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News 30 new results for investment advisers

Investment adviser absconds with millions InvestmentNews A manhunt is on for a Georgia investment adviser who bilked clients out of $40 million in a private placement fraud. See all stories on this topic »

NASAA Reminds Mid-Sized Investment Advisers to Take Steps to Ensure ... JD Supra (press release) WASHINGTON (June 28, 2012) – The North American Securities Administrators Association today reminded investment advisers eligible to switch from federal to state registration that have yet to switch to contact their state securities regulator to begin ... See all stories on this topic »

Virtus Total Return Fund Declares Distribution MarketWatch (press release) Virtus Total Return Fund is a diversified closed-end fund with an objective of total return, consisting of both capital appreciation and current income, as determined by the fund's investment adviser, Virtus Investment Advisers, Inc. The fund has been ... See all stories on this topic »

EC set to release final Prips rules today FT Adviser The managing director of Bristol-based investment adviser Whitechurch Securities said the new document, which replaces the simplified prospectus as part of the European Commission's Packaged Retail Investment Products initiative, is "well meaning" but ... See all stories on this topic » FT Adviser

Investment advisory firms complete merger Virginia Business Magazine Investment advisory firms complete merger. July 02, 2012 4:20 PM. Rockford, Ill.-based Savant Capital Management and The Monitor Group, based in McLean, have completed a merger to become Savant Capital, LLC. The financial advisory firm now ... See all stories on this topic »

oz regulator to consult industry on exam International Adviser The Australian Securities & Investments Commission (ASIC) is to consult the financial advice industry on its plans to introduce a new, national exam for advisers, as part of the country's ongoing effort to boost advice standards. The possibility of the ... See all stories on this topic » International Adviser

Guggenheim Investments Announces July 2012 Closed-End Fund Distributions MarketWatch (press release) The Investment Advisers for AVK, MZF and WIA are Advent Capital Management, LLC, Cutwater Investor Services Corporation and Western Asset Management Company, respectively. * The total asset figure is as of 3.31.2012 and includes $10.7B of leverage ... See all stories on this topic »

Financial advisers face distribution deals ban Globe and Mail Payments already in place between advisers and retail investment product providers are now under scrutiny by the Financial Services Authority (FSA), which says that it will release further details of its thinking before the end of the year. The ... See all stories on this topic » Globe and Mail

PennantPark Floating Rate Capital Ltd. Announces Its Monthly Distribution of ... MarketWatch (press release) From time to time, the Company may also invest in mezzanine debt and equity investments. PennantPark Floating Rate Capital Ltd. is managed by PennantPark Investment Advisers, LLC. FORWARD-LOOKING STATEMENTS. This press release may contain ... See all stories on this topic »

Attorney's advice is 'property' in extortion case: appeals court Thomson Reuters News & Insight The 2nd Circuit upheld the conviction of investment adviser Giridhar Sekhar for having attempted to extort Luke Bierman, the former general counsel for the New York State Comptroller. See all stories on this topic » Thomson Reuters News & Insight

Alterra Power Appoints Jamie Bruce to Board of Directors DigitalJournal.com (press release) Mr. Bruce is a senior partner of Capital West Partners, a private Vancouver-based investment banking firm specializing in investment advisory services. He is well-known as both a financial and business leader and has served widely in public and private ... See all stories on this topic »

Franklin Universal Trust Reports Asset Allocation MarketWatch (press release) Franklin Advisers, Inc., is a wholly owned subsidiary of Franklin Resources, Inc. (NYSE:BEN) , a global investment management organization operating as Franklin Templeton Investments. Franklin Templeton Investments provides global and domestic ... See all stories on this topic »

Western Investment Banks Missing Out on Shenzen's IPO Mania Private Equity Hub (press release) It's a local market for local market participants," said one equity capital markets banker at a global investment bank, who didn't want to be named as he was not authorized to speak publicly on the matter. That may be .... A batch of global banks were ... See all stories on this topic »

Former Brokers Say JPMorgan Favored Selling Bank's Own Funds Over Others New York Times "I was selling JPMorgan funds that often had weak performance records, and I was doing it for no other reason than to enrich the firm," said Geoffrey Tomes, who left JPMorgan last year and is now an adviser at Urso Investment Management. "I couldn't ... See all stories on this topic » New York Times

First State expands responsible investment team FT Adviser Emerging markets specialist hires sustainable investment staff to Europe and Asia Pacific teams. See all stories on this topic »

Fund managers rally to voting advisers' defence Financial News Presenting a strikingly united front, firms such as Amundi, Aviva, BlackRock, F&C and Legal & General Investment Management have all told the European Securities & Markets Association that there is no need to subject advisers to binding EU regulation. See all stories on this topic » Financial News

Multi-Asset Funds - July 2012 FT Adviser With markets still heading every which way and the euro crisis raging on, advisers and investment managers have no easy job at the moment. The advantages of diversifying are really being born out. In step multi-asset funds, offering diversification ... See all stories on this topic » FT Adviser

Prepare for the New Investment Tax Smartmoney.com The Internal Revenue Service hasn't yet released guidance on the new tax. So when the court affirmed the law on Thursday, investors--and tax advisers--started scrambling. The new tax, which Congress passed in 2010, affects the net investment income of ... See all stories on this topic »

Swank Capital and Cushing® MLP Asset Management Announce Launch and ... DigitalJournal.com (press release) DALLAS, July 2, 2012 /PRNewswire/ -- Cushing MLP Asset Management ("Cushing") an SEC-registered investment adviser subsidiary of Swank Capital, LLC, focused on investments in master limited partnerships ("MLPs") and related energy income equities ... See all stories on this topic »

AZ Investimenti appoints 7 from Banca Network Investment Europe AZ Investimenti, part of Italy's asset manager Azimut Group, has confirmed a number of appointments to its network of financial advisers. ... Go to Investment Europe homepage · Digital Publisher of the Year 2010 Register · Register for Investment ... See all stories on this topic » Investment Europe

COMPLY-Avoiding angst over online reviews Reuters The U.S. Securities and Exchange Commission, which regulates registered investment advisers, is not as clear on the issues. Recent guidance on social networking discussed third-party posts mainly in the context of those made on the advisers' own site. See all stories on this topic »

Capital partners with JCS to deliver latest proposition FT Adviser "Our partnering with Capital Platform, who are committed to streamlining the product selection and investment processes, creates a compelling overall proposition for advisers that not only delivers efficiencies but allows them to focus less on their ... See all stories on this topic » FT Adviser

Merrill banks on training to replenish broker herd Reuters The largest U.S. brokerage by client balances says it will hire up to 2500 advisers for its training program this year, exceeding the trainees at Morgan Stanley Smith Barney, Wells Fargo Advisors and UBS Wealth Management Americas combined. Edward ... See all stories on this topic »

Our Green Government iStockAnalyst Solazyme's strategic advisers, according to its website, include T.J. Glauthier, who served on Obama's White House Transition team and dealt with energy issues, but also former CIA director R. James Woolsey, a conservative national security official ... See all stories on this topic »

SRA proposes relaxation of rules on IFA referrals Money Marketing The SRA has proposed plans to relax rules for solicitors to refer independent financial advisers for investment advice. See all stories on this topic »

Nuclear disaster may not be enough to change attitudes Sydney Morning Herald ''This has translated into unprecedented public condemnation of former Japan Inc stalwarts such as Tepco,'' says Ed Rogers, the chief executive officer of Tokyo-based Rogers Investment Advisers. ''We expect this will all lead to further shareholder ... See all stories on this topic » Sydney Morning Herald

Torquil Clark offers execution-only service to IFAs Citywire.co.uk Regional IFA Torquil Clark is to white-label its execution-only and telephone-based advice services for other IFAs. Three firms are set to set to launch white-labelled versions of the TQ Invest service in September. Torquil Clark's telephone-based ... See all stories on this topic »

Ex-Goldman Partner Chan Named Dymon CEO as Hedge Fund Grows Bloomberg Dymon hired Jay Luo, former head of SAC Capital Advisors LP's Asia-Pacific operations, as president and a partner in June. "Right now, the fund's investments are skewed towards foreign exchange, where a large part of our risk and our revenues are ... See all stories on this topic »

Fine wine investment not just Asia driven, says Apprentice star Ditton Wine Traders Tasked with presenting a business plan to Sir Alan Sugar and his team of advisers, Mr Gearing put forward his idea for a fine wine investment fund. The scheme impressed Nick Hewer and a number of other members of Sugar's team, but eventually lost out ... See all stories on this topic »

Macquarie Bank drawn into DJs takeover farce Sydney Morning Herald The investment bank has been drawn into the saga by having its name included in the notice given to DJs. Indeed, some time after the first letter was sent by Edgar, Macquarie was contacted by David Jones' own advisers - Gresham - informing the bank it ... See all stories on this topic » Sydney Morning Herald

Blogs 1 new result for investment advisers

PLI's Post-Holiday Corporate & Securities Programs By Kara OBrien Fundamentals of Investment Adviser Regulation 2012: July 18th in NYC, via live Webcast and numerous Groupcast locations. In the aftermath of the financial crisis and the resulting regulatory reform, the SEC has advanced significant ... Securities Law Practice Center

Web 4 new results for investment advisers

Are REITS Investment Advisers? - Topix Are REITS Investment Advisers? Full story: JD Supra. A REIT is an acronym for Real Estate Investment Trust, although the term more properly refers to tax status ... www.topix.com/forum/personal.../THFIPKF5T6JTPRGEL

CalPERS Buys Stake in Real Estate Investment Adviser - PlanSponsor CalPERS Buys Stake in Real Estate Investment Adviser ... became a one-third owner in one of North America's largest real estate investment advisers. CalPERS ... www.plansponsor.com/CalPERS_Buys_Stake_in_Real_Estate_...

N.J. Bureau of Securities Commences ... - State of New Jersey N.J. Bureau of Securities Commences Regulation of Additional Investment Advisers Today State Oversight Accomplished Through Industry Outreach and ... www.nj.gov/oag/newsreleases12/pr20120628b.html

SEC and CFTC adopt Private Fund Adviser reporting requirements In addition to changing the SEC registration requirements of investment advisers, the Dodd-Frank Act empowered the SEC to create broad recordkeeping and ... mcgladrey.com/.../SEC-and-CFTC-adopt-Private-Fund-Advise...

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