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SEC Fines Firms $81M For Off-Channel Communications Lapses

Wealth Management

mirror other allegations concerning retaining electronic communications. The settlements with Northwestern Mutual, Guggenheim and Oppenheimer & Co.

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Weekend Reading For Financial Planners (March 23-24)

Nerd's Eye View

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that the SEC has recently been cracking down on firms for recordkeeping failures related to electronic communications, including their use of text messaging with prospects and clients.

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Tata Communications Vs Tata Teleservices – Key Metrics and Analysis

Trade Brains

Tata Communications Vs Tata Teleservices: The Tata Group is one of the oldest and most prestigious business groups in India. Two companies -Tata Communications and Tata Teleservices in the telecom and media sector have given multibagger returns in the past five years. Tata Communications. Keep reading to find out! Data Business.

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Drafting RIA Advisory Agreements: Best Practices And Essential Elements To Include

Nerd's Eye View

Finally, the advisory agreement should include provisions for how it may be amended, modified, or terminated, as well as standard legal ‘boilerplate’ language and, of course, a space for the adviser and client to sign the agreement (either physically or electronically).

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Bharat Electronic’s Growth Story: Will a ?76,000 Crore Order Book Propel Future Success?

Trade Brains

Bharat Electronics: In the budget plan for the year 2023-24, the government increased the money allocated for defense to ₹5.94 lakh crore This increase in funding represented a positive outlook for companies like Bharat Electronics Limited (BEL), which creates advanced technology for our defense. lakh crore.

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Drafting RIA Advisory Agreements: Best Practices And Essential Elements To Include

Nerd's Eye View

Finally, the advisory agreement should include provisions for how it may be amended, modified, or terminated, as well as standard legal ‘boilerplate’ language and, of course, a space for the adviser and client to sign the agreement (either physically or electronically).

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HBL Power Systems: Pioneering the Future of Defence and EV Innovation

Trade Brains

From the quiet hum of our laptops to the dazzling display of our smartphones, these marvels rely on a hidden partnership between batteries and electronic solutions. Batteries and electronics are the unsung heroes of our modern world. They utilize various sensors and communication technologies to detect potential hazards.