Sentences with phrase «registered as a financial service»

Not exact matches

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 Cfinancial statements are prepared using the specialized accounting principles of the Financial Accounting Standards Board Accounting Standards Codification («ASC») Topic 946, Financial Services — Investment CFinancial Accounting Standards Board Accounting Standards Codification («ASC») Topic 946, Financial Services — Investment CFinancial Services — Investment Companies.

All four of these real estate crowdfunding platforms are registered as exempt market dealers either directly or through a third party (R2Crowd relies on the registration of Waverly Corporate Financial Services Ltd.).

As a registered broker / dealer, Financial Sense ® Securities, Inc. provides brokerage account services to clientele who share our value - based, contrarian perspective on the markets.

As a registered investment advisor, Financial Sense ® Advisors, Inc., doing business as Financial Sense ® Wealth Management, is the «parent company» that provides investment advisory services, resources, and expertise to advisory clients and Financial Sense As a registered investment advisor, Financial Sense ® Advisors, Inc., doing business as Financial Sense ® Wealth Management, is the «parent company» that provides investment advisory services, resources, and expertise to advisory clients and Financial Sense as Financial Sense ® Wealth Management, is the «parent company» that provides investment advisory services, resources, and expertise to advisory clients and Financial Sense ®.

Last April, Japanese authorities acknowledged bitcoin as a legal tender and stated that they would entail cryptocurrency exchanges to register with the Government.There are 16 cryptocurrency exchanges in Japan which have registered with Japan's Financial Services Agency (FSA).

As an alternative the government is considering measures which will effectively give financial services companies an indirect role in policing the hidden economy, by making access to business services such as insurance and bank accounts conditional on proving that you are registered for taAs an alternative the government is considering measures which will effectively give financial services companies an indirect role in policing the hidden economy, by making access to business services such as insurance and bank accounts conditional on proving that you are registered for taas insurance and bank accounts conditional on proving that you are registered for tax.

As per US legislation, though, all financial services providers operating in the US need to be registered and regulated by the relevant authorities.

Capital Wealth Planning had the privilege to present the 5 - star rated Enhanced Dividend Income Strategy (available on AMS) to a group of Private Registered Investment Advisors who utilize Raymond James Financial Services as a custodial platform to operate their financial Financial Services as a custodial platform to operate their financial financial practice.

Waddell & Reed offers comprehensive financial planning services in its capacity as a registered investment adviser.

They offer securities and advisory services as an Investment Adviser Representative of Commonwealth Financial Network ®, Member FINRA / SIPC, a Registered Investment Adviser.

Troy's financial services are unbiased because as a NAPFA Registered Fee - Only financial planner he receives no commissions or any other compensation from vendors.

A type of RRSP whereby the holder invests funds or contributes certain acceptable assets such as securities directly into a registered plan which is usually administered for a fee by a Canadian financial services company.

Ria is a registered trademark of Continental Exchange Solutions, Inc. dba Ria Financial Services, licensed as a Money Transmitter by the Department of Financial Services of the State of New York; licensed by the Georgia Department of Banking and Finance, NMLS ID 920968, LICENSE NUMBER 18943; and authorized independently or through its affiliate, Ria Financial Services Puerto Rico, Inc..

The register also tells you the name and number of the Australian financial services (AFS) licence holder who employs or authorises the financial adviser to provide advice, as well as who owns or controls the licence holder.

Commencement Financial Planning LLC is registered with the Washington State Department of Institutions as a Registered Investment Advisor providing fee - only investment portfolio advice, wealth management, and comprehensive financial planning services to individuals and families planning for or in retirement as well as those managing assets accumulated through earnings, inheritance, or financial seFinancial Planning LLC is registered with the Washington State Department of Institutions as a Registered Investment Advisor providing fee - only investment portfolio advice, wealth management, and comprehensive financial planning services to individuals and families planning for or in retirement as well as those managing assets accumulated through earnings, inheritance, or financial sregistered with the Washington State Department of Institutions as a Registered Investment Advisor providing fee - only investment portfolio advice, wealth management, and comprehensive financial planning services to individuals and families planning for or in retirement as well as those managing assets accumulated through earnings, inheritance, or financial sRegistered Investment Advisor providing fee - only investment portfolio advice, wealth management, and comprehensive financial planning services to individuals and families planning for or in retirement as well as those managing assets accumulated through earnings, inheritance, or financial sefinancial planning services to individuals and families planning for or in retirement as well as those managing assets accumulated through earnings, inheritance, or financial sefinancial settlement.

Commonwealth Financial Network is a Registered Investment Advisor allowing us to provide our independent fiduciary advisory services as Investment Advisor Representatives through Commonwealth's RIA.

Ceros Financial Services, Inc. is registered with the Securities and Exchange Commission as a broker - dealer and is a member of the Financial Industry Regulatory Authority, Inc..

(c) Foreside Distribution Services, LP is registered with the U.S. Securities and Exchange Commission as a broker - dealer and is a member of the Financial Industry Regulatory Authority, Inc..

As an active litigator, Ben focuses on complex litigation, including the defense of financial services firms (broker - dealers, registered investment advisors, banks, hedge funds, underwriters, insurers) and their employees in court, in arbitration, and in regulatory proceedings.

Business Development: Brokering various business dealings that further the diversification of Indian economies Developing and accessing commercial financial programs and services for tribal governments, including tax - exempt offerings and federally - guaranteed housing loans Serving as issuer or underwriter's counsel in tribal bond issuances Ensuring tribal compliance with Bank Secrecy Act and other federal financial regulatory requirements Handling federal and state income, excise, B&O, property and other tax matters for tribes and tribal businesses Chartering tribal business enterprises under tribal, state and federal law Registering and protecting tribal trademarks and copyrights Negotiating franchise agreements for restaurants and retail stores on Indian reservations Custom - tailoring construction contracts for tribes and general contractors Helping secure federal SBA 8 (a) and other contracting preferences for Indian - owned businesses Facilitating contractual relations between tribes and tribal casinos, and gaming vendors Building tribal workers» compensation and self - insurance programs Government Relations: Handling state and federal regulatory matters in the areas of tribal gaming, environmental and cultural resources, workers» compensation, taxation, health care and education Negotiating tribal - state gaming compacts and fuel and cigarette compacts, and inter-local land use and law enforcement agreements Advocacy before the Washington State Gambling Commission, Washington Indian Gaming Association and National Indian Gaming Commission Preparing tribal codes and regulations, including tribal court, commercial, gaming, taxation, energy development, environmental and cultural resources protection, labor & employment, and workers» compensation laws Developing employee handbooks, manuals and personnel policies Advocacy in areas of treaty rights, gaming, jurisdiction, taxation, environmental and cultural resource protection Brokering fee - to - trust and related real estate and jurisdictional transactions Litigation & Appellate Services: Handling complex Indian law litigation, including commercial, labor & employment, tax, land use, treaty rights, natural and cultural resource matters Litigating tribal trust mismanagement claims against the United States, and evaluating tribal and individual property claims under the Indian Claims Limitation Act Defending tribes and tribal insureds from tort claims brought against them in tribal, state and federal courts, including defense tenders pursuant to the Federal Tort Claims Act Assisting tribal insureds in insurance coverage negotiations, and litigation Representing individual tribal members in tribal and state civil and criminal proceedings, including BIA prosecutions and Indian probate proceedings Assisting tribal governments with tribal, state and federal court appeals, including the preparation of amicus curiae briefs Our Indian law & gaming attorneys collaborate to publish the quarterly «Indian Legal Advisor ``, designed to provide Indian Country valuable information about legal and political developments affecting tribalservices for tribal governments, including tax - exempt offerings and federally - guaranteed housing loans Serving as issuer or underwriter's counsel in tribal bond issuances Ensuring tribal compliance with Bank Secrecy Act and other federal financial regulatory requirements Handling federal and state income, excise, B&O, property and other tax matters for tribes and tribal businesses Chartering tribal business enterprises under tribal, state and federal law Registering and protecting tribal trademarks and copyrights Negotiating franchise agreements for restaurants and retail stores on Indian reservations Custom - tailoring construction contracts for tribes and general contractors Helping secure federal SBA 8 (a) and other contracting preferences for Indian - owned businesses Facilitating contractual relations between tribes and tribal casinos, and gaming vendors Building tribal workers» compensation and self - insurance programs Government Relations: Handling state and federal regulatory matters in the areas of tribal gaming, environmental and cultural resources, workers» compensation, taxation, health care and education Negotiating tribal - state gaming compacts and fuel and cigarette compacts, and inter-local land use and law enforcement agreements Advocacy before the Washington State Gambling Commission, Washington Indian Gaming Association and National Indian Gaming Commission Preparing tribal codes and regulations, including tribal court, commercial, gaming, taxation, energy development, environmental and cultural resources protection, labor & employment, and workers» compensation laws Developing employee handbooks, manuals and personnel policies Advocacy in areas of treaty rights, gaming, jurisdiction, taxation, environmental and cultural resource protection Brokering fee - to - trust and related real estate and jurisdictional transactions Litigation & Appellate Services: Handling complex Indian law litigation, including commercial, labor & employment, tax, land use, treaty rights, natural and cultural resource matters Litigating tribal trust mismanagement claims against the United States, and evaluating tribal and individual property claims under the Indian Claims Limitation Act Defending tribes and tribal insureds from tort claims brought against them in tribal, state and federal courts, including defense tenders pursuant to the Federal Tort Claims Act Assisting tribal insureds in insurance coverage negotiations, and litigation Representing individual tribal members in tribal and state civil and criminal proceedings, including BIA prosecutions and Indian probate proceedings Assisting tribal governments with tribal, state and federal court appeals, including the preparation of amicus curiae briefs Our Indian law & gaming attorneys collaborate to publish the quarterly «Indian Legal Advisor ``, designed to provide Indian Country valuable information about legal and political developments affecting tribalServices: Handling complex Indian law litigation, including commercial, labor & employment, tax, land use, treaty rights, natural and cultural resource matters Litigating tribal trust mismanagement claims against the United States, and evaluating tribal and individual property claims under the Indian Claims Limitation Act Defending tribes and tribal insureds from tort claims brought against them in tribal, state and federal courts, including defense tenders pursuant to the Federal Tort Claims Act Assisting tribal insureds in insurance coverage negotiations, and litigation Representing individual tribal members in tribal and state civil and criminal proceedings, including BIA prosecutions and Indian probate proceedings Assisting tribal governments with tribal, state and federal court appeals, including the preparation of amicus curiae briefs Our Indian law & gaming attorneys collaborate to publish the quarterly «Indian Legal Advisor ``, designed to provide Indian Country valuable information about legal and political developments affecting tribal rights.

Jo - Anne is a 25 year Financial Services Professional, a Certified Financial Planner, Registered Retirement Consultant, Financial Divorce Specialist and Family Mediator as well as a Collaboratively Trained Professional.

In order to encourage insurance intermediaries to advise their clients of the effect of accident benefit reductions and the options available to increase coverage the Registered Insurance Brokers of Ontario and the Financial Services Commission of Ontario have published bulletins summarizing the relevant changes as well as emphasizing the obligations of insurance intermediaries to inform their clients.

Volunteer Lawyer Services is a pro bono legal services program that was initiated in 1995 as a joint initiative of the Canadian Bar Association, Alberta Branch, the Law Society of Alberta, the United Way of Calgary and Area and the Association of General Counsel of Alberta to assist registered charities and not - for - profit organizations who would otherwise not be able to receive these services due to a lack of financial reServices is a pro bono legal services program that was initiated in 1995 as a joint initiative of the Canadian Bar Association, Alberta Branch, the Law Society of Alberta, the United Way of Calgary and Area and the Association of General Counsel of Alberta to assist registered charities and not - for - profit organizations who would otherwise not be able to receive these services due to a lack of financial reservices program that was initiated in 1995 as a joint initiative of the Canadian Bar Association, Alberta Branch, the Law Society of Alberta, the United Way of Calgary and Area and the Association of General Counsel of Alberta to assist registered charities and not - for - profit organizations who would otherwise not be able to receive these services due to a lack of financial reservices due to a lack of financial resources.

On the contrary, reflecting the importance placed by the government of the Republic of Cyprus on the country's development as a financial services centre, the administrative procedures for registering a legal entity have been significantly simplified resulting to the formation of a new company in just a few days.

Just because a travel firm has registered with the Department of Agriculture and Consumer Services as a «Seller of Travel» it does not give them the authority to sell travel insurance without the Travel Insurance License that they must obtain from the Florida Department of Financial Services.

Prior to joining Allianz Life Insurance Company of North America (Allianz Life ®) in 2010, Repya served as senior advanced strategies counsel for Securian Financial Services, providing tax and legal support to registered representatives working in advanced markets.

In addition to being licensed as life insurance agents with NM, all Financial Advisors and Wealth Management Advisors are registered representatives of NMIS and are also credentialed to provide advisory services as representatives of NMWMC.

Although the process is not mandatory, Bitira says the company is registered as a Money Services Business with the Financial Crimes Enforcement Network (Fincen) as well.

According to Nikkei, two Japanese exchanges are withdrawing their applications to register with Japan's Financial Services Agency (FSA) as cryptocurrency exchange operators.

Allcoin.com officially released the digital asset trading platform in April 2016 and at the same time it has been registered with FINTRC (Financial Transactions and Reports Analysis Centre) of Canadian government as MSB (Money Service Business).

According to the new version of the law, Canadian bitcoin operators became subject to the same rules and regulations as the rest of «money services business» and had to be registered with the Canada's financial intelligence centre FINTRAC.

The San Francisco startup Ripple was already penalized by the Financial Crimes Enforcement Network for failing to register as a «money service business» and meet these requirements when initially selling its XRP tokens.

Japan's largest bitcoin and blockchain company, in Tokyo - based bitFlyer, Inc. announced its official recognition by the Japan Financial Services Agency (FSA) as a registered virtual currency exchange.

After Japan's new laws establishing cryptocurrencies as a viable payment alternative came into effect in April, cryptocurrency exchanges were given a September deadline to register with the government - run Financial Services Agency (FSA), for an October starting date for going into full FSA surveillance mode.

Five cryptocurrency exchange operators in Japan have withdrawn their applications with the Japanese Financial Services Agency (FSA) to register their crypto exchanges, Nikkei reported on Thursday, adding that «More are expected to follow, as the FSA has given several exchanges a chance to voluntarily close before ordering them to do so.»

Registered as Money Services Business in FinCEN, CEX.IO provides steady services backed by cold cryptocurrency storage, financial viability, and profound legal comServices Business in FinCEN, CEX.IO provides steady services backed by cold cryptocurrency storage, financial viability, and profound legal comservices backed by cold cryptocurrency storage, financial viability, and profound legal compliance.

In particular, recognizing that we are subject to regulation as a money services business, we have registered with FinCEN as a money transmitter, and are actively seeking licenses from US State financial authorities to operate as a money transmitter within their jurisdictions.»

The US Department of Treasury, Financial Crimes Enforcement Network (FinCEN), recently sent a letter to US Senator Ron Wyden clarifying its stance on cryptocurrency exchanges that these entities must register as Money Services Businesses (MSBs).

In moving towards reopening our services, we are putting all of our efforts towards discovering the cause of the illicit transfer and overhauling and strengthening our security measures while simultaneously continuing in our efforts to register with the Financial Services Agency as a Virtual Currency Exchange Service Provider,» the companservices, we are putting all of our efforts towards discovering the cause of the illicit transfer and overhauling and strengthening our security measures while simultaneously continuing in our efforts to register with the Financial Services Agency as a Virtual Currency Exchange Service Provider,» the companServices Agency as a Virtual Currency Exchange Service Provider,» the company added.

'' Along with our ongoing efforts to file applications to be registered as a Cryptocurrency Exchange Service Provider with Financial Services Agency, we will continue business.»

In moving towards reopening our services, we are putting all of our efforts towards discovering the cause of the illicit transfer and overhauling and strengthening our security measures while simultaneously continuing in our efforts to register with the Financial Services Agency as a Virtual Currency Exchange Service Pservices, we are putting all of our efforts towards discovering the cause of the illicit transfer and overhauling and strengthening our security measures while simultaneously continuing in our efforts to register with the Financial Services Agency as a Virtual Currency Exchange Service PServices Agency as a Virtual Currency Exchange Service Provider.

The report stated that the Financial Services Agency is contemplating asking Binance to halt its operations in Japan because it had not officially registered with the financial watchdog as Financial Services Agency is contemplating asking Binance to halt its operations in Japan because it had not officially registered with the financial watchdog as financial watchdog as required.

It must be mentioned that Coincheck is not registered with Japan's Financial Services Authority - a regulator responsible for overseeing exchanges in the country - unlike several other prominent cryptocurrency exchanges, such as bitFlyer and Quoine.

As per Japanese Law, all cryptocurrency exchange operators are required to register with the FSA — Financial Services Agency, and as reported by tAs per Japanese Law, all cryptocurrency exchange operators are required to register with the FSA — Financial Services Agency, and as reported by tas reported by the

As a Guest Services Agent, you would be responsible for greeting and registering guests and checking guests out of the hotel in the hotel's continuing effort to deliver outstanding guest service and financial profitability.

If working as a registered client associate is what you want to do as a career, you may want to look at the resume sample below that is sure to get you into a financial services company.

Professional Duties & Responsibilities Managed all daily operations of military dining facility serving over 180,000 meals annually Responsible for equipment and facility valued at more than $ 2 million Oversaw food inventory and orders of approximately $ 720,000 annually Designed and implemented daily menu, 1,500 line items, and 48 ethnic dishes Trained, directed, and reviewed kitchen and service staff Maintained 98 % customer satisfaction rate for both food service and meal quality Collected customer feedback and designed strategies to improve client experience Ensured 100 % compliance with all applicable FDA food safety regulations Performed approximately 200 facility inspections and staff evaluations Programmed and repaired cash registers to guarantee accurate financial operations Authored and presented meal, service, personnel, and financial reports for senior leadership Devoted free time to honing skills and assuming additional duties Assisted base with security operations, logistics, inventory, and other tasks as needed Completed all assignments in a professional and positive manner Created an atmosphere of respect and devotion to team goals Received exemplary reviews resulting in consistent promotions ahead of schedule

The majority of her career was with Charles Schwab in their Private Client division until she joined Registered Investment Advisor firm Clarity Financial in 2012 where she continues to provide full - service financial planning and investment management in addition to the divorce services as a Certified Divorce Financial Analyst at Smarter Divorce SFinancial in 2012 where she continues to provide full - service financial planning and investment management in addition to the divorce services as a Certified Divorce Financial Analyst at Smarter Divorce Sfinancial planning and investment management in addition to the divorce services as a Certified Divorce Financial Analyst at Smarter Divorce SFinancial Analyst at Smarter Divorce Solutions.

The availability of lending products is subject to our credit policy as amended from time to time Authorised financial services and registered credit provider (FSB No. 2428)

To register in the Broker's Business Planning and Financial Management Licensing Course, course candidates must have completed not less than six months» licensed service in British Columbia at the time of registration, or two years» licensed experience in the past five years as a broker or associate broker outside of British Columbia.