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| New Approach to Portfolio Construction Required, say UK Financial Advisers ... Business Wire (press release) "Advisers in return are looking at broader portfolio options such as alternative investment strategies to meet more complex needs." Against the backdrop of volatile markets, seven in ten advisers (71%) say the majority of their clients are conflicted ... See all stories on this topic » | ||
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| S&P Capital IQ looks to build its advisory business InvestmentNews Inc., has launched an investment advisory business offering equity and fixed-income portfolios under the name of Global Markets Intelligence. The new group is a combination of two business units that formerly "flew under the radar," said Michael ... See all stories on this topic » | ||
| Meteor Hires David Stuff for Listed Structured Product Business Bloomberg Stuff will expand Meteor's sales of structured securities traded on the London Stock Exchange to clients including investment advisers, wealth managers and private banks, Kriss Mulcahy, a product development executive at Meteor in London, ... See all stories on this topic » | ||
| SEC Charges Benjamin Daniel DeHaan and Lighthouse Financial Partners for ... Citybizlist (press release) Lighthouse, an investment advisor located in Atlanta and registered with the State of Georgia, has been owned and operated by DeHaan since 2007. The Commission's complaint alleges that from approximately January 2011 through early May 2012, ... See all stories on this topic » | ||
| 401k Fee Disclosure: 'Aha' Moment Will Come In November Huffington Post By Jessica Toonkel NEW YORK, June 11 (Reuters) - Employers, advisers and fund companies are bracing themselves for a flood of calls this fall when participants in 401(k) plans learn for the first time just how much they paid in fees the previous ... See all stories on this topic » | ||
| MPs told workers should be on pay boards FT Adviser Advisers must do the same before the fury hits them as...Read more Financial Adviser is the premier weekly financial services newspaper for the UK's IFA community. An insightful weekly newspaper for investment professionals, delivering the highest ... See all stories on this topic » | ||
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| Schiff Hardin LLP Establishes Schiff Hardin Strategic Advisers, LLC, with ... MarketWatch (press release) Prior to joining Strategic Advisers, Piontek served in executive finance, leadership and strategic roles with the Bank of America (formerly NCNB), Wachovia Corporation (formerly First Union Corporation) as Treasurer of its Investment Bank, ... See all stories on this topic » | ||
| Wirehouse pay approaches parity with indies', study says InvestmentNews The pay comes from a variety of sources, including commissions tied to stock and bond recommendations, as well as the sale of structured products and other investments. Meanwhile, financial advisers at independent firms or independent broker-dealers ... See all stories on this topic » | ||
| House of Dimon Marred by CEO Complacency Over CIO Trading Risk San Francisco Chronicle When some of his most senior advisers, including the heads of the investment bank, raised concerns about the lack of transparency and quality of internal controls in the CIO, Dimon brushed them off, said one of the people, who asked not to be ... See all stories on this topic » | ||
| Buying stock bargains when the market turns south Reuters According to new research from Robert Arnott, chairman of Research Affiliates LLC, an investment management firm, and manager of the PIMCO All Asset Fund (PASAX), the payoff for being patient is tangible. With the continuing turmoil in Europe and slack ... See all stories on this topic » | ||
| Neuberger Rolls Out Multi-Manager Alt Fund Financial-Planning.com The fund's sub-advisers include: The Boston Company for long/short and mid-cap equities; Cramer Rosenthal McGlynn for global long/short equities; GAMCO Asset Management for merger arbitrage; Levin Capital Strategies for event driven investments; ... See all stories on this topic » | ||
| 401(k) fees: Soon, people will see what they pay in previous quarter Economic Times NEW YORK: Employers, advisers and fund companies are bracing themselves for a flood of calls this fall when participants in 401(k) plans learn for the first time just how much they paid in fees the previous quarter. Under Department of Labor ... See all stories on this topic » | ||
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| Make money and feel good.. IFA Magazine You only have to look at how many people buy organic food and refuse to invest in tobacco companies to see that people really do want to put their money to positive, rather than negative, use. "But many financial advisers think that ethical investment ... See all stories on this topic » | ||
| Untangling Bear Stearns' $275M Investor Settlement Forbes Many taxpayers recover amounts related to investments from companies, banks, brokerage firms, and investment advisers. The tax issues for the recovering plaintiffs often revolve around ordinary income versus capital gain and gain versus basis recovery. See all stories on this topic » | ||
| SEC extends compliance date for ban on third party solicitations by investment ... Lexology (registration) The SEC has extended the date by which advisers must comply with the ban on third-party solicitation in rule 206(4)-5 under the Investment Advisers Act of 1940, which is known as the "pay to play" rule. The SEC extended the compliance date in order to ... See all stories on this topic » | ||
| Neuberger Berman presents absolute return multi-manager fund Banking Business Review ... its assets to multiple hedge fund advisers. According to the firm, the fund, which uses distinct alternative investment strategies, is the first such fund from an asset manager with the size and operational infrastructure of Neuberger Berman. See all stories on this topic » | ||
| Administration Releases Report on America's Ag Economy Wisconsin Ag Connection President Obama will announce investments to help rural small businesses expand and hire. Home to some of the most diligent and self-reliant Americans, the White House says rural communities and the nation's agriculture industry are vital contributors ... See all stories on this topic » | ||
| Neuberger joins crowded — and pricey — multialternatives universe InvestmentNews Additionally, 65% of the advisers surveyed said alternatives are more important or as important as traditional investments, down slightly from 2010. The biggest hurdle advisers see to using alternatives, according to the survey, is the high fees. See all stories on this topic » | ||
| Jeffco indictments allege illegal activities CBS42 The ASC cautions potential investors to thoroughly scrutinize and research any investment opportunity or offer. Contact the ASC with inquiries concerning securities broker-dealers, agents, investment advisers, investment adviser representatives, ... See all stories on this topic » | ||
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| HSBC Launches Chinese Renminbi Fixed Income Fund in the US MarketWatch (press release) For more information, see www.emfunds.us.hsbc.com . HSBC Global Asset Management (USA) Inc. serves as investment adviser to the HSBC Funds and receives fees for such services. All sub-advisers receive fees for their services. See all stories on this topic » | ||
| Sidley welcomes top funds partner in New York Who's Who Legal Leading funds lawyer Timothy Clark has joined the New York office of Sidley Austin LLP in its investment funds, advisers and derivatives practice. He joins from Covington & Burling LLP in New York. Clark is internationally known for representing ... See all stories on this topic » | ||
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| KPMG's UK boss to chair new watchdog Financial Times Under the financial services reform bill now moving through parliament, the FCA will be in charge of protecting investors, regulating markets and supervising more than 25000 brokers, investment managers and independent financial advisers. See all stories on this topic » | ||
| A Sloppy May Gives Way to June Investorplace.com Ford Draper at Kalmar Investment Advisers (Morgan Growth and Explorer) says he is optimistic about 2012, and that with good growth stocks no longer cheap, he favors high-quality businesses. Yet, Marathon Asset Management's team (Global Equity) warns, ... See all stories on this topic » | ||
| Axa cuts 70 Yorkshire and Clydesdale adviser roles Money Marketing Clydesdale and Yorkshire entered into a strategic partnership with Axa in November 2008 which saw Axa handle investment and protection advice. Clydesdale and Yorkshire announced in April that 1400 roles were to be cut by September 2015. See all stories on this topic » | ||
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| Schiff Hardin opens advisory firm, law office in Charlotte Bizjournals.com Before joining Strategic Advisers, Piontek served in executive finance, leadership and strategic roles with Bank of America Corp. predecessor NCNB, Wachovia Corp. predecessor First Union Corp. and KPMG Capital Markets and Investment Banking Consulting. See all stories on this topic » | ||
| Equity Research on Most Popular Searches: Bank of America, Arena ... MarketWatch (press release) FDA advisers voted to support the benefit of Arena's pill, lorcaserin, which come before the risks. They will make a decision on lorcaserin by June 27. Academic studies have shown that insiders traditionally make higher investment returns than ordinary ... See all stories on this topic » | ||
| Seward & Kissel LLP | Memorandum: SEC Staff Responses to Questions About Form PF Linex Legal (press release) (registration) The Firm is particularly well known for its representation of major commercial banks, investment banking firms, investment advisers and related investment funds (including mutual funds and hedge funds), master servicers, servicers, investors, ... See all stories on this topic » | ||
| Pension Calculator Website Change-Pension.co.uk Now Offering Free Consultations SBWire (press release) Change-pension.co.uk is reputed to be a site that is for people that are looking for investment opportunities, and aims to put these visitors in contact with 3rd party pension advisers that can help them get more value from their pension plan, ... See all stories on this topic » | ||
| Provincialism in the diaspora and Ukraine Kyiv Post Meanwhile, the Party of Regions has a better record of listening to Western political consultants and elections advisers. The Ukrainian diaspora has provided very small volumes of investment into Ukrainian-language publications in Ukraine and no ... See all stories on this topic » | ||
| Mandates of the Week: State Street, B&CE, Russell, Citigroup Financial News (subscription) Family Investments, a UK-based mutual insurer with £3bn under management, has recruited asset manager State Street Global Advisors to run about half of its funds. State Street will be handling index-tracking mandates in equity and fixed-income, ... See all stories on this topic » |
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| Foley & Lardner with May's Investment Management Update By Kara OBrien New SEC Investment Adviser Registrants to Experience First SEC Exam by End of Year According to an SEC spokesperson, ... Reportedly, the SEC examined only eight percent of registered investment advisers in 2011. In a recent speech, ... Securities Law Practice Center |
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| Investment Advisers Are Encouraged to Review Their Websites for Investment adviser marketing materials and advertisements are regulated by Rule 206(4)-1 of the Investment Advisers Act of 1940 ("Investment Advisers Act") ... www.ria-compliance-consultants.com/.../investment-advisers-a... | ||
| NASAA Attacks House Financial Services Proposal for Investment ... "Crucially, however, no similar gap exists with respect to investment adviser ... Currently, state securities regulators oversee investment advisers with assets ... www.brokeandbroker.com/.../nasaa-sro-house-financial-servic... | ||
| Phoenix Investment Adviser Charged for Investment Fraud SEC charges investment adviser Walter Clark, Phoenix, AZ, with fraud for undisclosed conflicts of interest via bad investments in HotStix & Cornerstone Funding. www.investorclaims.com/.../phoenix-investment-adviser-charg... | ||
| June | 2012 | Investing Advisers | Page 3 FT: Clearing way as bourse merger era ends. Regulatory disapproval in Europe ended the proposed nuptials of NYSE Euronext and Deutsche Börse. Several ... www.investingadvisers.com/2012/06/page/3/ |
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