10 years ago in the Journal
- EU Legal Council Opines the FTT Is Illegal. Safane, Jake // Global Custodian News;2013, p39
The Council Legal Service (CLS), a group that advises the European Union, has determined that the Financial Transaction Tax (FTT) is illegal because the tax could be applied in countries outside of the 11 nations that have joined the proposal.
- on the road. // Financial Planning;Mar2006, Vol. 36 Issue 3, p22
Presents a calendar of events in the financial planning industry in the U.S. in March-May 2006. Information on the National Regulatory Services' Annual Spring Compliance Conference; Schedule of the Compliance & Legal Division Seminar; Savings & Retirement Symposium.
- A Captive Audience. Bowen Jr., John J. // Financial Planning;May2005, Vol. 35 Issue 5, p31
Offers several tips and ideas in conducting a seminar in the financial planning industry. Explanation on attracting the right audience for the seminar; Actions to be taken to implement an effective registration process; Significance of offering an investment plan that addresses their unique...
- FSR refinements - more headaches for planners. // Money Management;10/20/2005, Vol. 19 Issue 39, p1
Reports on problems concerning the implementation of the Financial Services Reform (FSR) in Australia. Intention of the Australian government to cut the compliance burden on the financial planning industry; Consultation process with the industry over refinements to FSR; Change in a client's...
- The Battle Is On. Kerley, Michael // Advisor Today;Jan2006, Vol. 101 Issue 1, p24
The article presents information on the reports released by the U.S. President George W. Bush's Advisory Panel on Federal Tax Reform, which is being opposed by the National Association of Insurance and Financial Advisors (NAIFA). The proposals by the panel target almost every product that...
- TASA: Are you in its sights? Storniolo, Cecilia // Money Management;7/11/2013, Vol. 27 Issue 26, p12
The article focuses on the Tax Agent Services Act (TASA) in Australia which was presented in the Parliament on May 29, 2013. It states that TASA will apply to Australian Financial Services Licensees (AFSL) and to those who interpret tax law. It mentions that tax advice warnings have to be...
- Class act. Wilson, Bruce // Money Marketing;10/8/2009, p41
In this article the author discusses changes the financial services industry in Great Britain has gone though out the years such as the complex regulatory burden as well as the 30 percent drop of the FTSE. He notes that despite these challenges, a new kind of advisers are emerging armed with...
- Making a Statement. Schultz, Stacy // Financial Planning;Jan2010, Vol. 40 Issue 1, p31
The article reports on the decision of Raymond James Financial Services' (RJFS) RIA Division in November 2009 to increase its minimum amount for assets under management (AUM) from 30 million U.S. dollars to 50 million U.S. dollars. It states that the new minimum which is way above the...
- Tillinghast warns with-profits firms on PPFM problems. McMillan, Paul // Money Marketing;2/3/2005, p18
Reports on the warning of Tillinghast to companies operating with-profits business in Great Britain. Need for companies to publish their principles and practices of financial management (PPFM); Claim that the level of detail in PPFM varies greatly between companies.