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| Malaysian Investment Adviser Sued By SEC For "No Show" Sub ... Forbes The arm of the SEC Enforcement Division is long. Now we know that it reaches all the way around the globe to tropical Malaysia! This week, the SEC sued ... See all stories on this topic » | ||
| MSIM subadviser to pay $1.6 million to settle SEC case Pensions & Investments The settlement announced Tuesday with AMMB Consultant, an investment adviser also known as AMC, follows a separate settlement reached last November ... See all stories on this topic » | ||
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| FSA platform paper calls Invesco RDR shares into question FT Adviser FSA consultation on ban on payments from fund providers to platforms may force Invesco Perpetual to revisit its RDR share class strategy. See all stories on this topic » | ||
| AMMB unit to pay $1.6M to settle SEC charges Business Insurance The U.S. Securities and Exchange Commission said on Tuesday that AMMB Consultant, an investment adviser in Malaysia, charged the fees for roughly a ... See all stories on this topic » | ||
| FSA consults on changes to platforms market Fresh Business Thinking Both investors and advisers will be able to compare the costs of investing through different platforms and make an informed decision on whether using a platform ... See all stories on this topic » | ||
| Investment Advisers To ERISA Plans And Plan Asset Funds Will Be ... Mondaq News Alerts (registration) 27 Jun 2012 - United States - Tax - Investment Advisers To ERISA Plans And Plan Asset Funds Will Be Subject To New Disclosure Obligations Effective July 1, ... See all stories on this topic » | ||
| Simple Preparation Helps Avoid Financial Fireworks DigitalJournal.com (press release) Diversify your investment dollars. Working with a professional financial advisor will help provide the best strategies for you to reach your individual goals. See all stories on this topic » | ||
| Prudential analyst: Euro crisis clouding US recovery MarketWatch (blog) ... from low interest rates and healthy earnings growth from companies, said John Praveen, managing director of Prudential International Investments Advisers. See all stories on this topic » | ||
| The California Public Employees' Retirement System Purchases ... DigitalJournal.com (press release) ... System (CalPERS) has become a one-third owner in Bentall Kennedy, one of North America's largest real estate investment advisors, it was announced today. See all stories on this topic » | ||
| Termination of the NxT Funds DigitalJournal.com (press release) Wellington West Asset Management Inc. is encouraging NxT Fund unitholders to consult with their investment advisor to determine the solution that best meets ... See all stories on this topic » | ||
| Financial advisers suggest US the place to invest Guelph Mercury Financial advisers are more optimistic about stock markets in the United States than in Canada and more concerned about a major downturn in China than. See all stories on this topic » | ||
| Platform provider charges should only be paid by consumers, City ... Out-Law.com A 'platform' is an online service that allows consumers to manage investment portfolios through an adviser or, in the case of direct to client platforms, ... See all stories on this topic » | ||
| Aston Adds New Dividend Fund Managed by River Road Asset ... DigitalJournal.com (press release) Aston will act as the investment adviser to the new Fund, while River Road Asset ... "In order to preserve the integrity of the investment process, we needed to ... See all stories on this topic » | ||
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| The hidden secret of ISA success: investment trusts knock the socks ... This is Money Commission-hungry financial advisers get large pay-offs from fund companies for selling their products — but not for investment trusts. These trusts, of which ... See all stories on this topic » | ||
| Unearth a hidden gem in the Far East as investment trusts knock the ... This is Money But rival investment trusts, which pay no commission, can be much cheaper and ... hefty commissions and, as a result, are heavily pushed by financial advisers. See all stories on this topic » | ||
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| PersonalFinance: Nontraded REITs can be opportunity Chattanooga Times Free Press However, not all nontraded REITs are alike and not all investment advisers charge a commission. Some nontraded REITs have generated good returns for ... See all stories on this topic » | ||
| Adam Marder Named Summit Business Media's Executive Vice ... DigitalJournal.com (press release) Summit Business Media, a leading business-to-business media company serving the insurance, financial services, legal and investment advisory markets, ... See all stories on this topic » | ||
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| Murdoch adviser chosen for Packer's seat on Ten board The Australian ... investment company Illyria, which owns 50 per cent of DMG Radio Australia. ... Ms McKenna is one of Mr Murdoch's closest advisers and is highly regarded for ... See all stories on this topic » | ||
| Financial advisers: Relax, enjoy the show Dubuque Telegraph Herald Financial advisers: Relax, enjoy the show BY ANDY PIPER TH STAFF ... investor, but investment professionals say for most people it's time to be patient and ... See all stories on this topic » | ||
| Cisco Adds New Strategy Chief (CSCO) Galaxy Stocks Hooper is creating an independent investment-partnership company, and Cisco is ... and contractors are not registered investment advisers or broker/dealers. See all stories on this topic » | ||
| Molpus Offers Elk Hunt Tags for 2012 Season DigitalJournal.com (press release) The Molpus Woodlands Group, LLC, a Registered Investment Advisor, was founded in 1996 as a Timber Investment Management Organization (TIMO) and has ... See all stories on this topic » | ||
| Fine collection no way to measure performance of regulators Vancouver Sun (These are professional investment advisers who generally have a far greater stake in paying their debts and maintaining their station in life than the people the ... See all stories on this topic » | ||
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| Tax planning considerations for 2012 Shreveport Times There are tax and investment advisers who are concerned that should the current administration stay in office and the Democratic Party retains control of the ... See all stories on this topic » | ||
| Global Economy Hits the Skids, Again BankInvestmentConsultant.com John Praveen, managing director and chief investment strategist of Prudential International Investments Advisers, was more cautious in his outlook, saying that ... See all stories on this topic » | ||
| Mackenzie Investments announces fund changes DigitalJournal.com (press release) Mackenzie Investments: Mackenzie Investments was founded in 1967, and is a leading investment management firm providing investment advisory and related ... See all stories on this topic » | ||
| ASPCA Elects Tim F. Wray to Chair of the Board DigitalJournal.com (press release) Mr. Wray, who has been a member of the ASPCA's Board since 2009, is a partner at Family Endowment Partners, LP, a registered investment advisory firm that ... See all stories on this topic » | ||
| FSA to ban platform rebates - update MindfulMoney Popular platforms include Cofunds, which only accepts business via financial advisers, Vantage from investment product and services provider Hargreaves ... See all stories on this topic » | ||
| Sharath Sury: High Costs Can Ruin Sound Investments DigitalJournal.com (press release) As for what the specific costs of investment are, the article lists the cost of the fund itself, as well as the cost of a financial planner or investment advisor. See all stories on this topic » | ||
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| Pay-To-Play Deadline Is Being Extended : Securities Compliance ... By Joshua Horn The SEC has announced that it is extending the deadline for investment advisers to comply with its pay-to-play rule ban against third-party solicitations in order to have an "orderly transition". The SEC is making this accommodation to account ... Securities Compliance Sentinel |
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| State Registered Investment Advisers Should Expect Increase in Many investment advisers making the transition from federal to state registration may not have much experience with regulatory examinations. According to ... www.ria-compliance-consultants.com/.../state-registered-invest... | ||
| Guidance Point Advisors, LLC and Benjamin J. Smith Consent ... ... licensing broker-dealers, agents, investment advisers, and investment adviser representatives; and reviewing registration statements and exemption filings for ... www.maine.gov/tools/whatsnew/index.php?topic=SEC... | ||
| Summer Reporting Deadlines Approach For Hedge Funds | Markets ... Meanwhile, all registered investment advisors with $150 million or more under management must file Form PF on an annual basis starting from the end of this ... marketsmedia.com/.../hedge-funds-face-summer-reporting-dea... | ||
| KPMG: Investment Advisers Faced with New Regulatory - LinkedIn By Rob Starr, Content Manager, Big4.com In January, the Securities and Exchange Commission (SEC) issued a final rule under the Investment Advisers Act of ... www.linkedin.com/.../KPMG-Investment-Advisers-Faced-New... | ||
| SEC Publishes Risk Alert on Investment Adviser Use of Social ... ... Financial Services and Investment Management, -Asset Management M&A, - Banking ... -Investment Advisers, -Investment Company Status, -Investment Funds ... www.dechert.com/SEC_Publishes_Risk_Alert_on_Investment... |
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