Remove 2000 Remove Communication Remove Compliance
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5 Smallcap stocks with over 35% DII holding to keep on your radar

Trade Brains

TeamLease Services Established in 2000 and headquartered in Bengaluru, TeamLease Services Limited is a leading Indian recruitment and human resources (HR) services company. As of the latest shareholding data, Domestic Institutional Investors (DIIs) hold a 47.65 percent stake in the company, reflecting strong domestic investor confidence.

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Market Commentary: S&P 500 Makes New All-Time High as Fed Goes Big

Carson Wealth

The Russell Mid Cap index rose over 4% during this period, while the Russell 2000 small cap index rose over 7%. Cyclical sectors, including energy, communications, industrials, consumer discretionary, materials, and financials all outperformed the broad index, whereas more defensive sectors like consumer staples underperformed.

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Becoming a SEBI Registered Investment Advisor: A Complete Guide

International College of Financial Planning

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. Registering as a SEBI investment advisor ensures compliance with regulations and instils trust among clients.

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Transcript: Ted Seides

The Big Picture

You had the run up in the dot coms to 2000. Let me say what your compliance wouldn’t allow you to say. You guys were killing it in the mid 2000s. SEIDES: And I’ll tell you a story that’s fun about the communication of it too. ” It wasn’t that they didn’t communicate that.

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Saving investors from the “Humpty Dumpty portfolio” with hourly financial advisor Rick Ferri, CFA

Sara Grillo

He also has considerably less of a compliance, operational, and administrative burden because he is not taking custody or discretion of his clients’ assets. RICK FERRI, CFA: I ended up retiring in 2000. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

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Transcript: Brian Hamburger

The Big Picture

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.

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Advice-only financial planners are stealing the show!

Sara Grillo

It was 2000, so what… In that case, to get involved or… I guess. It was 2000, so what… In that case, to get involved or… I guess. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice. For advise on such matters, contact a legal or compliance advisor.