43 relations: Accountant, Alternative investment, Australian Securities and Investments Commission, Bank, Broker, Brokerage firm, Business, Canadian Securities Course, Certified Financial Planner, Chartered Financial Planner, Chartered Insurance Institute, Employee Retirement Income Security Act of 1974, Exchange-traded fund, Financial Industry Regulatory Authority, Financial market participants, Financial plan, Financial planner, Financial services, Financial Services Authority, Government, Insurance broker, Investment Advisers Act of 1940, Investment company, Investment fund, Korea Financial Investment Association, Lawyer, Life insurance, LLQP, Mutual fund, New Zealand Qualifications Authority, Profession, Professional liability insurance, Quango, Registered Investment Adviser, RG146, Robo-advisor, Security (finance), Socially responsible investing, South Korea, Stockbroker, U.S. Securities and Exchange Commission, United Kingdom, United States.
An accountant is a practitioner of accounting or accountancy, which is the measurement, disclosure or provision of assurance about financial information that helps managers, investors, tax authorities and others make decisions about allocating resource(s).
An alternative investment or alternative investment fund (AIF) is an investment in asset classes other than stocks, bonds, and cash.
The Australian Securities and Investments Commission (ASIC) is an independent Australian government body that acts as Australia's corporate regulator.
A bank is a financial institution that accepts deposits from the public and creates credit.
A broker is an individual person who arranges transactions between a buyer and a seller for a commission when the deal is executed.
A brokerage firm, or simply brokerage, is a financial institution that facilitates the buying and selling of financial securities between a buyer and a seller.
Business is the activity of making one's living or making money by producing or buying and selling products (goods and services).
The Canadian Securities Course (CSC) offered by Canadian Securities Institute (CSI Global Education inc, a Moody's Analytics company) is the entry course required for becoming licensed to work within the Canadian securities industry as a securities registered representative for a securities broker, known as a dealer member.
The Certified Financial Planner (CFP) designation is a professional certification mark for financial planners conferred by the Certified Financial Planner Board of Standards (CFP Board) in the United States, and by 25 other organizations affiliated with Financial Planning Standards Board (FPSB), the international owner of the CFP mark outside of the United States.
The CII's title "Chartered Financial Planner" is a widely accepted 'gold standard' qualification for professional financial planners and financial advisers in the United Kingdom.
The Chartered Insurance Institute (also known as the CII) is a professional body for the insurance sector.
The Employee Retirement Income Security Act of 1974 (ERISA) (codified in part at) is a federal United States tax and labor law that establishes minimum standards for pension plans in private industry.
An exchange-traded fund (ETF) is an investment fund traded on stock exchanges, much like stocks.
In the United States, the Financial Industry Regulatory Authority, Inc. (FINRA) is a private corporation that acts as a self-regulatory organization (SRO).
There are two basic financial market participant categories, Investor vs.
In general usage, a financial plan is a comprehensive evaluation of an individual's current pay and future financial state by using current known variables to predict future income, asset values and withdrawal plans.
A financial planner or personal financial planner is a professional who prepares financial plans for people.
Financial services are the economic services provided by the finance industry, which encompasses a broad range of businesses that manage money, including credit unions, banks, credit-card companies, insurance companies, accountancy companies, consumer-finance companies, stock brokerages, investment funds, individual managers and some government-sponsored enterprises.
The Financial Services Authority (FSA) was a quasi-judicial body responsible for the regulation of the financial services industry in the United Kingdom between 2001 and 2013.
A government is the system or group of people governing an organized community, often a state.
An insurance broker sells, solicits, or negotiates insurance for compensation.
The Investment Advisers Act of 1940, codified at through, is a United States federal law that was created to monitor and regulate the activities of investment advisers (also spelled "advisors") as defined by the law.
An investment company is a company whose main business is holding and managing securities for investment purposes.
An investment fund is a way of investing money alongside other investors in order to benefit from the inherent advantages of working as part of a group.
The Korea Financial Investment Association (KOFIA, Hangeul: 금융투자협회) is a non-profit, self-regulatory organization (SRO) in South Korea, founded under the Financial Investment Services and Capital Markets Act.
A lawyer or attorney is a person who practices law, as an advocate, attorney, attorney at law, barrister, barrister-at-law, bar-at-law, counsel, counselor, counsellor, counselor at law, or solicitor, but not as a paralegal or charter executive secretary.
Life insurance (or life assurance, especially in the Commonwealth of Nations) is a contract between an insurance policy holder and an insurer or assurer, where the insurer promises to pay a designated beneficiary a sum of money (the benefit) in exchange for a premium, upon the death of an insured person (often the policy holder).
LLQP (Life License Qualification Program) is part of the Canadian licensing regime for life insurance sales people.
A mutual fund is a professionally managed investment fund that pools money from many investors to purchase securities.
The New Zealand Qualifications Authority (NZQA, Mana Tohu Mātauranga o Aotearoa) is the New Zealand government crown entity tasked with providing leadership in assessment and qualifications.
A profession is a vocation founded upon specialized educational training, the purpose of which is to supply disinterested objective counsel and service to others, for a direct and definite compensation, wholly apart from expectation of other business gain.
Professional liability insurance (PLI), also called professional indemnity insurance (PII) but more commonly known as errors & omissions (E&O) in the US, is a form of liability insurance which helps protect professional advice- and service-providing individuals and companies from bearing the full cost of defending against a negligence claim made by a client, and damages awarded in such a civil lawsuit.
A quango or QUANGO (less often QuANGO or QANGO) is a quasi-autonomous non-governmental organisation.
A Registered Investment Adviser (RIA) is a firm that is an Investment adviser in the United States, registered as such with the Securities and Exchange Commission or a state's securities agency.
Regulatory Guide 146 (RG 146) on Training of financial product advisers, formerly known as policy statement 146 (PS 146) is an Australian financial regulation issued by the Australian Securities and Investments Commission (ASIC) related to the minimum training required by individuals selling financial products.
Robo-advisors or Robo-advisers are a class of financial adviser that provide financial advice or Investment management online with moderate to minimal human intervention.
A security is a tradable financial asset.
Socially responsible investing (SRI), or social investment, also known as sustainable, socially conscious, "green" or ethical investing, is any investment strategy which seeks to consider both financial return and social/environmental good to bring about a positive change.
South Korea, officially the Republic of Korea (대한민국; Hanja: 大韓民國; Daehan Minguk,; lit. "The Great Country of the Han People"), is a country in East Asia, constituting the southern part of the Korean Peninsula and lying east to the Asian mainland.
A stockbroker is a regulated professional individual, usually associated with a brokerage firm or broker-dealer, who buys and sells stocks and other securities for both retail and institutional clients through a stock exchange or over the counter in return for a fee or commission.
The U.S. Securities and Exchange Commission (SEC) is an independent agency of the United States federal government.
The United Kingdom of Great Britain and Northern Ireland, commonly known as the United Kingdom (UK) or Britain,Usage is mixed with some organisations, including the and preferring to use Britain as shorthand for Great Britain is a sovereign country in western Europe.
The United States of America (USA), commonly known as the United States (U.S.) or America, is a federal republic composed of 50 states, a federal district, five major self-governing territories, and various possessions.
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