Decentralized finance, or DeFi, platforms use blockchain technology to provide user-to-user financial services without going ...

In a final SEC crypto roundtable, the securities watchdog dug into decentralized finance, with Chairman Paul Atkins promising ...

Each affiliated entity (each an "Affiliate") of Fiera Capital only provides investment ... advisers that are registered with the U.S. Securities and Exchange Commission (SEC) or exempt from ...

•Nuveen Churchill Direct Lending Corp. ("NCDL"), a Maryland corporation that has elected to be regulated as a business development company under the 1940 Act. The investment adviser to NCDL is ...

Due to the high federal estate tax exemption ... Financial Planning and Advisory Services are offered through Prosperity Capital Advisors (“PCA”), an SEC registered investment adviser ...

The company charged membership fees to exempt market ... for dealer registration, cooperated with regulators and admitted to misconduct, the settlement noted. James is a senior reporter for Advisor.ca ...

and investment adviser representatives; and reviewing registration statements and exemption filings for securities issuers that are seeking to sell in Maine.

The Financial Services and Credit Panel (FSCP) has suspended the registration of financial adviser Ian Reid for three months ... invalidating the further advice exemption under regulation 7.7.10AE of ...

The Financial Services and Credit Panel (FSCP) has announced its latest verdict, suspending an adviser’s registration for failing to comply ... was reasonably satisfied that the further advice ...

According to sub-regulation (f) of regulation 4 of the Investment Advisers Regulations, 2013, ICMAI members are exempt from SEBI registration if they provide investment advice incidental to their ...

As part of your due diligence, conduct a thorough background check before choosing a financial advisor to manage your ... it may not mean the broker has no registration record.

Editorial Note: Forbes Advisor may earn a ... from the SSY account are tax exempt. The maximum contribution permissible in SSY is INR 1,50,000 per financial year. 6. Senior Citizens Savings ...