뉴질랜드 "2008 경제자문법" 원문본입니다. 유용하게 활용하시기 바랍니다. 제정일 : 2008.09.27. 최종개정일 : 2020.12.01. 출처: 뉴질랜드 온라인 법률 (방문일 : 2021.01.21.) 법률 뉴질랜드_2008...
Provides guidance to financial advisers about the FAA regime and covers topics including licensing requirements, exemptions, representative notification framework, business conduct and reporting re...
Governs the regulation of financial advisers in Singapore, including their representatives and supervisors.
The Investment Advisers Act of 1940 is a U.S. federal law that defines the role and responsibilities of an investment advisor.
your financial profile. RIAs are companies with a fiduciary duty to always act in their client’s best interests. They... Investment advisers, she says, may “talk them off the cliff”...
Singapore FINANCIAL ADVISERS ACT (CAP. 110) NOTICE ON MINIMUM ENTRY AND EXAMINATION REQUIREMENTS FOR REPRESENTATIVES OF LICENSED FINANCIAL ADVISERS AND EXEMPT FINANCIAL ADVISERS 2 Notice on...
Financial Advisers Act 2001 ; 2020 REVISED EDITION ; This revised edition incorporates all amendments up to and including 1 December 2021 and comes into operation on 31 December 2021 ; [6 August 2002: Section 106 ;
Monetary Authority of Singapore FINANCIAL ADVISERS ACT (CHAPTER 110) FREQUENTLY ASKED QUESTIONS Disclaimer: The FAQs are meant to provide guidance to the industry on MAS' policy and...
Release No., Date, Details ; Notice, Aug. 29, 2024, Markston International LLC, Et Al. (Order) ; Order, May 24, 2024, SUNBRIDGE MANAGEMENT INC, et al. (Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of The Investment Advisers) ; Notice, Apr. 23, 2024, SUNBRIDGE MANAGEMENT INC, et al. (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of The Investment Advisers Act of 1940) ; Order, Apr. 24, 2024, Hennii Investment Advisory Services, Inc. Order Cancelling Registration Pursuant To Section 203(h) Of The Investment Advisers Act Of 1940) ; Notice, Mar. 18, 2024, Hennii Investment Advisory Services, Inc. (Notice of Intention to Cancel Registration Pursuant to Section 203(H) of The Investment Advisers Act of 1940) ; Order, Feb. 22, 2024, HNW MANAGEMENT INC., et al. (Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940) ; Notice, Jan. 12, 2024, HNW MANAGEMENT INC., et al. (Notice of Intention to Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940) ; Notice, Nov 7, 2023, Mario Ramos (Notice of Intention to Cancel Registration Pursuant to Section 203(H) of The Investment Advisers Act of 1940) ; Order, March 14, 2023, J.P. Morgan Investment Management Inc. (Order) ; Order, February 14, 2023, Calmwater Asset Management, LLC (Order) ; Notice, January 24, 2023, AEW Capital Management, L.P. (Notice) ; Notice, January 19, 2023, Calmwater Asset Management, LLC (Notice) ; Notice, Dec. 18, 2023, Vista Financial Advisors, LLC (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940) ; Order, June 27, 2023, The Swarthmore Group, Inc. (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940) ; Notice, May 30, 2023, The Swarthmore Group, Inc. (Notice)
client's financial situation into account.[20] Fiduciary standard [edit] The anti-fraud provisions of the Investment Advisers Act of 1940 and most state laws impose a duty on Investment...