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| COMPLY-Adviser oversight bill may curb states' rights Reuters A US bill, if approved, could force them to answer to a private regulator that would have authority over thousands of investment advisers now overseen by states. T h at, say state regulators, would curb the independence and flexibility they need to do ... See all stories on this topic » | ||
| Financial adviser oversight in spotlight Staunton News Leader NEW YORK — Investment advisers are at a crossroads. And the direction that the industry takes will have an impact on the growing number of Americans in need of financial advice. The shift from secure pension plans to 401(k) retirement plans has caused ... See all stories on this topic » | ||
| Who's keeping investment advisor honest KMAland (Undated) -- A US House committee has taken up a bill that would allow investment advisers to police themselves, through what's called a self-regulatory organization. Critics of the idea say that's like putting a fox in charge of the henhouse - and ... See all stories on this topic » | ||
| SEC Makes Technical Amendment to Definition of "Covered Associates" Under "Pay ... JD Supra (press release) ... or the "pay-to-play" rules of the Investment Advisers Act of 1940 (Advisers Act) in response to changes made by the Dodd-Frank Act. The purpose of the rule is to prevent investment advisers from seeking to influence government officials' awards of ... See all stories on this topic » | ||
| TEXT-Fitch affirms 2 Invesco gov't money market funds at 'AAAmmf' Reuters June 8 - Fitch Ratings has affirmed its 'AAAmmf' ratings on the following two money market funds (MMFs) managed by the Invesco Advisers, Inc. (Invesco): --Short-term Investments Trust Treasury Portfolio at 'AAAmmf'; --Short-term Investments Trust ... See all stories on this topic » | ||
| Advisers keen to offer clients socially responsible investments: Survey InvestmentNews By Liz Skinner Most financial advisers believe they could build their businesses with investment products that marry financial return with social and environmental impact, according to a Calvert Foundation survey of 1065 advisers released yesterday. See all stories on this topic » | ||
| Bear fever is breaking MarketWatch From 2004 to 2008, Gayed was a strategist at AmeriCap Advisers LLC, a registered investment advisory firm that managed equity portfolios for large institutional clients. In 2007, he launched his own long/short hedge fund, using various trading ... See all stories on this topic » | ||
| Grace Financial Drops Petition Against Penson Worldwide Unit Bloomberg Grace Financial Group LLC, a Long Island, New York-based broker-dealer serving hedge funds and investment advisers, dropped a request for an injunction against a unit of Penson Worldwide Inc. (PNSN) Grace Financial, based in Southampton, ... See all stories on this topic » | ||
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| Fitch Affirms 2 Invesco Government Money Market Funds at 'AAAmmf' Business Wire (press release) NEW YORK--(BUSINESS WIRE)--Fitch Ratings has affirmed its 'AAAmmf' ratings on the following two money market funds (MMFs) managed by the Invesco Advisers, Inc. (Invesco): --Short-term Investments Trust Government & Agency Portfolio at 'AAAmmf'. See all stories on this topic » | ||
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| Is size the only criterion for reliability? Business Line It's not easy to manage a huge corpus and the manager may run out of investment avenues. With hundreds of mutual fund schemes to choose from, how do you select the right one for you? For years, financial advisers have debated the pros and cons of ... See all stories on this topic » | ||
| Co-Chief of SEC Asset Management Unit Joins Debevoise & Plimpton Compliance Week In his new role, Kaplan will oversee securities-related enforcement and compliance issues, especially cases that involve requirements affecting SEC-registered investment advisers affiliated with hedge funds, private equity funds, investment companies, ... See all stories on this topic » | ||
| Stocks have fans on Wall St despite Europe's woes Reuters Some advisory firms, though, say investors should avoid Europe until its financial situation improves. The chief investment officer for City National Asset Management, Bruce Simon, has told the wealth manager's clients the bank eliminated nearly all of ... See all stories on this topic » | ||
| Why Mutual Fund Guardians Are Failing Smartmoney.com Created by the Investment Company Act of 1940, the boards have a clear mandate to monitor potential conflicts of interest, review and approve key fund documents such as prospectuses, and ensure that advisers provide satisfactory investment returns with ... See all stories on this topic » | ||
| Health care space has horse in race with possible Obamacare repeal InvestmentNews ... according to Jacob Gottlieb, founder and chief investment officer of the hedge fund firm Visium Asset Management LP. Speaking Thursday in Raleigh, NC, at a private gathering of advisers hosted by Hatteras Funds, Mr. Gottlieb said that if the law is ... See all stories on this topic » | ||
| FBAR Filing Deadline Is Fast Approaching JD Supra (press release) As discussed in a prior Alert, in June 2011 the Financial Crimes Enforcement Network ("FinCEN") extended the FBAR filing deadline for 2010 and earlier calendar years to June 30, 2012, for certain employees or officers of investment advisers registered ... See all stories on this topic » | ||
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| Ignore emerging-markets debt at your own risk InvestmentNews ... investment officer SW Asset Management. "We think the emerging-markets-debt space is very inefficient, and by no means small," Mr. Hinman said Thursday in Raleigh, NC, where he spoke to advisers at a private conference hosted by Hatteras Funds. See all stories on this topic » | ||
| THE opportunity every Network IFA should consider FT Adviser This company is an IFA business that has consistently won prestigious industry awards, prides itself on supporting its advisers with provable lead generation that REALLY works whilst letting them work in a grown up environment, with first class ... See all stories on this topic » | ||
| Rate Cuts Pushed Due To Steepest Global Slide Since Recession Galaxy Stocks Disclaimer: Never invest in any stock featured on our site or emails unless you can afford to lose your entire investment. galaxystocks.com publisher and its affiliates and contractors are not registered investment advisers or broker/dealers. See all stories on this topic » | ||
| What you're saying about the impact of RDR on IFAs FE Trustnet An article raising questions about the future of the advisory industry has sparked much debate among FE Trustnet's readers. By Mark Smith, Senior Reporter In a recent FE Trustnet article, Rathbones' chief investment officer Julian Chillingworth ... See all stories on this topic » | ||
| Key AALU Committee Chair Warns of Threats to Life Industry Before MDRT Meeting LifeHealthPro Hersch: Might a harmonized fiduciary standard for registered investment advisors and broker-dealers also be bad for the industry? Rybka: We at ValMark run both an RIA and a BD. On the RIA side, we manage $2.5 billion of assets, for which investors a ... See all stories on this topic » | ||
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| Financial Analyst FINS We are seeking two Financial Analysts in the US Securities and Exchange Commission, Division of Investment Management, Office of Financial Analysis to be located in Washington, DC. The mission of the SEC is to protect investors, maintain fair, orderly, ... See all stories on this topic » | ||
| Life Policies: The Whole Truth Wall Street Journal Early dropouts would have been much better off in cheaper term-life insurance, advisers say. "One needs to keep a cash-value policy at least 20 years to amortize the acquisition costs and produce a decent investment," says James Hunt, an actuary at the ... See all stories on this topic » | ||
| Weekend Reading Institutional Investor (subscription) (blog) NJ Division of Investment is looking for 10 new EM investment "advisers" to help the fund make investments in the region. (Note: rules prevent the fund from giving mandates to external managers, which requires these sorts of 'advisor' workarounds.) ... See all stories on this topic » | ||
| Beneficiary plays key role in Roth IRA process Stamford Advocate Julie Jason, JD, LLM, award-winning author of "The AARP Retirement Survival Guide: How to Make Smart Financial Decisions in Good Times and Bad," is principal of Jackson, Grant Investment Advisers, Inc. of Stamford. Please e-mail her with questions at ... See all stories on this topic » |
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| Proposed change in investment adviser oversight under fire – USA ... USA TODAYProposed change in investment adviser oversight under fireUSA TODAYBy Christine Dugas, USA TODAY NEW YORK – Investment advisers are at ... wallstreetexaminer.com/.../proposed-change-in-investment-ad... | ||
| Critics, backers of bill for investment advisers' SRO disagree on cost ... Concern about the high cost that could hit investment advisers was central in a hearing by the House Financial Services Committee about a bill to move adviser ... www.smartbrief.com/servlet/rdrc?u...B742...i... | ||
| Video: Investment Advisers on Facebook Shares - NASDAQ.com Investment Advisers on Facebook Shares. Facebook attracted the attention of many investors at first, but what do they think about the stock now? Also a look at ... www.nasdaq.com/video/video.aspx?vid=Investment...on... | ||
| June 6, 2012 Via Electronic Mail The Honorable Spencer Bachus ... its related rules should continue to govern investment advisers and further, that ... enhanced examination and enforcement resources of investment advisers. www.aicpa.org/.../pfp%20investment%20advisers%20letter.pd... | ||
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