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| JP Morgan Slammed for Fees, Fees, Fees Courthouse News Service Jeffrey and Shelli McDonald sued JP Morgan Chase Bank its investment advisers Erin Ohlms and John Perry, in Cook County Court. The McDonalds says they sold their Texas-based baking company for $6.5 million in 2005 and hired JP Morgan for advice. See all stories on this topic » | ||
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| Relations between SIC, adviser improve Albuquerque Journal (subscription) State Investment Council member Leonard Lee Rawson still has many reservations about the SIC's private equity program, but he said relations with program adviser and manager Sun Mountain Capital are improving. "The dialogue is getting better," Rawson ... See all stories on this topic » | ||
| Foreside Completes Acquisition of Professional Funds Distributor, LLC MarketWatch (press release) Foreside delivers a range of distribution and regulatory compliance services to clients in the investment management industry, including investment advisers of registered and unregistered pooled products, and open-end, closed-end, exchange-traded and ... See all stories on this topic » | ||
| Ropes & Gray's Private Investment Fund Update: July 2012 Mondaq News Alerts (registration) The Advisers Act political contribution rules prohibit an investment adviser from providing (or agreeing to provide), directly or indirectly, payment to any third-party for a solicitation of business from any government entity on behalf of such adviser ... See all stories on this topic » | ||
| ICI AND US CHAMBER OF COMMERCE FILE LAWSUIT REGARDING CFTC ... Mondaq News Alerts (registration) The Dodd-Frank Act required the SEC to conduct a study regarding investment adviser regulation. The findings of the study, reported to Congress in January 2011, offered three proposals to strengthen adviser regulation. The SEC proposed (1) allowing the ... See all stories on this topic » | ||
| For investment firms, sleepy summers are a thing of the past Chicago Tribune NEW YORK (Reuters) - Toby Hoden was on vacation early last August when he got the assignment: interrupt his firm's chief market strategist's beach vacation and get him into a studio 30 miles away as quickly as possible for an interview on CNBC . See all stories on this topic » | ||
| AEW pays $405 per sf for 1660 Wynkoop Colorado Real Estate Journal (blog) One of the world's largest investment advisers paid $26.6 million for a Class A office building across the street from Denver Union Station. AEW Capital Management bought 1660 Wynkoop from Legacy Partners for $405 per square foot, one of the highest ... See all stories on this topic » | ||
| Financial vet Scott Roulston looks to profit on life insurance policies Crain's Cleveland Business Mr. Roulston says Burdette has attracted some local endowments and foundations, as well as high-net-worth individuals and registered investment advisers, mostly from Northeast Ohio. However, he would not identify his investors, citing client agreements. See all stories on this topic » | ||
| ESPN Sports Personality Jonathan Drubner Joins L&S Advisors, Inc. As ... DigitalJournal.com (press release) Drubner is making the jump to a new role as associate director at L&S Advisors, Inc. (www.lsadvisors.com), the Los Angeles-based registered investment advisor (RIA) dedicated to portfolio management for high-net worth individuals. At L&S Advisors ... See all stories on this topic » | ||
| US business community worried about India's investment climate: Barack Obama Times of India Economists, including the government's advisers, have said it and taken it back now and then. The government has accepted it in parts and resolved action. Now, in the first such observation from a foreign head of state, US President Barack Obama ... See all stories on this topic » | ||
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| Tax-wrapped investments to fall post-RDR ifaonline.co.uk A poll of 161 advisers by consultancy Defaqto found the proportion of business focused on tax wrapped investments is likely to fall from 21% to 13% post-Retail Distribution Review (RDR). Retirement income is also expected to fall from 14% to 6%, though ... See all stories on this topic » | ||
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| Morning business news - July 16 RTE.ie David Kingston, who is Chairman of Investment Advisers, Acuvest, has over 40 years experience in the pensions industry. He believes the DB scheme - which gives the pensioner a set amount every period for life - has outlived its use and should be given ... See all stories on this topic » | ||
| Aberdeen Asia-Pacific Income Fund, Inc. Announces Record Date And Payment ... Sacramento Bee Aberdeen Asset Management Asia Limited and Aberdeen Asset Management Limited are registered investment advisers under the Investment Advisers Act of 1940. SOURCE Aberdeen Asia-Pacific Income Fund, Inc. Featured Video. About Comments ... See all stories on this topic » | ||
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| Stuck with the status quo Money Marketing Alan Brierley, the author of the report, has frequently been scathing in the past, both about independent financial advisers who continue to ignore investment trusts and about critics who have lambasted them as the "walking dead". "We wonder what ... See all stories on this topic » | ||
| The Asia Tigers Fund, Inc. Announces Expiration Of Semi-Annual Repurchase ... MarketWatch (press release) ... registered investment advisers: Aberdeen Asset Management Inc., Aberdeen Asset Managers Limited, Aberdeen Asset Management Ltd. and Aberdeen Asset Management Asia Limited (collectively, the "Aberdeen Advisers"). Each of the Aberdeen Advisers ... See all stories on this topic » | ||
| Aegon outlines RDR commission guarantee plans Citywire.co.uk New Model Adviser® Powered by Citywire · Honister adviser hits ... Its Secure Trustee Investment plan will feature a two-month guarantee while Aegon UK and Ireland products with unit-linked guarantees will carry a one-month commission 'quotation period'. See all stories on this topic » | ||
| Govt levy on private pensions 'not helping' RTE.ie Mr Kingston, who's Chariman of investment advisers Acuvest, has also called for defined pension pension schemes to be given a 'decent burial'. He believes the DB schemes were successful in their day when people's life expectancy was more stable and ... See all stories on this topic » | ||
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| Saratoga Investment Corp. to Report Fiscal First Quarter 2013 Financial ... DigitalJournal.com (press release) Saratoga Investment Advisors, LLC is a New York-based investment firm formed to focus on credit-driven strategies. It is the external investment adviser to Saratoga Investment Corp. and is affiliated with Saratoga Partners, a middle-market private ... See all stories on this topic » | ||
| Court Holds A Wells Notice Does Not Trigger An Automatic Disclosure ... Mondaq News Alerts (registration) Investment advisers must disclose a "legal or disciplinary event...material to a client's or prospective client's evaluation of [its] advisory business or the integrity of its management." Form ADV, available at http://www.sec.gov/about/forms/formadv ... See all stories on this topic » | ||
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| Chicago Daily Observer » Blog Archive » Citizen Bain By Don Rose As that radical rag Forbes Magazine noted this weekend, Romney and Bain might easily be in violation of SEC regulations or, more feloniously, of the Investment Advisers Act of 1940. If he was not the president, CEO, etcetera, while they ... Chicago Daily Observer | ||
| Right Coast: CNN POLL: 75% Of Financial Experts Say Romney ... By Countryboy John Praveen, managing director and chief investment strategist for Prudential International Investments Advisers says investors are not sanguine about lawmakers' ability to keep America from driving off the fiscal cliff: "In case investors are ... Right Coast |
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| SEC Commissioners to Consider Fund Advertising Rules ... Legal and compliance issues for investment advisers and hedge fund managers from The Securities Law Group LLP. About / Contact Us · Disclaimers ... investmentadviserlawblog.com/.../sec-commissioners-to-consid... | ||
| s Comment on Dodd Frank - 17a-4 llc In addition to subjecting formally exempt investment advisers to an already stringent ... Prior to the passage of the Dodd-Frank Act, investment advisers were ... www.17a-4.com/wp.../17a-4s-Comment-on-Dodd-Frank.docx |
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