'Investment advisers' presentation slideshows

Investment Adviser Workshop

804 views • 68 slides

Investment Adviser Workshop

769 views • 66 slides

Investment Adviser Workshop

888 views • 66 slides

Establishment of the Securities & Exchange Board of India (SEBI) Section 3 of SEBI Act, 1992

Establishment of the Securities & Exchange Board of India (SEBI) Section 3 of SEBI Act, 1992.

1.13k views • 53 slides

Investing in Mutual Funds, Real Estate, and Other Choices

14. Investing in Mutual Funds, Real Estate, and Other Choices. 14.1 Investing in Mutual Funds 14.2 Investing in Real Estate and Other Choices. Lesson 14.1 Investing in Mutual Funds. GOALS Discuss mutual funds as an investment strategy. Explain how to buy and sell mutual funds.

619 views • 38 slides

Investing in Mutual Funds, Real Estate, and Other Choices

14. Investing in Mutual Funds, Real Estate, and Other Choices. 14.1 Investing in Mutual Funds 14.2 Investing in Real Estate and Other Choices. Lesson 14.1 Investing in Mutual Funds. GOALS Discuss mutual funds as an investment strategy. Explain how to buy and sell mutual funds.

543 views • 38 slides

The Changing Landscape of the Financial Services Industry

The Changing Landscape of the Financial Services Industry. R92723073 ? ?? R92723042 ???. The Changing Landscape of the Financial Service Industry: What Lies Ahead?.

506 views • 37 slides

Regulatory Reform What It Means for Investment Management Firms September 23, 2010

Regulatory Reform What It Means for Investment Management Firms September 23, 2010. David G. Tittsworth Executive Director Investment Adviser Association. Investment Adviser Association. Formerly the Investment Counsel Association of America

468 views • 36 slides

STATE OF CONNECTICUT DEPARTMENT OF BANKING

STATE OF CONNECTICUT DEPARTMENT OF BANKING. INVESTOR EDUCATION SERIES. Always Be Careful. When Choosing a Financial Planner. A is for Advice. What kind do you need? Examples: Securities, Taxes, Estate Planning, Insurance

506 views • 34 slides

Managing Your Fiduciary Responsibilities

457 views • 33 slides

May 15, 2014

May 15, 2014. Suitability, Know Your Customer and You. Introductions.

389 views • 29 slides

Proposed Municipal Advisor Rules Under the Dodd-Frank Act Timothy V. McGree Chapman and Cutler LLP

Proposed Municipal Advisor Rules Under the Dodd-Frank Act Timothy V. McGree Chapman and Cutler LLP. 3000788. Sources. Section 975 of Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Public Act No. 111-203) as amending Section 15B of the Securities and Exchange Act

367 views • 28 slides

Developments in Securities Regulation

Developments in Securities Regulation. John Holland Member. Securities Commission. Promotes the efficiency and integrity of securities markets and their cost-effective regulation Purpose is to strengthen market confidence and foster capital investment in New Zealand. Securities Commission.

490 views • 25 slides

REGULATIONS ON INVESTMENT ADVISERS

REGULATIONS ON INVESTMENT ADVISERS. By Dr Charles Asembri. OUTLINE. WHO IS AN INVESTMENT ADVISER WHY REGULATE INVESTMENT ADVISERS WHAT DOES REGULATION ENTAIL. WHO IS AN INVESTMENT ADVISER. DEFINITIONS: VARIOUS DEFINITIONS OF AN INVESTMENT ADVISER

366 views • 23 slides

Form D Review

Form D Review. Faith L. Anderson NASAA Corporate Finance Training Ft. Lauderdale, FL July 9, 2011. Overview. Basics of Rule 506 Preemption [and preservation] of state law Background checks Broker-dealer/representative registration Investment adviser registration Other issues Q&A.

381 views • 22 slides

PRIVATE PLACEMENTS: From Term Sheets to Offering Materials to Closing

PRIVATE PLACEMENTS: From Term Sheets to Offering Materials to Closing. Leslie A. Drockton, Partner Benesch, Friedlander, Coplan & Aronoff LLP. Overview.

579 views • 19 slides

William Daly, Regional Bond Dealers Association Elizabeth M. Columbo, Nixon Peabody LLP

William Daly, Regional Bond Dealers Association Elizabeth M. Columbo, Nixon Peabody LLP. Fiduciary Standard Implications Regulatory Reform and Implications for the Municipal Bond Market Webinar Sponsored by the Regional Bond Dealers Association August 10, 2010.

313 views • 18 slides

The Global Regulatory Environment

The Global Regulatory Environment. Randy Kraft, Partner. The Global Regulatory Environment. Investment advisers in Canada have historically been subject to a high level of regulation Recent registration reform

303 views • 12 slides

Retail Distribution Review Professional requirements and potential impact on firms

251 views • 11 slides

SEC: What You Need to Know?

180 views • 7 slides