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| As Form PF Filing Deadline Looms for Large Liquidity and Hedge ... MarketWatch (press release) All Registered Investment Advisors with $150 million or more under management must file Form PF on an annual basis commencing December 31st, 2012. See all stories on this topic » | ||
| Foxby Corp. Announces Approval of Interim Investment ... MarketWatch (press release) It is currently anticipated that the proposed New Agreement will contain certain changes, including an increase of the investment advisory fee, which will be ... See all stories on this topic » | ||
| Business Compliance Partners Provides an Update on the SRO Bill Virtual-Strategy Magazine Chairman Bachus believes a self-regulatory organization for investment advisers is necessary because the federal government has not provided proper ... See all stories on this topic » | ||
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| Pay to Play Provisions Compliance Date Extended JD Supra (press release) The SEC has extended the compliance date of the "Pay to Play" third-party solicitor provisions of the Investment Advisers Act from June 13, 2012, until nine ... See all stories on this topic » | ||
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| Comment: Siddhya Mukerjee and Michael Schmieder HFMWeek (blog) With the passage of the Dodd-Frank Act, many hedge fund managers who were previously exempt from registration under the Investment Advisers Act had to ... See all stories on this topic » | ||
| Falcone's Harbinger Capital Turns to Dell's MSD for Loan Bloomberg MSDC Management is an investment adviser backed by MSD Capital LP, the private investment firm for Dell and his family. Under the financing agreement, the ... See all stories on this topic » | ||
| AIJ chief held in pension scandal Taipei Times Tokyo Metropolitan Police said it held AIJ Investment Advisers president Kazuhiko Asakawa, 60, and three of his associates on suspicion of swindling ￥7 billion ... See all stories on this topic » | ||
| Stradley Ronon Partner Speaks at National Regulatory Services ... Citybizlist (press release) WASHINGTON - Stradley Ronon partner Lawrence Stadulis spoke at the National Regulatory Services' 27th Annual Spring Investment Adviser and ... See all stories on this topic » | ||
| IFAs 'turn down' ethical investments FT Adviser Too many IFAs reject ethical funds as they do not believe they are viable investments, an adviser has claimed. See all stories on this topic » | ||
| Whitebox Advisors Awards $25k Prize for Best Financial Research ... DigitalJournal.com (press release) MINNEAPOLIS, June 19, 2012 /PRNewswire/ -- At a New York City luncheon earlier today, Whitebox Advisors, the $2.3 billion investment advisory based in ... See all stories on this topic » | ||
| Advisers Are All Ears In Chicago Investor's Business Daily At the Morningstar conference in Chicago, advisers get investment ideas from top mutual fund managers. Topics include tech stocks, bonds and emerging ... See all stories on this topic » | ||
| BlackRock Investments Canada Inc. Announces June Distributions ... DigitalJournal.com (press release) BlackRock is a leader in investment management, risk management and advisory services for institutional and retail clients worldwide. At March 31, 2012, ... See all stories on this topic » | ||
| Japanese hedge fund industry is becoming Japanese-speaking ... Opalesque Hedge Fund News, Alternative Investment News ... Rogers, head of research and investment firms Rogers Investment Advisors, Wolver Hill Asset Management, ... See all stories on this topic » | ||
| RBS to cut more than 600 jobs Financial Times HSBC said in April that it was cutting 2000 jobs in the UK, partly as a result of scaling back its investment advisory arm. Barclays stopped offering financial advice ... See all stories on this topic » | ||
| Dividend and Income Fund Announces Approval of Interim ... MarketWatch (press release) Bexil Advisers LLC, the Trust's investment manager, is a wholly owned subsidiary of Bexil Corporation (BXLC), a holding company. To learn more about Bexil ... See all stories on this topic » | ||
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| Financial advisers show 'maturity' in portfolio management Money Management Based on a survey of 30 of its member advisers, superannuation and investment platform providers, Wealthtrac found that almost 85 per cent had made changes ... See all stories on this topic » | ||
| Blue Ribbon Income Fund Declares Distribution DigitalJournal.com (press release) For further information, please contact your investment advisor, call Brompton's investor relations line at 416-642-9051 (toll-free at 1-866-642-6001), email ... See all stories on this topic » | ||
| Inaugural Meeting of the International Advisory Board of the Russian ... DigitalJournal.com (press release) The first meeting of the International Advisory Board of the Russian Direct Investment Fund (RDIF) took place today and was attended by the heads of some of ... See all stories on this topic » | ||
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| Mixed Investment sector tops FundsNetwork sales in May Fundweb The Mixed Investment 20-60% Shares sector was the biggest selling sector for independent financial advisers during May on Fidelity FundsNetwork. See all stories on this topic » | ||
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| Consumers should steer clear of IFAs: ex-banker FT Adviser "Well-educated people have no idea about the stock market or investing so when they have surplus capital to invest, they speak to a financial adviser and, ... See all stories on this topic » | ||
| Hicks, Accused Of Fraud, Barred FINalternatives Hicks, who is awaiting trial on criminal fraud charges, was forbidden by the Securities and Exchange Commission from associating with investment advisers, ... See all stories on this topic » | ||
| Equities Cheap Only 10% of the Time Morningstar For investment advisers, Grantham says, a willingness to look elsewhere for returns rather than scouring for value in the increasingly desolate US ... See all stories on this topic » | ||
| Vittorio Violo Appointed as a Director of the Company DigitalJournal.com (press release) Mr. Violo worked for eight years in Canadian capital markets as an investment advisor, where he developed expertise in mergers and acquisitions and corporate ... See all stories on this topic » | ||
| Finding your way around FT Adviser Depending on whom you ask, multi-manager funds are either expensive and inconsistent. See all stories on this topic » | ||
| BofA Said to Dismiss Executives in Wealth-Management Unit San Francisco Chronicle Updates with investment banking job cuts, talks to sell unit to Julius Baer Group in ... Executives who oversaw trust officers and private-client advisers at the firm's ... See all stories on this topic » | ||
| Top Advisors at Loring Ward Conference Get Unvarnished ... DigitalJournal.com (press release) Advisors learned that sometimes the words they think best describe what they do (e.g., "create an investment policy statement," "mitigate market volatility") can ... See all stories on this topic » | ||
| Pros & Cons FT Adviser Advisers need to weigh up the pros of multi-manager funds against the cons. See all stories on this topic » | ||
| Future Capital Partners strengthens business development team HedgeWeek Rogers will be responsible for raising awareness of and presenting FCP's range of innovative investment products to financial advisers, accountants and tax ... See all stories on this topic » |
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| California Redefines "Private Fund" – Compliance Building By Doug Cornelius I've spent a great deal of brain power on the definition of "private fund" under the Investment Advisers Act. California has added its own twist on the definition. It's a twist that is very important to real estate fund managers. Working through the ... Compliance Building | ||
| Japan Asset Firm Chief Held in Pension Scandal | The Jakarta Globe Tokyo Metropolitan Police said it held Kazuhiko Asakawa, 60, president of AIJ Investment Advisers, and three of his associates on suspicion of swindling 7.0 billion yen from two retirement funds. But the firm's total losses are said to top 109.0 ... Jakarta Globe RSS: Business |
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| Congress, lobbyists fight over investment adviser regulation - ABC ... 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 ... abcnews.go.com/Business/congress-lobbyists-fight.../story?... | ||
| Dedicated Investment Advisers | Sovereign Financial Services Dedicated Investment Advisers. Posted in by Shawn Miller Comments are off. Dedicated Investment Advisers. Related Posts. Fear and Loathing on Wall Street ... sfsadvisers.com/home-2/attachment/car_4/ | ||
| KPMG and AxiomSL Form Alliance to Assist Investment Advisers ... KTUL-TV is the ABC affiliate in Tulsa, Oklahoma. We provide the best coverage of breaking news, severe weather and sports in northeastern Oklahoma. www.ktul.com/.../kpmg-and-axiomsl-form-alliance-to-assist-in... | ||
| Greek Election Preview for Investors | Investing Advisers Whenever there is a big "binary" event, preparation is vital. This happens in two different ways: Advance positioning. These are specific trades to be done before ... www.investingadvisers.com/greek-election-preview-for-invest... | ||
| Foley Hoag LLP - SEC Extends Compliance Date on Pay to Play ... "Regulated persons" include: (i) SEC registered investments advisers, (ii) SEC registered broker-dealers that are members of FINRA, and (iii) "municipal ... www.foleyhoag.com/.../Alerts/.../Foley-Adviser-061212.aspx | ||
| Editorial: Adviser oversight bill needs overhaul | Avid Investor Group Editorial Congress finally has recognized that investment adviser oversight is sorely lacking, putting the financial security of millions of Americans at. avidinvestorgroup.com/.../editorial-adviser-oversight-bill-need... | ||
| Investment Advisers Falcone's Harbinger Capital Turns to Dell's MSD for Loan (Businessweek) Philip Falcone's hedge fund, having taken out a loan earlier this year at an effective ... www.insidermonkey.com/blog/tag/investment-advisers/ | ||
| 13 Points You Need to Know Regarding the SEC and Social Media ... In this blog post, I'll highlight the salient points of the SEC's recently published National Examination Risk Alert - Investment Advisor Use of Social Media as they ... socialmediatoday.com/node/548752 | ||
| SEC Makes Technical Amendment to Definition of "Covered ... A "covered associate" of an investment adviser is defined in rule 206(4)-5(f)(2) of the Advisers Act as: (i) any general partner, managing member or executive ... www.bracewellgiuliani.com/.../sec-makes-technical-amendmen... |
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