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| Making the World Safer for the Next Bernie Madoff City Watch Bachus and McCarthy say their Investment Adviser Oversight Act of 2012 tightens up ... It's true that the federal oversight of investment advisers is sorely lacking. See all stories on this topic » | ||
| 4 arrested in AIJ missing pension scandal Asahi Shimbun The suspects are Kazuhiko Asakawa, 60, president of AIJ Investment Advisors Co., Shigeko Takahashi, 53, an AIJ director, Hideaki Nishimura, 56, president of ... See all stories on this topic » | ||
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| SEC Releases FAQ for new Form PF Requirements Compliance Week The SEC has issued a collection of frequently asked questions regarding the new Form PF required of registered investment advisers that manage $150 million ... See all stories on this topic » | ||
| Pay-to-Play: SEC Extends Compliance Deadline for Provisions of ... JD Supra (press release) ... deadline for portions of rule 206(4)-5 (Rule) under the Investment Advisers Act of1940 (Advisers Act) that would limit an adviser's ability to pay compensation, ... See all stories on this topic » | ||
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| Pyxis Capital Names Financial Services Veteran J. Bradley Ross As ... MarketWatch (press release) DALLAS, June 19, 2012 /PRNewswire via COMTEX/ -- Pyxis Capital, a registered investment adviser serving financial advisers, institutions, and individual ... See all stories on this topic » | ||
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| Adviser use by SMSF investors declining: report InvestorDaily Self-managed superannuation fund (SMSF) investors prefer to make decisions independently, resulting in a decrease in the use of financial advisers in the ... See all stories on this topic » | ||
| Global Funds Gain After AIJ Rattles Japan's Pensions Bloomberg Global hedge funds are adding Japanese assets after local manager AIJ Investment Advisors Co. unnerved the retirement market by seeking to hide $1 billion in ... See all stories on this topic » | ||
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| Analysis: Investors cling to cash to guard against euro fallout Chicago Tribune David Kotok, chief investment officer of Cumberland Advisors in Sarasota, Florida, said his firm has a "temporary" cash position. Kotok said the range of cash ... See all stories on this topic » | ||
| SMSFs leaving financial advisers in the cold Money Management Investment Trends has conducted its SMSF Report for eight consecutive years, with the number of SMSF trustees using a RG146-compliant adviser falling from a ... See all stories on this topic » | ||
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| BROADSTONE Goes Live With SEI Global Wealth Services MarketWatch (press release) BROADSTONE, formerly known as BDO Investment Management, offers pension ... and advisory solutions through one common technology and investment ... See all stories on this topic » | ||
| Russell launches mini iQ platform Financial Standard Russell Investments has launched a new online investment account, providing advisers and SMSFs cost-effective access to a range of actively managed, ... See all stories on this topic » | ||
| Are You a Wealth Manager or an Investment Facilitator? Financial-Planning.com (blog) Steve Atkinson, The Advisors Coach, says now is the right time to ask ... client experiences that make you a either a wealth manager or an investment facilitator. See all stories on this topic » | ||
| More SMSF trustees go it alone Financial Standard Of those trustees in the survey group who currently do use an RG146 compliant adviser, only 25% say they make investment decisions with their financial ... See all stories on this topic » | ||
| Broadstone Pensions & Investments live with SEI wealth ... Finextra SEI announced today that Broadstone Pensions & Investments Ltd has gone live ... and companies through highly-qualified advisers in offices across the UK. See all stories on this topic » | ||
| Merk Expands Talent Pool to Cover Wire-Houses PR Web (press release) Merk Investments LLC, manager of Merk Funds℠ announced today the ... At Merk, Mr. Machuga will be partnering with wire-house advisers across the United ... See all stories on this topic » | ||
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| Big Banks Target Wealthiest Customers Smartmoney.com ... which develops investment-management portfolios for wealth-management ... banks are offering incentives to meet with their wealth-management advisers. See all stories on this topic » | ||
| UK advisers should shift to planning Financial Standard He said, "advisers should be encouraged to think about 'personal financial ... discusses current market conditions and the investment strategy used by the fund . See all stories on this topic » | ||
| KKR buys hedge fund provider Prisma Capital Reuters Healey and Davies will become senior advisers to KKR. ... even though investments in the hedge fund industry as a whole continue to grow past the $2 trillion ... See all stories on this topic » | ||
| KKR buys hedge fund provider Prisma Capital Reuters Healey and Davies will become senior advisers to KKR. ... Assets invested with funds-of-funds managers have fallen in the few last years, even though ... See all stories on this topic » | ||
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| SEC Gives Registered Investment Advisers More Time to Bring ... By Benjamin P. Keane For more than two years, this blog has been covering the Securities and Exchange Commission's foray into the world of pay-to-play regulation and the C. Pay to Play Law Blog |
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| JUNE 6 HEARING ON INVESTMENT ADVISER SRO Investment Adviser Oversight Act of 2012 (H.R. 4624), or more commonly ... The bill proposes adding regulatory oversight of investment advisers by a self- ... www.fairviewinvest.com/.../6-7-2012%20Hearing%20Update... | ||
| KPMG and AxiomSL Form Alliance to Assist Investment Advisers ... FOX Carolina 21KPMG and AxiomSL Form Alliance to Assist Investment Advisers Faced With New Regulatory Requirements Including Form PF. Member Center ... www.foxcarolina.com/.../kpmg-and-axiomsl-form-alliance-to-... | ||
| Stan Corp Investment Advisers Albuquerque, NM, 87110 - YP.com Get directions, reviews, payment information on Stan Corp Investment Advisers located at Albuquerque, NM. Search for other Investments in Albuquerque. www.yellowpages.com/.../stan-corp-investment-advisers-4524... | ||
| SEC Announces Examination Strategy for Newly-Registered ... Generally, the SEC will conduct examinations with a view to the applicable provisions of the Investment Advisers Act of 1940 and related rules adopted by the ... www.worldservicesgroup.com/publications.asp?action... | ||
| Capital Markets Consortium - Investment Advisers In the wake of Dodd-Frank Act and the 2011 SEC study of investment adviser examinations, there have emerged a number of legislative and regulatory ... www.cmconsortium.com/investment-advisers | ||
| House Democrats Pan Proposal for Policing Investment Advisers WASHINGTON — House Democrats on Wednesday took aim at a controversial bill that would establish a self-regulatory organization to oversee retail ... legalnews.findlaw.com/article/0b1SdbK3oV9Wt?q=U.S... |
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