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| Are REITS Investment Advisers? JD Supra (press release) A REIT is an acronym for Real Estate Investment Trust, although the term more properly refers to tax... See all stories on this topic » | ||
| Surprise: Stocks are having a strong year Philadelphia Inquirer Actually, stocks aren't down. That was a trick sentence. At the halfway mark for 2012, stocks are up more than 8 percent. "People think we're down because memories are short," says Rex Macey, chief investment officer at Wilmington Trust Investment ... See all stories on this topic » | ||
| Top Finra spokesman leaving agency InvestmentNews In a report to Congress, the SEC said it lacked the resources to review annually more than about 8% of the approximately 12000 registered advisers in 2011. Investment adviser organizations are adamantly opposed to Mr. Bachus' bill and fiercely resist ... See all stories on this topic » | ||
| Natixis Global Asset Management Launches Vaughan Nelson Select Fund Business Wire (press release) BOSTON--(BUSINESS WIRE)--Natixis Global Asset Management (NGAM) announced today the launch of a concentrated equity fund, the Vaughan Nelson Select Fund (VNSAX), from Vaughan Nelson Investment Management (Vaughan Nelson). ... Management; AEW Capital ... See all stories on this topic » | ||
| Columbia PM Barbaro To Retire from $1.6B Fund MutualFundWire.com Barbaro has been at the shop for 36 years, having joined Columbia's predecessor, Fleet Street Advisors, in 1976, according to a bio available at Morningstar. He has also served as a senior investment analyst at Connecticut Mutual Life, and as a ... See all stories on this topic » | ||
| Exclusive: FINRA's top lobbying executive departing Chicago Tribune Some industry watchers were confused by his departure given the effectiveness in FINRA's, and by extension Schloss's, lobbying strategy that may have helped form the legislation that could change how investment advisers are regulated. One Washington ... See all stories on this topic » | ||
| Bernard Madoff brother pleads guilty in Ponzi case Reuters With his guilty plea in Manhattan federal court on Friday, Peter Madoff is the first of Bernard Madoff's family members to admit criminal wrongdoing at the investment advisory firm. "I truly believed that my brother was a brilliant securities trader ... See all stories on this topic » | ||
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| Peter Madoff Pleads Guilty to Aiding Brother's Ponzi Scheme San Francisco Chronicle The regulatory statements he filed were designed to create the false appearance that the investment advisory business run by Bernard Madoff had a small number of sophisticated clients and fewer assets under management in order to avoid scrutiny by the ... See all stories on this topic » | ||
| Ameritrade Heads To $20, Offers Tasty Market Analysis Trefis The offering will help Ameritrade expand its clientele of investors, by identifying new market opportunities and investment strategies and will augment the company's Trade Architect and thinkorswim platforms. Registered investment advisers (RIAs) in ... See all stories on this topic » | ||
| New fee arrangements for online investment platforms welcomed Yorkshire Post The Association of Investment Companies (AIC) said the move where clients pay the platform directly, rather than platform services being paid for product providers, will be fairer to the consumer, or the financial advisers. AIC director general Ian ... See all stories on this topic » | ||
| Eaton Vance Municipal Income Trusts Declare Monthly Distributions DigitalJournal.com (press release) BOSTON, June 29, 2012 /PRNewswire/ -- Eaton Vance Management, the Boston-based investment adviser, today announced the monthly distributions declared on the common shares of eight of its closed-end municipal bond funds (the "Funds"). The record ... See all stories on this topic » | ||
| Japan Advisory Business Registration Revoked on Insider Trading Bloomberg Under the punishment by the Kanto Local Finance Bureau, Japan Advisory must halt its discretionary investment advisory business, provide detailed explanations to clients on the incident and report to the authority within a month on improvements ... See all stories on this topic » | ||
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| Madoff case spurs SEC fraud investigations Stamford Advocate Narrative disclosure documents are now required to "improve the quality of disclosure clients receive and allow them to better evaluate the risks associated with a particular investment adviser." Enhanced risk assessments identify firms that the SEC ... See all stories on this topic » | ||
| Most annuity holders will duck Obamacare's tax goose InvestmentNews Health care reform will hit investment income — including income from annuities — with a tax, but advisers and clients likely will continue using the products. Obamacare. President has lots of interest in interest income (Photo: Bloomberg News) ... See all stories on this topic » | ||
| John Hancock Hedged Equity & Income Fund Required Notice To Shareholders ... Sacramento Bee Wellington Management Company, LLP is an independent and unaffiliated investment sub-adviser to John Hancock Funds. About John Hancock Funds The Boston-based mutual fund business unit of John Hancock Financial, John Hancock Funds, manages ... See all stories on this topic » |
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| California « Investment Adviser Law Blog The California Department of Corporations has further modified its proposed rules exempting private fund managers from full investment adviser registration. investmentadviserlawblog.com/tag/california/ | ||
| Is Proxy Voting a Conflict-of-Interest Trap for the ERISA Fiduciary? Indeed, during the 1980's, just as the business model of Registered Investment Advisers blossomed, the prevailing wisdom, perhaps handed down from the ... fiduciarynews.com/.../is-proxy-voting-a-conflict-of-interest-tra... |
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