Financial Advisers Act
Found 8 free book(s)
FINANCIAL ADVISERS ACT (CHAPTER 110)
www.mas.gov.sgFinancial Advisers Act/Financial Advisers Regulations 6 MAS believes that restricting the use of the term "financial adviser" will enable investors to identify whether they are receiving financial …
FINANCIAL ADVISERS ACT (CAP. 110) - mas.gov.sg
www.mas.gov.sg3 Notice on Minimum Entry and Examination Requirements for Representatives of Licensed Financial Advisers and Exempt Financial Advisers (c) obligations of licensed financial advisers and exempt financial
BANK HOLDING COMPANY ACT - Federal Financial …
www.ffiec.govBANK HOLDING COMPANY ACT SEC. 4. (k) ENGAGING IN ACTIVITIES THAT ARE FINANCIAL IN NATURE.-- (1) IN GENERAL.--Notwithstanding subsection (a), a financial …
Final Rule: Political Contributions by Certain Investment ...
www.sec.gov--2--Compliance Dates: Investment advisers subject to rule 206(4)-5 must be in compliance with the rule on March 14, 2011. Investment advisers may no longer use third parties to
Final Rule: Exemptions for Advisers to Venture Capital ...
www.sec.gov- 3 - other things, repeals section 203(b)(3) of the Advisers Act.3 Section 203(b)(3) exempted any investment adviser from registration if the investment adviser (i) had fewer than 15 clients in the
DODD-FRANK WALL STREET REFORM AND CONSUMER …
www.gpo.gov124 STAT. 1376 PUBLIC LAW 111–203—JULY 21, 2010 Public Law 111–203 111th Congress An Act To promote the financial stability of the United States by improving accountability
Regulation P Privacy of Consumer Financial Information
www.federalreserve.govmation may include names, addresses, phone numbers, social security numbers, income, credit score, and information obtained through Internet collection devices (i.e ...
GRAMM–LEACH–BLILEY ACT - GPO
www.gpo.gov113 STAT. 1338 PUBLIC LAW 106–102—NOV. 12, 1999 Public Law 106–102 106th Congress An Act To enhance competition in the financial services industry by providing a prudential