... petitioner) that was registered as an investment adviser under the Investment Advisers Act of 1940 ...Weinberg and Laurence Gold; for the Association of American Publishers, . Page 472 U.S. 181, 183. ...
Cathy Simmons , chief compliance officer at Legacy Wealth Management, has been appointed to the Investment Adviser Association's Government Relations Committee.
..., information about risks of the investment and financial statements) until such time as it be... INVESTMENT ADVISER REGULATION. CFTC Issues Final Rule Amending Cert... address at the Investment Adviser Association Investment Adviser Compliance Conference on March ...
A year after state regulators began cracking down on senior-specific designations with a model rule to protect the country's seniors, about 50% of US states have produced their own protections to establish professional standards. Last September, New Jersey Gov Jon S. Corzine signed the Predatory Annuities Prevention Act designed to "protect vulnerable consumers from predatory annuity sales," according to a state-issued press release. The bill is based on three national model regulations that the release says "comprehensively address issues regarding the marketing of annuities, particularly to senior citizens." The increased scrutiny by some states of free-lunch-type financial seminars targeted to seniors goes hand-in-hand with the senior-specific designation regulations, said Patricia S...
... can save America's seniors billions of investment dollars, and unimaginable peace of mind. To date, ... on the model rule of the National Association of Insurance Commissioners, adopted in September. ..., who is chair of NASAA's Investment Adviser Section and one of its former presidents. Sitting ...
... organized principally for passive investment, organized under the laws of a foreign jurisdictio...(v) An investment adviser registered pursuant to section 203 of the Investme... Act?) or any savings and loan association or other institution as defined in section 3(a)(5)...
WASHINGTON (HedgeWorld.com) - Compliance, like love and pizza, means different things to different people. It's been several years since the Securities and Exchange Commission began requiring registered advisers to establish compliance programs and appoint chief compliance officers, and there remains quite a bit of disparity in the ways firms approach the task of staying on the regulator's good side, according to a new survey. The 2007 Investment Management Compliance Testing Survey was put together by the Washington-based Investment Adviser Association, along with compliance services provider ACA Compliance Group, also based in Washington, and Old Mutual Asset Managers, the Boston- based U.S. asset management arm of Old Mutual Holdings Inc. According to the authors, the survey was born...
WASHINGTON (HedgeWorld.com) - Sixteen months after the Securities and Exchange Commission voted 3 to 2 to adopt new rules requiring most hedge fund managers to register as investment advisers, the two dissenters are still showing signs of frustration with the way things turned out. Paul S. Atkins, speaking on Feb. 28 to a conference of investment professionals put on by the Investment Adviser Association and the weekly IA Week newsletter, said the SEC is discovering just how much work is involved in requiring thousands of additional fund managers to register. According to a transcript of the speech, he said that despite a shift by the SEC's Office of Compliance Inspections and Examinations from a regular five-year exam cycle to a risk-based monitoring approach, the influx of adviser reg...
In honor of the 109th anniversary of the inauguration of Theodore Roosevelt, the Theodore Roosevelt Inaugural Site Foundation will host an anniversary and awards dinner this evening in the Mary Seaton Room of Kleinhans Music Hall. Citizenship and police awards will be presented. Special guest will be Tweed Roosevelt, T.R.'s great-grandson via his son Archie. He's been an investment adviser and management consultant and currently serves as president of the Theodore Roosevelt Association. * * *
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