of press releases, articles and reports covering equities listed on NYSE and NASDAQ and the other produces sponsored content (in most cases not reviewed by a registered analyst), which typically consists of compensated investment newsletters, articles and reports covering listed stocks and micro-caps.

In the case of self - proclaimed wealth experts, anyone who brings attention to an investment and is compensated for resulting referrals can be defined as a dealer who must now be registered.

More than 3,100 buyers had registered for the 437 units that required an entry - level investment of 7 million yuan (US$ 1.1 million).

The company also has a strategic partnership with Fidelity Institutional Wealth Services that is putting Betterment's offerings on the radar of the 3,000 registered investment advisors that use Fidelity's services.

Congress should provide the SEC with resources and authority to improve oversight of federally registered investment advisers.

Over 90 percent of broker - dealers (BDs), registered investment advisers, insurance companies, agents, and consultants are small businesses according to the SBA size standards (13 CFR 121.201).

As highlighted in the Final Regulatory Flexibility Act Analysis for the Fiduciary Rule, 96.2, 97.3, and 99.3 percent of BDs, Registered Investment Advisors, and Insurers respectively are estimated to meet the SBAs definition of small business.

John Mauldin is the President of Mauldin Solutions, LLC, which is an investment advisory firm registered with multiple states.

Applying the ratio of entities that meet the SBA size standards to the number of affected entities, based on the methodology described at greater length in the RIA of the Fiduciary Rule, the Department estimates that the number of small entities affected by this final rule is 2,438 BDs, 16,521 Registered Investment Advisors, 496 insurers, and 3,358 other ERISA service providers.

The Advisor is an investment advisor registered in the State of California.

Although the Company was organized and intends to conduct its business in a manner so that it is not required to register as an investment company under the Investment Company Act of 1940, as amended, the consolidated financial statements are prepared using the specialized accounting principles of the Financial Accounting Standards Board Accounting Standards Codification («ASC») Topic 946, Financial Services — Investment investment company under the Investment Company Act of 1940, as amended, the consolidated financial statements are prepared using the specialized accounting principles of the Financial Accounting Standards Board Accounting Standards Codification («ASC») Topic 946, Financial Services — Investment Investment Company Act of 1940, as amended, the consolidated financial statements are prepared using the specialized accounting principles of the Financial Accounting Standards Board Accounting Standards Codification («ASC») Topic 946, Financial Services — Investment Investment Companies.

Highland is an SEC - registered investment adviser which, together with its affiliates, has approximately $ 13.8 billion in assets under management as of December 31, 2017.

Trade in shares of any US registered investment company sponsored by FTI that is substantially similar to the Fund.

Our deal flow is sourced by our team and presented to our client base of new and experienced angel investors, high net - worth individuals, institutional investors, family offices, wealth managers, and Registered Investment Advisors.

You are an authorized representative of a bank, broker - dealer, insurance company, registered investment adviser or other professional client (together, «Financial Institutions») engaged in business activities outside the United States of America (a «Non-U.S. Adviser») and the Financial Institution has authorized you to access and use the Holdings Information.

Highland Capital Management, L.P. is an SEC - registered investment adviser which, together with our affiliates, has approximately $ 13.2 billion of assets under management.

DALLAS, August 20, 2014 — Highland Capital Management, L.P., («Highland»), a Dallas - based investment management firm, which together with its affiliates has approximately $ 19 billion in assets under management, today announced the launch of its non-traded product line with a publicly - registered Business Development Company (BDC) NexPoint Capital, Inc..

We have the right to acquire all of our then - outstanding common units at the then - current trading price either if 10 % or less of our common units are held by persons other than our general partner and its affiliates or if we are required to register as an investment company under the 1940 Act.

Last year, more than 20 percent of investors voted against WPP's compensation, resulting in it being listed in a new public register set up by the Investment Association.

Legal Disclosure: Tony Robbins is the Chief of Investor Psychology at Creative Planning, Inc., an SEC Registered Investment Advisor (RIA) with wealth managers serving all 50 states.

archerETF Portfolio Management is a division of Bellwether Investment Management, an Ontario firm registered as a «Discretionary Portfolio Manager» with the Ontario Securities Commission.

If you sell shares of a Franklin Templeton fund that were held indirectly for your benefit in an account with your investment representative's firm or your bank's trust department or that were registered to you directly by the Fund's transfer agent (or, to an affiliated custodian or trustee of the Fund's transfer agent), you may reinvest all or a portion of the proceeds from that sale within 90 days of the sale without an initial sales charge.