Over the years, NAPFA's influence has resulted in greater awareness and adoption of Fee-Only principles by leading financial advisors, other major financial industry trade associations, and government regulations.
DUE DILIGENCE: The research conducted by broker-dealers and other financial advisors on the legal and economic soundness of an investment.
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Advisors/Advisers
Advisors specialize in giving advice to clients about investing in securities, but they do not buy or sell securities for their clients. Advisors are registered with the securities regulators to give investment advice.
Advisors. Individuals, or a group of individuals, who have experience and expertise greater than your own, and who help you to make financial decisions. Examples: a lawyer, chartered accountant, banker, a stock broker, or a financial planner.
Advisors. If your initial reaction to this final item is that it is merely self serving (we are merger and acquisition advisors), ...
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Our advisors working in the area of financial engineering are able to create real economic benefits by tailoring structures that take full advantage of legal cross-border tax, accounting and arbitrate facilities.
Some advisors suggest that a simplified flat tax on income would not only be fairer but also save the government a considerable amount of money in bureaucratic fees.
Many advisors also call dividends a good complement to other investments during times of high volatility and low bank yields.
Many advisors use this term instead of contribution room/limit to refer to pension and RRSP limits.
Investment Advisors may have an incentive to steer you toward lower risk but lower return strategies.
Investment Advisors Act
Act passed by Congress in 1940 that requires investment advisers to register with the SEC. The intent of the Act is to protect investors from fraud or misrepresentation by investment advisors.
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Investment advisors must meet educational standards, follow regulatory rules and policies and be registered by the securities commission in the province where they work.
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Amaranth Advisors A hedge fund that suffering staggering losses speculating on natural gas prices.
American exercise A provision that permits exercise of an option any time prior to expiration.
Investment advisors who register with the Securities and Exchange Commission (SEC) and agree to be regulated by SEC rules are known as registered investment advisors.
Financial advisors: Finally, there are professional financial advisors who will, for a fee, help you personally decide where and how to invest.
You, or your advisors, have the knowledge needed to carry on the activity as a successful business
You were successful in making a profit in similar activities in the past
The activity makes a profit in some years, and how much profit it makes ...
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Committee of Advisors. Provides nonbinding advice to the trustee and trust protector. Friendly towards settlor but must still maintain independence.
Bermuda Financial Advisors Authorization of Disclosure Portfolio Manager
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Event: Ask the Advisors Tax Seminars
Date(s): May 15; June 19; July 17; August 21; September 18; October 16, 2012
Time: 9:00 a.m. - 12:00 p.m.
COUNCIL OF ECONOMIC ADVISORS: A three-member board that advises the President of the United States on economic policy and helps prepare an annual economic report.
Commodity Trading Advisors (CTA, Managed futures, Trading) - the fund trades in futures (or options) in commodity markets.
Systematic diversified - the fund trades in diversified markets.
League tables A ranking of lenders and advisors according to the underwriting, final take, or number of project finance loans or advisory mandates. Leakage Release of information selectively or not before official public announcement.
advisory letter Newsletters with the purpose of offering financial advisors to subscribers,... ADX Directional Movement Index ADX fluctuates between 0 and 100. Readings below 20 indicate a weak trend or...
May also refer to the high frequency style of commodity trading advisors who often employ technical and quantitative tools for intraday investments Alternative Minimum Tax (AMT) A federal tax aimed at ensuring that wealthy individuals, estates, ...
NALU Formerly the National Association of Life Underwriters, see National Association of Insurance and Financial Advisors. NAIFA See National Association of Insurance and Financial Advisors. NASD See National Association of Securities Dealers.
Physicians, nurses, clinical psychologists, teachers, lawyers, CPAs, financial advisors and other service-oriented professionals are supposed to use their specialized knowledge and skills solely in the best interests of the patients, ...
SMAs, also called separate accounts, individually managed accounts, or managed accounts, are usually marketed by broker-dealers, who select money managers, called subadvisors, for clients from a selected list.
Know your client, or "KYC", are the ethical and practice guidelines for investment advisors to make detailed assessments about their clients' risk tolerance.
Pershing LLC ("Pershing") is an industry leader in providing correspondent brokerage services, providing approximately 550 independent securities firms and registered investment advisors with a comprehensive range of trade execution, ...
He was a member of President Kennedy’s Council of Economic Advisors, served two terms as president of the Cowles Foundation,...
When Form Follows Function: How Core-Satellite Investing Has Sparked an Era of Convergence
by Christopher Holt ...
Financial advisors are just sales drones now who have cookie cutter answers based on the years left in retirement. Everyone says cash is the best answer because most of you are scared sheep. Of course, I could very well be proven wrong...
NAIFA - National Association of Insurance and Financial Advisors - A nonprofit group that works on behalf of its members to promote a favorable regulative environment, ...
Ever since the financial crisis crushed international and local economies all over the world, the roles and duties of wealth management advisors have broadened and diversified.
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Investment Advisor Representative - Investment advisors are professional financial analysts who study business trends and individual companies in depth.
A self regulatory organization composed of futures commission merchants, commodity pool operators, commodity trading advisors, introducing brokers, leverage transaction merchants, commodity exchanges, commercial firms, and banks, ...
Certified Funds Specialist (CFS)- This designation is for financial planners and investment advisors who focus more on investments using mutual funds.
Council of Economic Advisors (CEA)
The Council of Economic Advisors' job is to assist and advise the president of the United States on economic policy.
Gatekeepers Professionals such as lawyers, accountants and investment advisors that can block or expedite funds from entering the banking system.
Prudent Man Rule - Rule established by the Securities Act of 1933 which makes financial advisors, stockbrokers and other fiduciaries responsible for acting in a prudent or responsible manner in the affairs of their clients.
Known as RIAs for short, registered investment advisors must register with the Securities and Exchange Commission (SEC) once they manage a certain amount of assets, usually $25 million. RIAs that manage fewer assets must register at the state level.
If your firm is not achieving controlled profitable growth at a rate of 20% per year or more, if you are struggling to find and retain top-notch staff, if advisors are working harder to keep less, if fees are an issue with your clients, ...
Several professors from the University of Chicago school became advisors to the Chilean government and several PhD graduates -- known as "the Chicago boys" served in Chilean ministries.
Financial advisors suggest revisiting your asset allocation-the combination of stocks, bonds, and money market/stable value investments in your account-at least once a year to see if your portfolio needs to be rebalanced.
National Association of Personal Financial Advisors
Photo Credit holding winning lottery image by drx from Fotolia.com money money image by Valentin Mosichev from Fotolia.com
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Businesses that are engaged in operations that are considered "risky" or subject to frequent lawsuits are often encouraged by their legal advisors to incorporate.
A market sentiment indicator published weekly by Investor's Intelligence that uses information polled directly from market professionals. The ratio is derived by dividing the total number of bullish investment advisors by the number of bearish and ...
independent Commodity Trade Advisors to handle daily trading
decisions. Responsible for the pool's administration, structure, and
selecting and monitoring the traders who conduct transactions
using the fund's money.
This refers to securities firms which employ investment advisors to work with retail and institutional clients and has underwriting, trading and research departments.
Investment Industry Regulatory Organization of Canada (IIROC)Expand/Collapse ...
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In addition, their financial security advisors offer a broad range of leading financial products from other financial institutions. London Life subsidiary, Quadrus Investment Services Ltd.
This is the reason why many financial planners and investment advisors recommend that investors put their money in passively managed funds (ie: those that mimic a unchanging list of popular companies) don't employ highly paid financial professionals ...
Includes both (1) Grants to nationals of aid recipient countries receiving education or training at home or abroad and (2) Payments to consultants, advisors and similar personnel in recipient countries.
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Wolfgang Kasper is an emeritus professor of economics at the University of New South Wales, Australia. He served on the staff of the German Council of Economic Advisors, the Kiel Institute of World Economics, the Malaysian Treasury, ...
Present Value: Representation of the current value of a future payment or serial payments at scheduled compounding periods with a specific discounting rate of return. Financial advisors may use the phrase "time value of money" while accountants ...
Readers should consult with their legal, tax or financial advisors before entering into any agreement or effecting any transactions involving terms or concepts about whose meaning they may be unsure.
Any person looking to invest into offshore annuities should be aware of the complexity of the taxation regimes that apply to nationals of different countries. It is very important to work with the tax advisors, ...
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