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[DOC File]901445 RFP Deferred Comp Investment Advisory
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] – With an ever-growing list of financial institutions targeted by organized cyber-attacks, the [AGENCY] today issued an advisory reminding investors of the importance of understanding how their personal information is being protected by financial firms…
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[DOCX File]NYAPP 01 -- ACCOUNTANTS APPLICATION
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The checklist should also be used to determine SEC requirements for which supporting information should be obtained during the audit. Following this instruction page is a list of Regulation S-X and S-K …
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[DOC File]News Release Template: Crowdfunding
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The Act requires that, at the time a firm is selected for any appointment in which the firm may earn at least $1 million in compensation, the firm will be required to certify that it is not on the then current list of persons engaged in investment …
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Registered Investment Adviser - Wikipedia
The Alameda County Office of the Treasurer – Tax Collector is required to contract with a Registered Investment Advisory Firm (RIA) for fiduciary responsibilities with regard to investments offered to …
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[DOC File]www.aig.com
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3.List all investment advisers who are employed (W-2) and Independent Contractors (1099) that work solely on behalf of the Named Applicant. Accounting firms should list only those that provide financial planning/investment …
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[DOCX File]Request for Financial Advisory Statements of Qualifications
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(a) Registered Investment Advisor: (b) Address: Is coverage being requested for any "outside" registered investment advisor? Yes No (If "Yes," provide list of firms) If yes was answered in question #3 directly above, have policies and procedures been implemented to supervise the activities of the "outside" registered investment …
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Registered investment advisory firms list