What is a covered person audit?

The SEC’s definition of a “covered person” in the firm, with respect to an audit client (or its affiliates) includes (1) individuals on the “audit engagement team,” (2) personnel in the “chain of command” over members of the audit engagement …

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What enforcement powers do the FCA have?

Our enforcement powers prohibiting individuals from carrying on regulated activities. suspending firms and individuals from undertaking regulated activities. issuing fines against firms and individuals who breach our rules or commit market abuse. issuing fines against firms that breach competition laws.  …

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What agency regulates banks in Florida?

The Office of Financial Regulation (OFR)The Office of Financial Regulation (OFR) is responsible for supervising state-chartered banks, credit unions, savings associations, and international bank agencies, and licenses and regulates non-depository finance companies and the securities industry. Where do I file …

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Why are there several types of financial institutions?

What is the purpose of having so many financial institutions? Financial institutions are important because they provide a marketplace for money and assets, so that capital can be efficiently allocated to where it is most useful. For example, a bank …

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How many questions are on the Series 7 top off?

125 multiple choice125 multiple choice questions, allow the candidate 225 minutes to complete the exam, and will be scored using equating. How many options questions are on the Series 7 top-off? 10-15 options questions The Series 7 top-off exam typically …

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Who do Mcob rules apply to?

The MCOB rules apply to every firm that carries on a home finance activity. A ‘firm’ may be a mortgage lender, administrator, arranger or adviser. A ‘home finance activity’ may be a regulated mortgage contract, a home purchase plan or …

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What is an ArcGIS map?

What is ArcGIS map? ArcGIS Online is a cloud-based mapping and analysis solution. Use it to make maps, analyze data, and to share and collaborate. Get access to workflow-specific apps, maps and data from around the globe, and tools for …

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How much money does Ken Fisher manage?

Ken Fisher founded Fisher Investments in 1979, which is now a $197-plus billion* investment adviser and money management firm serving large institutions, high net worth individuals and small business retirement plans globally. By most standards, it is the world’s largest …

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What can soft dollars be used for?

Soft dollars are commission payments to a brokerage firm that are used, in part, to pay for other services such as research. Soft-dollar transactions are frequently criticized for lacking transparency and hiding abuses. Soft dollars are sometimes defended as providing …

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