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Financial management advisor
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#	Item
301	Complaint: Locke Capital Management, Inc. and Leila C. Jenkins Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-03-09 16:07:42 Leila Jenkins Investment Advisers Act John Locke Registered Investment Advisor Hedge fund Financial adviser Investment Advisor High-net-worth individual UBS Financial economics Investment Finance
302	Kofax MarkView AP Advisor Reach the Pinnacle of Financial Process Excellence Add to Reading List Source URL: www.dcainfo.com Language: English - Date: 2014-03-13 10:14:27 Kofax Internal control Finance Performance indicator ISO 10303 Information technology controls Business Information technology management Artificial intelligence Optical character recognition Document management systems Management
303	DISCLOSURE BROCHURE February 14, 2014 FOOTHILLS ASSET MANAGEMENT, LTD[removed]E. VIA DE VENTURA, SUITE 175 SCOTTSDALE, AZ 85258 Add to Reading List Source URL: www.faml.net Language: English - Date: 2014-03-12 19:18:20 Financial services Financial markets Funds Investment Advisers Act Financial adviser Management fee Registered Investment Advisor Investment Advisor Investment Policy Statement Financial economics Finance Investment
304	SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No[removed]; File No[removed]Principal Funds, Inc., et al.; Notice of Application August 11, 2014 Agency: Securities and Exchange Commission (“Commis Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-12 06:25:33 Finance 76th United States Congress Investment Advisers Act Financial adviser Regulation S-X Collective investment scheme Investment Advisor Investment Company Act Management fee Financial economics Investment Financial services
305	The Alabama Securities Commission Add to Reading List Source URL: www.sos.ms.gov Language: English - Date: 2010-04-06 10:56:38 Financial services Institutional investors Morgan Keegan & Company Regions Morgan Keegan Trust Mutual fund Security Registered Investment Advisor Investment management Jim Kelsoe Financial economics Regions Financial Corporation Investment
306	Susan Copland, B.Comm, LLB. Director Tyler Fleming Director, Stakeholder Relations and Communications Suite[removed]Bay St. Add to Reading List Source URL: www.obsi.ca Language: English - Date: 2013-05-22 17:13:53 Ethics Financial adviser Management Risk Mediation Investment Policy Statement Registered Investment Advisor Finance Investment Business
307	EXAMINATIONS OF CERTAIN ETFs AND THEIR ADVISERS Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2014-01-31 16:49:14 Financial services Funds Hedge fund Operational due diligence Registered Investment Advisor Financial adviser Investment Advisers Act Due diligence Investment management Financial economics Investment Finance
308	SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No[removed]; File No[removed]Ares Capital Corporation et al.; Notice of Application March 9, 2012 Agency: Securities and Exchange Commission (“Commis Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2012-03-13 14:00:04 76th United States Congress Financial services Investment Advisers Act Registered Investment Advisor Collective investment scheme Investment Company Act Financial adviser Ares Management Investment Advisor Financial economics Investment Finance
309	ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF IN THE MATTER OF: Add to Reading List Source URL: www.scag.gov Language: English - Date: 2013-09-16 15:16:05 Business Registered Investment Advisor Investment Advisor Financial adviser Security Securities Act Investment management Financial economics Finance Investment
310	THE U.S. TRUST STUDY OF THE PHILANTHROPIC CONVERSATION: Understanding advisor approaches and client expectations OCTOBER 2013 Add to Reading List Source URL: newsroom.bankofamerica.com Language: English - Date: 2013-10-07 11:08:54 Business Financial adviser The Philanthropic Initiative Philanthropy Foundation Charitable organization Tax advisor Wealth management Economics Finance HNW Financial services

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