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| US adviser oversight switch won't ease SEC burden Reuters By Suzanne Barlyn | June 7 (Reuters) - The US Securities and Exchange Commission expects state regulators to take over oversight this month for about 2400 investment advisers that are now its responsibility, but the change may not diminish the agency's ... See all stories on this topic » | ||
| Mutual fund churns can damage investments Pittsburgh Post Gazette "This is a situation that goes on in the investment business every day," said Ken Kaszak, author of "How the Investment Business Really Works" and a South Side-based financial adviser with Trustmont Group. "It's a quiet way investors lose value in ... See all stories on this topic » | ||
| The quick hit on what happened in Washington Wednesday regarding the ... RIABiz The House Financial Services Committee met for a congressional hearing on Wednesday to determine the merits of the Investment Adviser Oversight Act of 2012. The bill, proposed by House Financial Services Committee Chairman Spencer Bachus (R-Ala) and ... See all stories on this topic » | ||
| The SRO Debate: Looking Ahead Financial-Planning.com By Kenneth Corbin As the debate over regulatory reforms in the retail investment adviser sector has resurfaced on Capitol Hill, industry groups on both sides of the issue are making their case to lawmakers and staffers in the hopes of either advancing ... See all stories on this topic » | ||
| Finra as SRO regulator a 'foregone conclusion,' says industry watcher InvestmentNews By Andrew Osterland and Dan Jamieson Whatever the fate of the Bachus bill currently being considered by the House Financial Services Committee, the question of who should regulate investment advisers is all but settled, according to Brian Hamburger, ... See all stories on this topic » | ||
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| Japanese Insider Trading Reaches The US: CompliancEX News 6/8/12 ComplianceX US adviser oversight switch won't ease SEC burden [Reuters] The Securities and Exchange Commission expects state regulators to take over oversight this month for about 2400 investment advisers that are now its responsibility, but the change may not ... See all stories on this topic » | ||
| Tri-Continental Corporation Declares Second Quarter Distribution MarketWatch (press release) The Corporation's investment manager is Columbia Management Investment Advisers, LLC (formerly known as RiverSource Investments, LLC), a wholly owned subsidiary of Ameriprise Financial, Inc. Columbia Management Investment Distributors, Inc. (formerly ... See all stories on this topic » | ||
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| Dividend Stock Removed from Recommended List – 6/8 Dividend.com (blog) The author is not registered as an investment adviser. The author may or may not hold positions in the securities mentioned in this article or video. The author relies upon the "publisher's exclusion" from the definition of "investment adviser" as ... See all stories on this topic » | ||
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| SJP: Our model portfolio will not worry FSA FT Adviser Money Management is the professional's independent adviser, winning 50 awards over the years. It contains the renowned Money Management fund statistics, unique surveys and much, much more. Each of our publications publish numerous special reports ... See all stories on this topic » | ||
| Wilson HTM expands investment team Financial Standard By Linda Hausken | In Executive Appointments Wilson HTM Investment Group has added three new advisers to its Melbourne based investment team. David Permezel has been appointed as a senior institutional adviser. Prior to joining Wilson HTM, ... See all stories on this topic » | ||
| How Wells Fargo Could Have Been The Worldwide Leader In Money Management Seeking Alpha Legacy Norwest had its own family of mutual funds and Wells Fargo had Wells Fargo Nikko, a joint venture consisting of Wells Fargo Investment Advisers and Nikko Securities' US investment business. Wells Fargo Nikko was a pioneer in passive index ... See all stories on this topic » | ||
| The Standard Appoints Natalie Gentry as Relationship Manager for Northern ... MarketWatch (press release) Third party administrative services are provided by Standard Retirement Services, Inc. Investment advisory services are provided by StanCorp Investment Advisers, Inc., a registered investment advisor. The Standard is a leading provider of financial ... See all stories on this topic » | ||
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| Fear Of The Unknown: Why Advisers Aren't Recommending Investment Linked Annuities Insurance News Net (press release) Research carried out by retirement specialist LV reveals that over a quarter (26%) of advisers do not include investment linked annuities in their retirement planning discussions with clients. Of these advisers, a third (33%) cite their unfamiliarity ... See all stories on this topic » | ||
| Investment Trust Quirks and How To Manage Them Morningstar This month our topic is centred around some of the quirks of investment trusts and how to manage these. Advisers have traditionally been put off investment trusts by their perceived complexity. In reality, closed-ended funds are no more complex than ... See all stories on this topic » | ||
| Adviser wants Aviva to offer execution-only functionality Money Marketing An adviser has criticised Aviva for not having the full functionality to allow him to offer its protection products through his new execution-only proposition. HHPG Wealth Management will launch a direct-to-consumer offering across pension, investment, ... See all stories on this topic » | ||
| Hennessy Advisors to Almost Double in Size Patch.com Hennessy Advisors will become the investment manager of the FBR Funds. The assets related to the FBR Large Cap Fund, the FBR Small Cap Fund and the FBR Mid Cap Fund will merge into the Hennessy Cornerstone Large Growth Fund, the Hennessy Cornerstone ... See all stories on this topic » | ||
| New Jersey plans emerging markets, international small-cap RFPs Pensions & Investments By Robert Steyer | June 7, 2012 3:46 pm New Jersey Division of Investment, Trenton, which oversees investments of the state's $72.1 billion in pension assets, plans to issue an RFP for as many as 10 advisers for the pension fund's developing markets ... See all stories on this topic » | ||
| Aberdeen Asia-Pacific Income Fund, Inc. Announces Record Date And Payment Date ... Sacramento Bee There is no assurance that a fund will achieve its investment objective. Past performance does not guarantee future results. Aberdeen Asset Management Asia Limited and Aberdeen Asset Management Limited are registered investment advisers under the ... See all stories on this topic » | ||
| Aberdeen Chile Fund, Inc. Announces Record Date And Payment Date For Quarterly ... Sacramento Bee Please read the prospectus carefully before investing. Investing in funds involves risk, including possible loss of principal. Aberdeen Asset Managers Limited is a registered investment adviser under the Investment Advisers Act of 1940. See all stories on this topic » | ||
| Arch Cru campaign law firm advised ex-chairman FT Adviser A law firm recruiting advisers to challenge the FSA's Arch Cru redress consultation has insisted there is no conflict with work it has done for Jon Maguire, former chairman of the collapsed investment firm. By Marc Shoffman | Published Jun 07, ... See all stories on this topic » | ||
| Baigrie Davies co-founder backs new launch Serin Wealth Citywire.co.uk Serin Wealth will use a platform designed in-house and will offer a full range of financial advisory services, including bespoke structures. The firm has no minimum investment level and Rucker stressed his aim was to provide appropriate advice rather ... See all stories on this topic » | ||
| SEC settles enforcement proceeding against adviser over improper side-by-side ... Lexology (registration) The SEC settled public administrative and cease and desist proceedings based on its findings of violations of a number of the anti-fraud, reporting, affiliated transaction and compliance provisions of the Investment Advisers Act of 1940, ... See all stories on this topic » | ||
| Talk about money: Tips to avoid being swindled San Lorenzo Valley Press-Banner If he can't do it, he's not qualified to do his job, and you should look for another adviser. If an adviser is a con artist, he won't want you to understand how your money is invested. If an adviser is legitimate and ethical, he will want you to ... See all stories on this topic » | ||
| John Hancock Closed-End Funds Portfolio Information Now Available Sacramento Bee By John Hancock Advisers, LLC BOSTON, June 7, 2012 -- /PRNewswire/ -- John Hancock Advisers, LLC announced today that the top-ten holdings and sector and industry weightings, as well as the monthly performance information, as of May 31, 2012 for John ... See all stories on this topic » | ||
| Markets cash in on ETFs The Australian He noted that wealth advisers had been reluctant to promote products that don't pay commissions, "but that's all starting to change in Australia with FoFA" (the Future of Financial Advice legislation that will ban commissions inside superannuation). See all stories on this topic » |
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| House Hearings on Legislation Creating SRO for Investment Advisers By James Hamilton Noting that SEC-registered investment advisers are generally inspected once every decade, Chairman Bachus said that investor protection requires more timely oversight of investment advisers. He noted that HR 4624 closes a glaring ... Jim Hamilton's World of Securities... | ||
| The Good Leads - Financial Adviser - WSJ By Josh Brown Josh Brown is a contributor to the Financial Adviser blog. He is a vice president at Fusion Analytics, an investment advisory firm, and the author of the The Reformed Broker blog. His commentary here is for informational purposes and should ... Financial Adviser | ||
| THIS WEEK IN SECURITIES LITIGATION (Week ending June 8 ... By T. Gorman The Order alleges violations of Section 34(b) of the Investment Company Act of 1940, Sections 17(a)(2) and 17(a)(3) of the Securities Act and Section 206(4) of the Investment Advisers Act. Each Respondent consented to the entry of cease ... SEC ACTIONS |
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| SEC Should Regulate Investment Advisers - CFA Institute Blogs CFA Institute: SEC Should Regulate Investment Advisers ... been enduring for the last couple of years as it takes up the issue of investment adviser oversight. blogs.cfainstitute.org/.../cfa-institute-sec-should-regulate-invest... | ||
| POGO Opposes Self-Regulation of Investment Advisers POGO has joined others in raising serious concerns about the Financial Industry Regulatory Authority (FINRA), the largest self-regulatory organization (SRO) for ... www.pogo.org/.../fo-fra-20120529-finra-investment-advisers.... | ||
| Opposition to SRO for Investment Advisers Grows | Due Diligence The chorus of "boos" against Congressman Spencer Bachus' SRO bill is growing ahead of the hearing scheduled for Wednesday of this week: Today, Barbara ... wealthmanagement.com/.../opposition-sro-investment-advisers... | ||
| US proposal on investment adviser oversight slammed - Chicago ... Massachusetts official criticizes proposal onself-regulation * Massachusetts survey adds to heated debate on proposal * Hearing for federal adviser oversight bill ... articles.chicagotribune.com/.../sns-rt-adviser-oversightl1e8gvf... | ||
| SIFMA Supports Independent Regulatory Organization for Retail ... Retail Investment Advisers In Testimony before House Committee. Washington, DC, June 6, 2012—SIFMA Chair-Elect and CEO of the Global Private Client ... www.sifma.org/news/news.aspx?id=8589938960 | ||
| What SEC Registration Means for Hedge Fund Advisers ... As noted in a previous post, the Deputy Director of the SEC's Office of Compliance Inspections and Examinations (OCIE) recently gave a speech that quantified ... investmentadviserlawblog.com/.../what-sec-registration-means-... | ||
| Securities Technology Monitor: Investment Advisers Need Self ... On June 5, 2012, Richard Ketchum, chairman and chief executive of the Financial Industry Regulatory Authority, or FINRA, spoke in favor of a proposal to allow ... www.securitiestechnologymonitor.com/.../FINRA-SEC-Congre... | ||
| House Financial Services Chair Introduces Investment Advisor SRO ... Y.) introduced a bill to bring investment advisers (IA) for the first time under the oversight of a self-regulatory organization (SRO). The bill would amend the 1940 ... www.icemiller.com/publication_detail/id/1858/index.aspx | ||
| Navigating the Regulatory Maze for Investment Advisors - Self ... The battle to add a Self-Regulatory Organization (SRO) for investment advisers is getting help from an unlikely source: the University of Mississippi Business ... www.ria-compliance-consultants.com/.../self-regulatory-organi... | ||
| SEC Charges Two Investment Advisers with Fraud - Citybizlist South ... The Securities and Exchange Commission charged Jorge Gomez, an investment adviser formerly located in Dallas, Texas and Mexico, with perpetrating a ... southflorida.citybizlist.com/.../SEC-Charges-Two-Investment-... | ||
| What Is a Registered Investment Adviser? - Budgeting Money Your financial future is important to you, so you want to make sure that the person handling your finances is competent and trustworthy. Using a registered ... budgeting.thenest.com/registered-investment-adviser-22657.ht... | ||
| Chairman Bachus: Bipartisan Bill Closes Oversight Gap That Puts ... Financial Services Committee Chairman Spencer Bachus on Wednesday delivered the following statement at a hearing on the "Investment Adviser Oversight ... financialservices.house.gov/News/DocumentSingle.aspx?... | ||
| SCOTT REED: Investment advisers should keep you ... - djournal.com SCOTT REED: Investment advisers should keep you from hurting yourself - There is an old saying that the only two things in life that are sure are death and ... nems360.com/bookmark/18843111 |
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