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| US state oversight of small investment advisers takes effect; exams and ... Reuters Blogs (blog) By Jason Wallace. SAN DIEGO/NEW YORK, June 28 (Thomson Reuters Accelus) – A long anticipated and well-publicized deadline for "the switch" is here. According to recent estimates, 2500 investment advisers with less than $100 million of regulatory ... See all stories on this topic » | ||
| Natixis Global Asset Management Launches Vaughan Nelson Select Fund MarketWatch (press release) ... AEW Capital Management; AEW Europe; AlphaSimplex Group; Aurora Investment Management; Capital Growth Management; Darius Capital Partners; Gateway Investment Advisers; H2O Asset Management; Hansberger Global Investors; Harris Associates ... See all stories on this topic » | ||
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| SEC Obtains Final Judgments Against Defendants in the Mariner Energy Insider ... Citybizlist (press release) Brownstein used the material nonpublic information he received from Drew Peterson to trade shares for his own account, for his family members and for hedge funds managed by Big 5, Brownstein's registered investment advisory firm. Brownstein reaped ... See all stories on this topic » | ||
| Forget the amenities — women want results from advisers InvestmentNews Building up relationships important, but not as important as building up assets, survey finds. See all stories on this topic » | ||
| Rocket Fuel Scores $50M Private Equity Hub (press release) Wasatch Advisors, Inc. is a global investment manager to institutions and mutual funds with over $11.7 Billion in assets under management and is registered with the Securities and Exchange Commission under the Investment Advisers Act of 1940. See all stories on this topic » | ||
| Falcon Point Capital Receives $8 Million from a Fortune 500 Company DigitalJournal.com (press release) Falcon Point Capital, LLC is an SEC registered investment adviser based in San Francisco and manages the assets of both individuals and institutions. Falcon Point has a recognized expertise investing in small cap growth companies and has five distinct ... See all stories on this topic » | ||
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| Neuberger Berman Becomes a Signatory to the Principles for Responsible ... MarketWatch (press release) Firm data, including employee and assets under management figures, reflects collective data for the various affiliated investment advisers that are subsidiaries of Neuberger Berman Group LLC (the "firm"), including, but not limited to, Neuberger Berman ... See all stories on this topic » | ||
| Christine Frank Joins Waller Capital Partners as Managing Director MarketWatch (press release) "As one of the only independent investment banking and advisory boutiques with core expertise across digital and traditional media, cable, communications and information services, Waller is well positioned to capitalize on the ongoing convergence of ... See all stories on this topic » | ||
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| Waller Capital Hires Frank Multichannel News New York-based telecommunications investment banker Waller Capital has hired Christine Frank as a managing director, focusing on the information services and technology sectors. ... Frank joins Waller from Compass Advisers, and previously was with Bank ... See all stories on this topic » | ||
| Bravura Solutions' Sonata powers launch of Russell Investments' Russell iQ ... RFPConnect.com Russell iQ™ Investments is a new online investment account, providing advisers and SMSFs easier access to Russell's range of actively managed, multi-asset solutions. Bravura's Sonata software, coupled with Russell's web portal enables Russell to offer ... See all stories on this topic » | ||
| Wolters Kluwer Financial Services Helps Securities Firms Complete Form PF as ... RFPConnect.com ... adopted by the Securities and Exchange Commission (SEC) and the U.S. Commodity Futures Trading Commission (CFTC) under the Dodd-Frank Wall Street Reform and Consumer Protection Act. Under the new rules, investment advisers with at least $150 ... See all stories on this topic » | ||
| App helps clients who can't afford face-to-face advice Money Marketing My Wealth shows clients a breakdown of their income, outgoings, property assets, investments, pensions, protection and liabilities along with a facility to show their attitude to risk compared with the current risk of their investments. My Adviser ... See all stories on this topic » | ||
| DomaCom to offer advisers free software Financial Standard Internet-based property investment vehicle DomaCom is set to offer advisers free access to an online financial planning software tool. See all stories on this topic » | ||
| Aberdeen Chile Fund, Inc. Announces Net Asset Value Correction DigitalJournal.com (press release) However, the figures are unaudited and neither the Fund, Aberdeen Asset Managers Limited (effective March 1, 2012, the Investment Adviser), nor any other person guarantees their accuracy. Investors should seek their own professional advice and should ... See all stories on this topic » | ||
| IFAs slam FSA platform rebate plans FE Trustnet The FSA's decision to ban cash rebates from product providers to platforms will make investing more complicated and more expensive for consumers, says the chairman of the Association for Independent Discount and Non-Advisory Brokers (AIDB). See all stories on this topic » | ||
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| Bernie Madoff's Brother to Plead Guilty in Ponzsi Scheme Bloomberg He will also plead guilty to falsifying business records of an investment adviser, prosecutors said. Both charges carry a maximum statutory term of as long as five years in prison and a fine of at least $250000. Without citing any evidence that Peter ... See all stories on this topic » | ||
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| LightSquared's Philip Falcone and Harbinger Charged with Securities Fraud GPS World magazine The Securities and Exchange Commission today filed fraud charges against New York-based hedge fund adviser Philip A. Falcone and his advisory firm, Harbinger Capital Partners LLC for illicit conduct that included misappropriation of client assets ... See all stories on this topic » | ||
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| Charging ahead Money Marketing Why all this was left until now mystifies me, as does the approach to negotiations between the ABI and HMRC over investment bonds and adviser-charging, where the 5 per cent allowance is depleted. I mean giving in again due to no one in the negotiating ... See all stories on this topic » |
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| SEC begins registration of new market operators By ojiego The individuals are seeking registration for ten different functions such as Broker/Dealers, Issuing Houses, Registrars, Corporate Investment Advisers and Estate Surveyors/Valuers. The registration exercise is equally geared towards ensuring ... Vanguard News |
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| Are REITS Investment Advisers? Of course, the starting point for answering this question is the definition of " investment adviser". Corporations Code Section 25009 defines an "investment ... calcorporatelaw.com/2012/06/are-reits-investment-advisers/ | ||
| NASAA Reminds MidSized Investment Advisers to Take Steps to ... WASHINGTON (June 28, 2012) – The North American Securities Administrators Association today reminded investment advisers eligible to switch from federal ... www.nasaa.org/.../nasaa-reminds-mid-sized-investment-advise... | ||
| Class Arbitration: Are Investment Advisers Representatives Excluded? Investment Adviser agreements typically contain provisions which require all disputes between the Registered Investment Adviser ("RIA") and Investment ... securitiesandinvestmentblog.blogspot.com/.../class-arbitration-... | ||
| Investment Advisers to ERISA Plans and Plan Asset ... - LexisNexis The martindale.com Legal Library features the latest insights from industry through leading lawyers and law firms. Access the most recently published and most ... www.lexisnexis.com/.../investment-advisers-to-erisa-plans-and... | ||
| Investment Advisor Misconduct and Mismanagement - South Florida ... The Securities and Exchange Commission recently sued AMMB Consultant Sendirian Berhad (AMC), a Malaysian investment adviser, alleging that for more ... www.floridastockfraudblog.com/.../investment-advisor-miscon... | ||
| Administrative Proceeding: Ralph R. Cioffi SECURITIES AND EXCHANGE COMMISSION. SECURITIES EXCHANGE ACT OF 1934. Release No. 67250 / June 25, 2012. INVESTMENT ADVISERS ACT ... www.sec.gov/litigation/admin/2012/34-67250.pdf |
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