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AimPoint Pension
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Compass
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Bates & Company, Inc.
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Defined Benefit Combo Cash Balance Compliance Consultant Loren D. Stark Company (LDSCO)
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Regional Vice President of Sales The Retirement Plan Company
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In the Aftermath of Madoff, Congress Should Expand - Not Diminish - Fiduciary Duty
Pensions & Investments [Opinion] Feb. 25, 2009 Excerpt: Investment management professionals should work to ensure that the fallout from the Madoff case does not result in legislative or regulatory reforms that do more harm than good. There are at least three specific areas that could harm investment advisers and the clients they serve: (1) restructuring the SEC in such a way that its essential missions are compromised or diminished; (2) subjecting investment advisers to broker-dealer rules (including substituting a broker's suitability standard for an adviser's fiduciary obligation); and (3) establishing FINRA as the self-regulatory organization for investment advisers. |
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