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[DOCX File]surs.com
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(4) is at least one of the following: (i) registered as an investment adviser under the federal Investment Advisers Act of 1940 (15 U.S.C. 80b-1, et seq.); (ii) registered as an investment adviser under the Illinois Securities Law of 1953; (iii) a bank, as defined in the Investment Advisers Act of 1940; or (iv) an insurance company authorized ...
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[DOC File]1 - ARE Forum
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Apr 02, 2011 · Fiduciary liability. Fiduciary liability imposes a much higher standard of performance, because a fiduciary is a party to whom another party entrusts property for safekeeping. Failure to fulfill fiduciary responsibilities is determined not so much by the fiduciary's actions as it is by results.
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[DOCX File]www.myfloridaprepaid.com
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An authorized Securities and Exchange Commission investment adviser. An investment company as defined in the Investment Company Act of 1940. ... What is the Respondent’s approximate percentage of revenue contribution from Institutional Trust and Custody services vs. overall company revenue? ... Confirm the Respondent can act as a fiduciary ...
financial advisor vs investment advisor

[DOCX File]RFP NUMBER | The Official Website of the State of ...
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The firm must agree to act as a fiduciary within the meaning of applicable Indiana law. The firm must agree to comply with Indiana law as it applies to investments made by INPRS. Below is the Scope of Services to be performed by the Consultant for the Absolute Return and Private Equity portfolios.
financial advisor vs fiduciary

[DOCX File]Organization - City of Burlington, Vermont
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2016, Goldberg, Yolles & Lepore LLC disaffiliated with FiNet and created GYL Financial Synergies, LLC, a fully independent Registered Investment Adviser, held to fiduciary standards. In conjunction with the move to full independence, GYL became part of the Focus network. Team structure and brief biographies of individuals to be assigned.
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[DOCX File]CEFEX | Fiduciary Excellence at Investment Advisory Firms
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The Proposer(s) and proposing firm must be registered as an investment Adviser under the Investment Adviser Act of 1940. It must be prepared to acknowledge in its service agreement that it accepts fiduciary delegation as per ERISA § 3(38).
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[DOCX File]OVERVIEW - CA Department of Insurance
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ii.investment adviser means any person who, for compensation, engages in the business of advising others; and ... (and advisor[s]). A life settlement broker has a fiduciary responsibility to obtain multiple offers, document responses and present all of them. e. Offer Acceptance: If an offer is accepted, a "closing package" including formal ...
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[DOC File]OATS REPORTING APPLICABLE TO OTC EQUITIES (12/12/06)
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House Passes Legislation Requiring Private Fund Adviser Registration and Fiduciary Standard for Brokers (12/14/09) The U.S. House of Representatives approved financial services legislation that would require all private fund managers of funds with more than …
financial advisor vs financial adviser

[DOC File]February 6, 1998 - OP&F
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Finally, the Investment Adviser selected to perform the services described in this RFP will be required to acknowledge and agree, without limitation, that the Investment Adviser will serve as a fiduciary to OP&F, as described in Sections 742.11 and 742.112 of the Ohio Revised Code.
investment adviser vs advisor

[DOCX File]Burlington Employees' Retirement System
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Oct 08, 2020 · 7 Certified Plan Fiduciary Advisor (CPFA) Designees. 6 Chartered Alternative Investment Analyst (CAIA) Members. ... Registration as an investment adviser does not constitute an endorsement for the firm by securities regulators nor does it indicate that the adviser has attained a particular level of skill or ability.
financial planner vs fiduciary

Advisor vs adviser fiduciary