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Author :
Publisher :
ISBN 13 : 9781863392068
Total Pages : 211 pages
Book Rating : 4.3/5 (92 download)
Download or read book ASIC Good Advice Handbook - Investment Advisory Services written by and published by . This book was released on 1997 with total page 211 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher :
ISBN 13 : 9781863391740
Total Pages : 211 pages
Book Rating : 4.3/5 (917 download)
Download or read book ASC Good Advice Handbook - Investment Advisory Services written by and published by . This book was released on 1997 with total page 211 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher :
ISBN 13 : 9781863392761
Total Pages : pages
Book Rating : 4.3/5 (927 download)
Download or read book ASIC Financial Services Policy Handbook written by and published by . This book was released on 2001 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: "This handbook contains current literature of the Australian Securities and Investments Commission on its activities under the Corporations Act 2001 and related legislation that has direct relevance for financial service providers" -- pg. [i].
Author : Booysen, Sandra
Publisher : Edward Elgar Publishing
ISBN 13 : 1800884621
Total Pages : 384 pages
Book Rating : 4.8/5 (8 download)
Download or read book Financial Advice and Investor Protection written by Booysen, Sandra and published by Edward Elgar Publishing. This book was released on 2021-12-07 with total page 384 pages. Available in PDF, EPUB and Kindle. Book excerpt: This comprehensive book offers a rigorous analysis of the legal debates, approaches and practice-related issues surrounding financial advice and investor protection. Despite widespread recognition of the importance of financial inclusion more broadly construed, recent financial crises have highlighted deficits in retail investor protection – this book informs the development of robust yet adaptable frameworks to protect investors, including effective enforcement and dispute resolution.
Author :
Publisher :
ISBN 13 :
Total Pages : 1756 pages
Book Rating : 4.3/5 ( download)
Download or read book Gale Directory of Databases written by and published by . This book was released on 2007 with total page 1756 pages. Available in PDF, EPUB and Kindle. Book excerpt: This is a guide to computer-readable databases available online, in CD-ROM format, or in other magnetic formats. Details include database descriptions, costs, and whom to contact for purchase. The material is indexed alphabetically, and by subject, vendor, and producer.
Author : Barbara Smith
Publisher : John Wiley & Sons
ISBN 13 : 174216921X
Total Pages : 347 pages
Book Rating : 4.7/5 (421 download)
Download or read book The Superannuation Handbook 2008-09 written by Barbara Smith and published by John Wiley & Sons. This book was released on 2011-09-19 with total page 347 pages. Available in PDF, EPUB and Kindle. Book excerpt: Each year The Superannuation Handbook is fully revised and updated to reflect the many changes to superannuation rules, the ways you can save for retirement and the best way to eventually access your savings without it costing you thousands in fees. It includes information on the myriad changes that have been recently proposed and come into effect after July 1, including the changes that effect self-managed superannuation funds and small business owners. Comprehensive single-volume reference on all aspects of superannuation, from established expert authors Now in its sixth year of publication Published each year in August so that the latest changes to super, including those announced for the May Federal Budget, are covered Plain-English, concise explanations and over 100 practical examples to illustrate money-saving, wealth-creating strategies Barbara Smith won an Order of Australia in 2006 for her contribution to the Australian financial services industry, reinforcing her reputation as a trusted and reputable adviser and commentator
Author : Terrance J. O'Malley
Publisher : Wolters Kluwer
ISBN 13 : 1454838493
Total Pages : 1060 pages
Book Rating : 4.4/5 (548 download)
Download or read book Investment Adviser's Legal and Compliance Guide written by Terrance J. O'Malley and published by Wolters Kluwer. This book was released on 2013-01-01 with total page 1060 pages. Available in PDF, EPUB and Kindle. Book excerpt: Investment Adviser's Legal and Compliance Guide, Second Edition is an invaluable guide written to assist attorneys and investment advisers in both drafting their compliance policies and procedures and reviewing them annually. In addition, the book serves as a practical tool for experienced attorneys and compliance officers for fulfilling their changing responsibilities under new rules adopted under the Investment Advisers Act of 1940, as well as new staff interpretations and guidance. For the Second Edition, the original author, Terrance J. Oand’Malley, is joined by John H. Walsh. While both authors are seasoned practitioners and acknowledged experts in the area of investment adviser compliance matters, Mr. Walshand’s years of experience, including at the SEC, are reflected in the enhanced practical discussion of relevant legal and compliance issues, including increased numbers of compliance tips, enforcement and regulatory alerts, and compliance tools. Investment Adviser's Legal and Compliance Guide, Second Edition covers in detail such topics as: Filings and amendments that an adviser must make to maintain its SEC registration Major rules and requirements dealing with marketing and attracting new clients Issues arising in connection with the management of private funds The SEC's examination process New clients, and the management of client accounts. The book also covers requirements relating to the adviser's obligation to its customers, including preventing insider trading and other trading abuses, as well as an adviser's recordkeeping, which is a major factor in meeting the requirements of the Investment Advisers Act. In addition, Investment Adviser's Legal and Compliance Guide, Second Edition provides registered investment advisers and their legal counsel with a comprehensive review of their compliance responsibilities that arise under the Investment Advisers Act.
Author : Bill Crager
Publisher : John Wiley & Sons
ISBN 13 : 1119260647
Total Pages : 181 pages
Book Rating : 4.1/5 (192 download)
Download or read book The Essential Advisor written by Bill Crager and published by John Wiley & Sons. This book was released on 2016-05-02 with total page 181 pages. Available in PDF, EPUB and Kindle. Book excerpt: Leverage the financial services evolution to maximize your firm's value The Essential Advisor presents an insightful handbook for advisors looking to navigate the changing face of financial services. The industry is evolving, consumers are evolving, and many advisors are being left behind as old methods become less and less relevant. This book shows you how to turn this shift into a positive, by positioning your firm to maximize these new opportunities, and deliver the results and experience increasingly expected of financial advisors. You'll learn how to provide the transparency, hands-on interaction, and around-the-clock access today's clients demand, and how to consistently deliver service that robo-advisors cannot duplicate. Emerging technologies do not have to be a threat to your practice—they are tools that represent opportunities to provide greater service to your clients, and smart technology integration will be a hallmark of firms that survive the shift. This guide provides a clear vision of the future of financial services, and an indispensable management framework for maximizing your firm's future value. Advisors are increasingly confused about what clients are seeking, and clients are equally confused about what advisory firms offer that alternatives cannot. This book helps clear the air on both sides by examining the client's perspective of financial services, and helping advisors better communicate their strengths. Articulate the value of your services Leverage new technology to complement your practice Capitalize on opportunities and maximize your firm's value Position your firm to benefit from the changing consumer population Financial advisors can only grow their businesses if clients know what they do, know how to hire them, and can access them affordably. The Essential Advisor shows you to bring your firm into the future successfully.
Author : United States. Advisory Committee on Investment Management Services for Individual Investors
Publisher :
ISBN 13 :
Total Pages : 96 pages
Book Rating : 4.3/5 (243 download)
Download or read book Small Account Investment Management Services: Recommendations for Clearer Policies and Guidelines written by United States. Advisory Committee on Investment Management Services for Individual Investors and published by . This book was released on 1973 with total page 96 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Niamh Moloney
Publisher :
ISBN 13 : 019968720X
Total Pages : 817 pages
Book Rating : 4.1/5 (996 download)
Download or read book The Oxford Handbook of Financial Regulation written by Niamh Moloney and published by . This book was released on 2015 with total page 817 pages. Available in PDF, EPUB and Kindle. Book excerpt: The financial system and its regulation have undergone exponential growth and dramatic reform over the last thirty years. This period has witnessed major developments in the nature and intensity of financial markets, as well as repeated cycles of regulatory reform and development, often linked to crisis conditions. The recent financial crisis has led to unparalleled interest in financial regulation from policymakers, economists, legal practitioners, and the academic community, and has prompted large-scale regulatory reform. The Oxford Handbook of Financial Regulation is the first comprehensive, authoritative, and state of the art account of the nature of financial regulation. Written by an international team of leading scholars in the field, it takes a contextual and comparative approach to examine scholarly, policy, and regulatory developments in the past three decades. The first three parts of the Handbook address the underpinning horizontal themes which arise in financial regulation: financial systems and regulation; the organization of financial system regulation, including regional examples from the EU and the US; and the delivery of outcomes and regulatory techniques. The final three Parts address the perennial objectives of financial regulation, widely regarded as the anchors of financial regulation internationally: financial stability, market efficiency, integrity, and transparency; and consumer protection. The Oxford Handbook of Financial Regulation is an invaluable resource for scholars and students of financial regulation, economists, policy-makers and regulators.
Author : Australian Securities and Investments Commission
Publisher :
ISBN 13 :
Total Pages : 41 pages
Book Rating : 4.:/5 (222 download)
Download or read book A User's Guide to ASIC written by Australian Securities and Investments Commission and published by . This book was released on 1999 with total page 41 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Diane Bugeja
Publisher : Bloomsbury Publishing
ISBN 13 : 1509925880
Total Pages : 249 pages
Book Rating : 4.5/5 (99 download)
Download or read book Reforming Corporate Retail Investor Protection written by Diane Bugeja and published by Bloomsbury Publishing. This book was released on 2019-12-12 with total page 249 pages. Available in PDF, EPUB and Kindle. Book excerpt: The spate of mis-selling episodes that have plagued the financial services industries in recent years has caused widespread detriment to investors. Notwithstanding numerous regulatory interventions, curtailing the incidence of poor investment advice remains a challenge for regulators, particularly because these measures are taken in a 'fire-fighting' fashion without adequate consideration being given to the root causes of mis-selling. Against this backdrop, this book focuses on the sale of complex investment products to corporate retail investors by drawing upon the widespread mis-selling of interest rate hedging products (IRHP) in the UK and beyond. It brings to the fore the relatively understudied field concerning the different degrees of investor protection mechanisms applicable to individual retail investors – as opposed to corporate retail investors – by taking stock of past regulatory reforms and forthcoming regulatory initiatives as well as, more importantly, the conclusions reached by the judiciary in IRHP mis-selling claims. The conclusions are particularly interesting: corporate retail investors are in a vulnerable position when compared to individual retail investors. The former are exposed to a heightened risk of mis-selling, meaning that regulatory intervention should be targeted accordingly. The recommendations made as a result of these findings are further supported by insights emerging from behavioural law and economic theories. This book is aimed at researchers, lawyers and students with an interest in the financial regulation field who are keen to explore potential regulatory reforms to the investment services regime that address the root causes of mis-selling, and restore a level playing field amongst all retail investors.
Author : John E. Grable
Publisher : Walter de Gruyter GmbH & Co KG
ISBN 13 : 3110727706
Total Pages : 510 pages
Book Rating : 4.1/5 (17 download)
Download or read book De Gruyter Handbook of Personal Finance written by John E. Grable and published by Walter de Gruyter GmbH & Co KG. This book was released on 2022-03-07 with total page 510 pages. Available in PDF, EPUB and Kindle. Book excerpt: The De Gruyter Handbook of Personal Finance provides a robust review of the core topics comprising personal finance, including the primary models, approaches, and methodologies being used to study particular topics that comprise the field of personal finance today. The contributors include many of the world’s leading personal finance researchers, financial service professionals, thought leaders, and leading contemporary figures conducting research in this area whose work has shaped—and continues to affect—the way that personal finance is conceptualized and practiced. The first section of the handbook provides a broad introduction to the discipline of personal finance. The following two sections are organized around the core elements of personal finance research and practice: saving, investing, asset management, and financial security. The fourth section introduces future research, practice, and policy directions. The handbook concludes with a discussion on an educational and research agenda for the future. This handbook will be a core reference work for researchers, financial service practitioners, educators, and policymakers and an excellent supplementary source of readings for those teaching undergraduate and graduate-level courses in personal finance, financial planning, consumer studies, and household finance.
Author :
Publisher : CCH Australia Limited
ISBN 13 : 1921873639
Total Pages : 2737 pages
Book Rating : 4.9/5 (218 download)
Download or read book written by and published by CCH Australia Limited. This book was released on with total page 2737 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Thomas P. Lemke
Publisher :
ISBN 13 :
Total Pages : 874 pages
Book Rating : 4.3/5 ( download)
Download or read book Regulation of Investment Advisers written by Thomas P. Lemke and published by . This book was released on 1995 with total page 874 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Barbara Smith
Publisher : John Wiley & Sons
ISBN 13 : 1742169147
Total Pages : 171 pages
Book Rating : 4.7/5 (421 download)
Download or read book Self Managed Superannuation Fund Handbook written by Barbara Smith and published by John Wiley & Sons. This book was released on 2012-01-24 with total page 171 pages. Available in PDF, EPUB and Kindle. Book excerpt: In The Self Managed Superannuation Fund Handbook, tax and superannuation specialists Barbara Smith and Dr Ed Koken show you how to take advantage of the simplified do-it-yourself superannuation and pension rules, and how to get the best out of your investments in the most tax-friendly way. This practical handbook covers: why you should set up and run your own fund investment options and strategies taxation tips and traps in running your fund accessing your retirement savings as pension This book is full of information for investors setting up or already running an SMSF, and professionals who provide superannuation and retirement planning advice to clients with SMSFs.
Author : United States. Securities and Exchange Commission
Publisher :
ISBN 13 :
Total Pages : 888 pages
Book Rating : 4.3/5 (243 download)
Download or read book SEC Docket written by United States. Securities and Exchange Commission and published by . This book was released on 2013 with total page 888 pages. Available in PDF, EPUB and Kindle. Book excerpt:
