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1

Moolman, Juanita. Financial advisory and intermediary services guide. South Africa: [LexisNexis], 2010.

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2

Marketing financial advisory services: A hands-on guide. Englewood Cliffs, N.J: Prentice Hall, 1988.

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3

Commission, International Financial Institution Advisory. Report of the International Financial Institution Advisory Commission. [Washington, D.C.]: International Financial Institution Advisory Commission, 2000.

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4

Hart, Paula Idt. How to transition your practice to financial advisory services. Fort Worth, TX: Practitioners Pub. Co., 1999.

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5

Ireland. International Advisory Group on the International Financial Services Centre. Report of the International Advisory Group on the International Financial Services Centre. Dublin: Stationery Office, 1997.

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6

Maine. Legislature. Student Financial Aid Transition Advisory Committee. Report of the Student Financial Aid Transition Advisory Committee. Augusta, Me: The Committee, 1990.

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7

Ainsworth, Jim H. The CPA's guide to a successful financial planning practice: Selling financial investments and marketing advisory services. New York: Wiley, 1995.

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8

Ip, Yiu Lam. Design a decision support system for personal financial advisory function. [s.l: The Author], 1992.

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9

Tibergien, Mark C., and Owen Dahl, eds. How to Value, Buy, or Sell a Financial-Advisory Practice. Hoboken, NJ, USA: John Wiley & Sons, Inc., 2012. http://dx.doi.org/10.1002/9781119204886.

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10

Roby, Michael. The ultimate small cap business: Building a financial advisory practice. Andover, MN: Expert Pub., 2008.

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11

Tibergien, Mark C. Practice made (more) perfect: Transforming a financial advisory practice into a business. Hoboken, N.J: Wiley, 2011.

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12

Forum, Accounting Advisory. Environmental issues in financial reporting: Document of the Accounting Advisory Forum. [Brussels?]: [European Union], 1995.

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13

United Nations. Advisory Group on Financial Flows for Africa. Financing Africa's recovery: Report and recommendations of the Advisory Group on Financial Flows for Africa. New York, N.Y: United Nations, 1988.

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14

Ireland. Materials Management Advisory Group. Report of the Materials Management Advisory Group established by the Minister for Health. Dublin: Stationery Office, 1996.

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15

India, Reserve Bank of. Report of the Advisory Group on Transparency in Monetary and Financial Policies. [Mumbai: Reserve Bank of India, 2000.

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16

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Final report of the International Financial Institution Advisory Commission: Hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixth Congress, second session on recommendations for changes to improve the effectiveness, accountability, and the transparency of the internatiional financial institutions and to eliminate overlapping responsibilities, March 9, 2000. Washington: U.S. G.P.O., 2000.

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17

Africa, South. Financial Intelligence Centre Act, 38 of 2001 ; Financial Advisory and Intermediary Services Act, 37 of 2002: Including regulations & related materials. 3rd ed. Claremont: Juta Law, 2011.

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18

Parliament, Great Britain. The Financial Reporting Advisory Board: Report for the period April 2002 to March 2003. London: Stationery Office, 2003.

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19

Gresham, Stephen D. The managed account handbook: How to build your financial advisory practice using separately managed accounts. Hartford, CT: Connecticut River Press, 2002.

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20

Rattiner's financial planner's bible: The advisor's advisor. New Jersey: Wiley, 2002.

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21

Great Britain. Radioactive Waste Management Advisory Committee. Radioactive Waste Management Advisory Committee: Financial management and policy review : report of the steering committee. London: Dept. of the Environment, Transport, and the Regions, 1998.

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22

Hattingh, W. The FAIS Act explained: A guide to understanding the Financial Advisory and Intermediaries Act 37 of 2002. Durban: LexisNexis, 2010.

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23

Maine. Legislature. Student Financial Aid Transition Advisory Committee. Final report of the Student Financial Aid Transition Advisory Committee to the Joint Standing Committee on Education. Augusta, Me. (Room 101, State House, Sta. 13, Augusta 04333): Office of Policy and Legal Analysis, 1989.

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24

Ireland. Implementation Advisory Group on the Establishment of a Single Regulatory Authority for the Financial Services Sector. Report of the Implementation Advisory Group on the Establishment of a Single Regulatory Authority for the Financial Services Sector. Dublin: Stationery Office, 1999.

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25

Ontario. Advisory Committee to the Minister of Municipal Affairs on the Provincial-Municipal Financial Relationship. Report of the Advisory Committee to the Minister of Municipal Affairs on the Provincial-Municipal Financial Relationship. [Toronto]: The Committee, 1991.

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26

Great Britain. Parliament. House of Commons. Treasury. The Financial Reporting Advisory Board to the Treasury: Report for the period April 2000 to March 2001. London: Stationery Office, 2001.

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27

United States. Advisory Council on Social Security (1989-1991). Social security and the future financial security of women a report of the Advisory Council on Social Security. Washington, D.C: The Council, 1991.

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28

Saving international capitalism during the early Truman presidency: The National Advisory Council on International Monetary and Financial Problems. New York: Garland, 2001.

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29

United States. Congress. Senate. A bill to establish a bipartisan commission to study and provide recommendations on restoring the financial integrity of the Medicare program under title XVIII of the Social Security Act. [Washington, D.C.?]: [United States Government Printing Office], 1997.

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30

United, States Congress Senate Committee on Banking Housing and Urban Affairs Subcommittee on International Trade and Finance. Reform of the International Monetary Fund: Hearing before the Subcommittee on International Trade and Finance of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixth Congress, second session ... April 27, 2000. Washington: U.S. G.P.O., 2000.

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31

Office, General Accounting. Financial audit: American Battle Monuments Commission's financial statements for fiscal years 1998 and 1997. [Washington, D.C.] (P.O. Box 37050, Washington, D.C. 20013): The Office, 1999.

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32

How to build your financial advisory business and sell it at a profit: Creating, running, and cashing out of your practice. New York: McGraw-Hill, 2009.

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33

Nieboer, Jeroen, Paul Dolan, and Ivo Vlaev. Financial Advisory Services. Oxford University Press, 2017. http://dx.doi.org/10.1093/acprof:oso/9780190269999.003.0016.

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Evidence from the behavioral sciences, notably economics and psychology, has profoundly changed the way policymakers and practitioners present expert advice to consumers. This chapter examines the behavioral science evidence on financial advice and explores its implications for the financial advisory profession. It explains how consumers of retail financial advice respond to certain aspects of the advice in predictable ways, sometimes exhibiting behavioral biases or following certain conventions in their decision making. By recognizing and anticipating these responses, financial advisors can offer a more complete service, offering benefits beyond the strictly financial return. But the behavioral needs of consumers may also provide advisors with incentives that are not strictly aligned with their clients’ financial interests. Finally, the increasing role of technology will play an important role in shaping the financial advisory services of the future.
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34

Financial Issues Advisory Group Report. The Stationery Office Books (Agencies), 1999.

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35

Forum, Accounting Advisory, and European Commission, eds. Paper on the Accounting Advisory Forum. Luxembourg: Office for Official Publications of the European Communities, 1995.

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36

The Emyth Financial Advisor Why Most Financial Advisory Practices Dont Work And What To Do About It. Michael E. Gerber Companies, 2011.

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37

Farrell, John. Business Advisory Services: Delivering Financial & Business Consulting Capabilities. Kennedy Information, 2006.

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38

Library of Congress. Congressional Research Service, ed. Merger advisory fees: Structure and cost. [Washington, D.C.]: Congressional Research Service, Library of Congress, 1991.

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39

Islamic Wealth Management and Financial Advisory:: A Study Guide. Kuala Lumpur, Malaysia: Islamic Banking and Finance Institute Malaysia (IBFIM), 2014.

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40

Cummings, Benjamin F. Financial Planners and Advisors. Oxford University Press, 2017. http://dx.doi.org/10.1093/acprof:oso/9780190269999.003.0006.

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An increasing number of households use financial planners or advisors. This chapter provides insight into these professionals, their potential motivations, and their interactions with clients. The various regulatory regimes of financial planners and advisors are discussed, including the most common types: registered investment advisers, broker-dealers, and insurance firms. Agency costs associated with employing a financial planner are also discussed, with emphasis on potential conflicts of interest that arise from some compensation structures. Common areas of consumer confusion are highlighted. The chapter also discusses evidence on the use and value of financial advice. It concludes with some recommendations for consumers about selecting a financial planner or advisor.
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41

Tibergien, Mark C. The enduring advisory firm: How to serve your clients more effectively and operate more efficiently. 2017.

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42

Timothy, Spangler. 5 The Regulatory Duties Arising from the Provision of Investment Advisory and Management Services. Oxford University Press, 2018. http://dx.doi.org/10.1093/law/9780198807247.003.0005.

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This chapter examines the regulatory duties of investment managers arising from the provision of investment advisory and management services. Managers of private investment funds that are authorised or regulated as investment advisers or managers can owe regulatory duties arising under the Financial Services and Markets Act 2000 (FSMA) in the UK and the Investment Advisers Act of 1940 in the United States. The chapter begins with a discussion of the UK Financial Conduct Authority’s (FCA) regulation of the conduct of firms authorised under the FSMA, including collective investment schemes, public investment funds, and fiduciary duty in the financial services regulatory regime. It then considers the FCA’s regulatory response to private investment funds as well as the U.S. Securities and Exchange Commission’s compliance programme for investment advisers and managers primarily under the Advisers Act. It concludes with an analysis of financial services regulation of fiduciary duties.
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43

Ltd, ICON Group. MEDICAL ADVISORY SYSTEMS, INC.: International Competitive Benchmarks and Financial Gap Analysis (Financial Performance Series). 2nd ed. Icon Group International, Inc., 2000.

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44

Tibergien, Mark C., and Rebecca Pomering. Practice Made Perfect: Transforming a Financial Advisory Practice into a Business. Wiley & Sons, Incorporated, John, 2011.

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45

Tibergien, Mark C., and Rebecca Pomering. Practice Made Perfect: Transforming a Financial Advisory Practice into a Business. Wiley & Sons, Incorporated, John, 2011.

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46

Tibergien, Mark C., and Rebecca Pomering. Practice Made Perfect: Transforming a Financial Advisory Practice into a Business. Wiley & Sons, Incorporated, John, 2011.

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47

New York (State). Dept. of Economic Development., ed. New York's future in financial services: The final report of the Governor's Advisory Panel on Financial Services. [New York, N.Y: New York State Dept. of Economic Development, 1989.

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48

Lawrence, David L. Efficient Practice: Transform and Optimize Your Financial Advisory Practice for Greater Profits. Wiley & Sons, Incorporated, John, 2014.

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49

Lawrence, David L. Efficient Practice: Transform and Optimize Your Financial Advisory Practice for Greater Profits. Wiley & Sons, Incorporated, John, 2014.

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50

Newman, Abraham L., and Elliot Posner. International Financial Regulation. Oxford University Press, 2018. http://dx.doi.org/10.1093/oso/9780198818380.003.0003.

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Chapter 3 describes the international financial regulatory architecture, providing necessary background for the substantive studies that follow. It gives special attention to the architecture’s two defining aspects: the soft law character of the rules it produces and the fragmentation of rule-making by subsectors. A matrix of forums develops advisory prescriptions for specific financial policy areas. The chapter traces the architecture’s origins and evolution, including how policy-makers and standard-setting organizations dealt with the breakdown of traditional boundaries between markets and subsectors. It provides background on the book’s featured causal variable: international soft law. It also offers an original explanation for the architecture’s key features. The chapter highlights the prominent role of domestic institutional arrangements within the United States and other jurisdictions with important markets for the early development of soft law-creating organizations and establishes the role of contingency, sequence, and endogeneity (with reference to domestic institutions) in the architecture’s evolution.
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