Trade Brains

MAY 6, 2023

3,462 crores from the bank. Worst Performing Stocks in India – Yes Bank The story of Yes Bank is the perfect example of a success story gone wrong in the banking industry. Yes Bank was founded in 2003 by Rana Kapoor and Ashok Kapur. The bank network spanned 1120 locations across all 29 states in India.

Banking 52

Banking License Government Investments 52

Harness Wealth

FEBRUARY 20, 2024

CPAs are licensed by state boards of accountancy in the state where they practice. Once licensed, CPAs work in various settings including public accounting firms, corporate finance departments, and other financial companies offering services that span tax preparation and planning, auditing, and financial strategy.

Taxes 52

Taxes License Education Tax Planning 52

International College of Financial Planning

JUNE 14, 2023

It is important to note that a new NISM certification must be obtained before the expiry of the existing certificate to ensure compliance with guidelines. Upon receiving the fees, SEBI will issue the SEBI Registered Investment Advisor License, while BASL will issue a membership certificate.

Investment Advisor 52

Investment Advisor Investments Investing Certification 52

Trade Brains

MAY 14, 2024

Full-Stack Insurers are insurance firms that are fully licensed and controlled by a regulatory authority and perform sourcing, underwriting, and servicing in-house. Digital full-stack insurers, such as Go Digit are insurance manufacturing companies focusing on integrating technology in their operations. Investment Rs.

Insurance 59

Insurance Commission License Management 59

Brown Advisory

JANUARY 1, 2023

Our financial investments include: micro-lending in Indonesia (PT Bank Rakyat), life insurance across Asia (AIA Group), Brazilian and Germany equity and futures exchanges (B3 and Deutsche Boerse), global credit ratings (Moody’s), U.S. Or is there a risk of default and loss?

Investments 52

Investments Investing Valuation Clients 52

The Big Picture

APRIL 25, 2023

Brian Hamburger has been one of the leading authorities in the world of registered investment advisories, broker-dealers, SEC regulatory compliance. And I would constantly hear them frustrated by the compliance department. HAMBURGER: They were just blaming compliance for everything they couldn’t do. RITHOLTZ: Right.

Compliance 163

Compliance Clients Wealth Management Management 163

Diamond Consultants

DECEMBER 20, 2022

The cherry on top was the expansion of affiliation models to include the ability to become an RIA, drop FINRA licenses, or gain more independence without the need to repaper. The feeling of vulnerability at the big firms will rise for advisors—with increased hyper-vigilant compliance scrutiny.

Recruitment 59

Recruitment Compliance Wealth Management Banking 59

The Big Picture

JANUARY 24, 2023

It was between corporate law and investment banking. RITHOLTZ: So even back then, when it was the size that you could take a Christmas picture with everybody in one room at Goldman, they’re still doing investment banking. RITHOLTZ: My answer was, I’m 11, I don’t have a license plate, just give the kid a gallon of gas.

Investments 264

Investments Investing Numbers Banking 264

The Big Picture

SEPTEMBER 5, 2023

They were just helping the brokers get a bank loan through the process. I mean, essentially what no one understood in the industry and still don’t understand today in the real estate industry is that when appraisers doing an appraisal for the buyer that’s getting a mortgage, their client is actually the bank.

Sales 130

Sales Numbers Marketing Marketing 130

Sara Grillo

SEPTEMBER 26, 2022

In other cases, the most common is one, disclosure bank, and really, in most cases, there are… 0:58:04.8 In addition to his formal Education Robert Wright holds his FINRA Series 7 and 66 licenses, is a CERTIFIED FINANCIAL PLANNER Professional and holds Georgia Resident Life and Health Insurance. And you feel badly for them.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

Harness Wealth

MARCH 25, 2025

To minimize your tax liability, its important to document every business expense, such as: Travel : airfare, lodging, rental cars Professional fees : licensing, malpractice insurance Education : continuing medical education or certifications Note: Record all expenses associated with your work as an independent contractor.

Medical 52

Medical Taxes Tax Planning Education 52

The Big Picture

NOVEMBER 25, 2024

This was the era, 2005, 2006, all of my friends were looking to get banking roles. Would you license these models to me? And so we, we get this contract written and I go off to grad school assuming I would go work at a big bank doing sales and trading in some quant role. A lot of them went to big banks. Oh yeah, for sure.

Portfolio 148

Portfolio Management Marketing Marketing 148