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Keyword: Registration

287 results found

Sternberg, Parkwood and Philco banned from registration

Two fund manager registration models have been proposed by regulators

Questions about proper registration concerning Daniel Sternberg, Parkwood GP and Philco Consulting were uncovered during a hedge fund sweep in 2009

Some Canadian advisors will have to register in the U.S. for the first time

Survey results reinforce the client-service orientation of advisors considering independence

The company and its two officers are not registered

Kennedy unsuitable as a registrant, executive director concludes

  • By: IE Staff
  • February 17, 2012 February 17, 2012
  • 16:40

The proposed dealer regulation fee model will charge a $250 fee for each registered individual

  • February 3, 2012 February 3, 2012
  • 15:00

Investors cautioned not to purchase securities

  • By: IE Staff
  • January 30, 2012 January 30, 2012
  • 16:00

With more clients heading for the sun, make sure you don’t execute orders that could run afoul of foreign securities laws

  • By: Jade Hemeon
  • January 20, 2012 October 30, 2019
  • 15:10