Creating an Effective Study Group
- The Empire Steps Up. Clark, Bob // Investment Advisor;Oct2010, Vol. 30 Issue 10, p91
The article presents the author's insight on the Financial Planning Coalition's Comment Letter on the U.S. Securities and Exchange Commission's (SEC) study. It states that that the letter to the SEC suggests the abolition of broker exemption to the 1940 Act. It also presents the ineffectiveness...
- Industry responds to panel snub. Pokrajac, Milana // Money Management;2/17/2011, Vol. 25 Issue 5, p11
The article reports on the concerns by some representatives from the financial planning industry over the lack of planner representation on the newly formed Stronger Super Peak Consultative Group in Australia.
- Accountants get industry body. Taylor, Mike // Money Management;7/29/200, Vol. 24 Issue 27, p9
The article reports on the emergence of the Accountant Financial Advisers Coalition (AFAC) in the financial planning industry in Australia.
- ON THE ROAD. // Financial Planning;Jun2005, Vol. 35 Issue 6, p26
Presents the schedules of conferences, symposiums, forums, workshops and meetings in the financial planning industry in the U.S. from June 6 to July 13, 2005.
- ON THE ROAD. // Financial Planning;Aug2005, Vol. 35 Issue 8, p26
Presents a calendar of events related to the financial planning industry in the U.S. from August through September 2005. Schwab Institutional's Impact 2005 Conference in Washington; Seven Stages of Money Maturity Workshop in San Diego, California; Money Management Exposition in Saint Louis,...
- SEC will hold FinTech forum on November 14. Mont, Joe // Compliance Week;Nov2016, Vol. 13 Issue 154, p18
The article offers information on a forum hosted by the Securities and Exchange Commission (SEC) to be held at the SEC's headquarters in Washington D.C. on November 14, 2016.
- AIOFP establishes Great Southern support committee. Egan, Liam // Money Management;5/28/2009, Vol. 23 Issue 18, p5
The article reports on the creation of a committee by the Association of Independently Owned Financial Planners (AIOFP) to support its members and their clients who are involved with the collapsed Great Southern investment group in Australia. It states that the GS Recovery Committee was formed...
- You've Got Mail. Miller, Andrew // Financial Planning;Mar2005, Vol. 35 Issue 3, p79
Deals with issues concerning the compliance regulation issued by the U.S. Securities and Exchange Commission (SEC) in February 2005. Need for financial advisers to appoint a chief compliance officer and to adopt written policies and procedures to prevent violations of federal securities laws;...
- Your Interests At Heart. Gunn, Erik // Cleaner;Dec2010, p60
The article discusses the fee being charged by financial planners for their service. It relates that there are planners who work on commission for the stocks or other securities they sell while others have no commissions and instead charge a fee. In picking planners, businesses are advised to...