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Financial adviser
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221	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-06-22 16:31:17 Financial markets 76th United States Congress Commodity markets Institutional investors Funds Exchange-traded fund Investment Advisers Act Broker-dealer U.S. Securities and Exchange Commission Futures contract Mutual fund Financial adviser
222	Financial Services Guide Date of preparation: April 2016 Contact details Bennelong Funds Management Ltd Level 1, 9 Queen Street Add to Reading List Source URL: www.touchstoneam.com Language: English - Date: 2016-03-24 01:07:12 Investment Investment fund Financial adviser Wrap account Financial services Privacy
223	Financial Services Guide Date of preparation: April 2016 Contact details Bennelong Funds Management Ltd Level 1, 9 Queen Street Add to Reading List Source URL: www.kardiniacapital.com.au Language: English - Date: 2016-03-24 01:07:12 Investment Investment fund Financial adviser Wrap account Financial services Privacy
224	NASAA Custody Requirements for Investment Advisers Model Rule 102(eAdopted April 3, 2000, Amended, , , * Rule 102(eCustody of Client Funds or Securities by Investment Advise Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2016-06-02 12:08:16 Investment United States securities law U.S. Securities and Exchange Commission 76th United States Congress Investment Advisers Act Financial adviser Investment fund Regulation S-X Securities Act Security Accredited investor Registered Investment Adviser
225	CITY OF SANTA ANA FINANCE & MANAGEMENT SERVICES AGENCY SEC Municipal Advisor Rule – Evidence of Independent Registered Municipal Advisor (IRMA) Exception October 1, 2014 Add to Reading List Source URL: www.ci.santa-ana.ca.us Language: English - Date: 2014-10-20 13:24:19 Financial advisors Financial adviser U.S. Securities and Exchange Commission Adviser Municipal Securities Rulemaking Board
226	Microsoft WordASC-SERVICES-INFO-APPROVED Add to Reading List Source URL: asc.alabama.gov Language: English - Date: 2014-10-20 16:51:40 United States securities law Corruption Securities fraud Securities Commission of New Zealand Financial adviser Securities commission Security Professional certification in finance Canadian Securities Administrators North American Securities Administrators Association
227	Investment Policy: The Board’s Fiduciary Duty PROPRIETARY AND CONFIDENTIAL. FOR INFORMATIONAL PURPOSES ONLY. Investment Policy: The Board’s Fiduciary Duty Presented by: Add to Reading List Source URL: wycf.org Language: English - Date: 2016-08-04 14:05:10 Common law Equity Investment Investment policy statement Fiduciary Prudent man rule Financial adviser Trust law Fiduciary management
228	Getting to know TIAA’s individual financial solutions and its financial professionals For nearly 100 years, TIAA has served the retirement needs of plan participants who work in the academic, medical, cultural and rese Add to Reading List Source URL: www.tiaa.org Language: English - Date: 2016-03-31 09:15:12 Investment Actuarial science Andrew Carnegie TIAA Institutional investors Annuity Life annuity Insurance Financial adviser Individual retirement account
229	OC TOBEREmpowering Participants – Plan Distributions and the Plan Sponsor A white paper Add to Reading List Source URL: plan.empower-retirement.com Language: English - Date: 2016-03-02 17:31:36 Retirement plans in the United States Individual Retirement Accounts Pensions 401 Taxation in the United States Defined contribution plan 403 Financial adviser Fiduciary Defined benefit pension plan Individual retirement account Employee Retirement Income Security Act
230	count_landscape_LOGO_cmyk Add to Reading List Source URL: www.count.com.au Language: English - Date: 2015-11-17 19:00:38 Investment Financial services Financial adviser Commission Investment fund Insurance ING Group RG146 Financial Planners in Malaysia

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