Quabbin Chief See Cos Concerns
- Quabbin Founder Sees Cos Concerns. R. K. // Bank Loan Report;11/15/2010, Vol. 25 Issue 44, p4
An interview with Megan Donnelly, founder of advisory firm Quabbin Advisors in the U.S., is presented. She states that companies have been more concerned in maintaining their balance sheet and how banks are dealing with financial regulatory reform. She stresses the importance of relative value...
- 57% see emergence of European super-regulator. Henshall, Angela // Money Marketing;3/13/2003, p22
Reports that most independent financial advisers in Great Britain believe they will be under the jurisdiction of a European super-regulator for financial services within five years. Preference by some financial regulators for a more integrated European market.
- A WORD OF ADVICE FROM THE PDD. Carson, Stuart // Accountancy;May87, Vol. 99 Issue 1125, p115
Cites opinion of the Institute of Chartered Accountants' Practice Development Department on the need of authorization for investment practitioners to carry on investment business under the Financial Services Act in Great Britain. Effectiveness of the act in investment activities of accountancy...
- Letters to the editor. Heaversedge, Rosemary; Hulls, Linda; Scott, Tom; Newbegin, Jeremy // Money Marketing;12/16/2010, p22
Several letters to the editor are presented in response to articles in previous issues, including one on the lack of available CII exam places in the Northeastern England, one on Fay Goddard's friends seeking for qualified financial advisers, and one on retail distribution review (RDR) compromise.
- New Arch cru levy looming. Holt, Natalie // Money Marketing;4/5/2012, p2
The article reports on the annual levy for investment intermediaries estimated by the Financial Services Compensation Scheme (FSCS) for 2012-13 to cover the claims relating to Keydata, Eills and Co., and CF Arch cru.
- Panel to Vote on Retirement Advice Bill. Heller, Michele // American Banker;10/2/2001, Vol. 166 Issue 189, p3
Reports that the United States House Education Committee is scheduled to vote on a bill that would shield financial services firms from lawsuits for giving investment advice to their retirement savings plan customers. Sponsors of the Retirement Security Advice Act.
- Money Management: Planner paper trail widens. Taylor, Mike // Money Management;11/8/2007, Vol. 21 Issue 42, p12
The author reflects on the knowing your client (KYC) requirements under the Anti Money Laundering/Counter Terrorism Financing (AML/CTF) legislation in Australia. He discusses the implication of the AML/CTF legislation for investment advisers as well as the reasons why the legislation was...
- 'A victory for the majority'. // Money Marketing;7/28/2011, p16
The article discusses the author's view on the introduction of a 15 year long-stop for Independent Financial Advisers (IFA) by the Treasury select committee in Great Britain.
- 'An erosion of consumer protection'. // Money Marketing;7/28/2011, p17
The article argues with the introduction of a 15 year long-stop for Independent Financial Advisers (IFA) by the Treasury select committee in Great Britain.