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| Advisors Will Need to Thoroughly Prepare for Form PF Reporting MarketWatch (press release) Form PF requires registered investment advisors to periodically provide confidential financial information to the SEC to, among other things, assist the Financial Stability Oversight Council in its assessment of systemic risk in the U.S. financial system. See all stories on this topic » | ||
| Advent and Data Agent Join Forces to Address Form PF Compliance ... MarketWatch (press release) In response, the SEC created Form PF for Registered Investment Advisers. The first Form PF quarterly filing deadline is August 29, 2012 for Registered Investment Advisors with regulatory assets under management over $5 billion, while the majority of hedge ... See all stories on this topic » | ||
| Finra maintains higher spending on lobbying InvestmentNews Finra has been lobbying lawmakers to "harmonize" the regulation of broker-dealers and investment advisers, and the implementation of the Dodd-Frank law, according to its disclosure reports. Late last year, Finra began lobbying on the Bachus bill. Introduced ... See all stories on this topic » | ||
| SMSF trustees recognise retirement gap InvestorDaily Self-managed superannuation fund (SMSF) trustees are beginning to acknowledge the need for professional investment advisers as the existence of a gap in their retirement savings emerges. Russell Investments individual customers managing director Geoff ... See all stories on this topic » | ||
| FDIC says weak banks are falling for a scam familiar to troubled borrowers Bizjournals.com (blog) The Federal Deposit Insurance Corp. sent a special alert Monday that warns, "Individuals or purported investment advisers may be attempting to defraud financially weak institutions by collecting due diligence fees and other expenses based on their claims of ... See all stories on this topic » | ||
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| Ron Rhoades Tweets How He Really Feels About Finra New York Observer A bill sponsored by House Financial Services chair Spencer Bachus that would install Finra as the self-regulating organization for independent investment advisers. If you were a NAPFA member, or its incoming chairman, here's why such a bill would sting: ... See all stories on this topic » | ||
| Dish Cash Hoard Signals Wireless Possibility: Corporate Finance Bloomberg Dish brought its cash on hand to $5.6 billion on June 30 from about $2.7 billion in the first quarter, KDP Investment Advisors Inc. calculated. It issued $2.9 billion of five- and 10-year notes in separate sales in May and July, including $1 billion last week, ... See all stories on this topic » | ||
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| Wilmington's Stith Says U.S. `Needs Fiscal Remedy' (Audio) Bloomberg Wilmington's Stith Says U.S. `Needs Fiscal Remedy' (Audio). 2012-07-23T19:39:25Z. Wilmer Stith, vice president and fund manager at Wilmington Trust Investment Advisors Inc., discusses the U.S. economy and stocks he favors. Stith talks with Bloomberg's ... See all stories on this topic » | ||
| How much to save for retirement? Myiris.com In this article, we discuss a simple process you can adopt to save for your retirement fund. It is important to note that our suggestion is not a substitute for the sophisticated models used by investment advisers, should you choose to hire one. Simple does it. See all stories on this topic » | ||
| Financial adviser sentiment hits yearly low, says Skandia International Investment Europe The International Adviser Confidence Barometer conducted by Skandia International, the offshore business of Old Mutual Wealth Management, has hit a 12 month low of just 4.9 out of 10, following a drop in confidence through the second quarter. The drop in ... See all stories on this topic » | ||
| S&P Capital IQ Picks ITC Focus Stock of the Week Sacramento Bee ... investment advisers, broker-dealers, investment banks, other financial institutions and financial intermediaries, and accordingly may receive fees or other economic benefits from those organizations, including organizations whose securities or services they ... See all stories on this topic » | ||
| Kirin, F&N line up advisers as Singapore brewery battle heats up Chicago Tribune SINGAPORE/HONG KONG (Reuters) - Japan's Kirin Holdings and Singapore's Fraser and Neave have hired investment banks to advise them through the takeover battle for a prized Asian beer maker, adding to signs that a bidding war will intensify in the ... See all stories on this topic » | ||
| Clinton Group Calls Upon Wet Seal Board To Sell Company DigitalJournal.com (press release) Founded in 1991, Clinton is an SEC Registered Investment Advisor with over $2.7 billion in assets under management. The action you took over the weekend in terminating the employment contract of Ms. McGalla, the Company's (now former) Chief Executive ... See all stories on this topic » | ||
| Belmont man allegedly ran Ponzi scheme Boston Herald Cranney was sponsored into Shaklee in 1967 and is sponsor for about 50000 distributorship contracts, Galvin said, adding neither Cranney nor the entities he created are registered as broker-dealers or investment advisers in the state, nor were the ... See all stories on this topic » | ||
| We risk a major global crisis, fund managers warn Citywire.co.uk Time after time we hear from investment advisers that this is a bull market , that the market has over reacted , that this the time to buy etc etc etc. They should realise that the emporor has no clothes ! . Its going to be very very difficult for a long time and we ... See all stories on this topic » | ||
| FSA to step up RDR consumer awareness campaign Citywire.co.uk The regulator's campaign will include an online video by head of investment intermediaries Linda Woodall and a new leaflet for advisers to distribute to consumers. An FSA spokeswoman said the campaign will relaunch next month and will focus on raising ... See all stories on this topic » | ||
| Avenue Income Credit Strategies Fund Portfolio Data DigitalJournal.com (press release) The Fund's investment adviser is Avenue Capital Management II, L.P., and the Fund's subadviser is Avenue Europe International Management, L.P. Both entities are part of Avenue Capital Group. SOURCE Avenue Income Credit Strategies Fund. Top News ... See all stories on this topic » | ||
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| Rhino Resource Partners LP Announces Second Quarter Distribution And ... DigitalJournal.com (press release) Wexford is an SEC registered investment advisor with over $5.1 billion of assets under management. Wexford has particular expertise in the energy/natural resources sector with actively managed investments in coal, oil and gas exploration and production, ... See all stories on this topic » | ||
| Fidelity reviews IFA authorisation process FT Adviser Dangers for advisers offering 'bespoke' services. FTAdviser ... Fidelity Worldwide Investments has pledged to review its intermediary authorisation process after criticism from an IFA over delays in the transfer of his client's section 32 pension scheme. By Kevin ... See all stories on this topic » | ||
| Financial Planning Works, But Only a Minority Do It InvestmentNews (blog) The Great Recession left many American families struggling to make ends meet, but those who have prepared a financial plan feel more confident and report more success in managing money, savings and investments than those who have not. ... Half of Americans who have taken the time to develop a financial plan—either on their own or with the help of an adviser—are more likely to feel they are on pace to meet all of their financial goals, such as saving for retirement or emergencies, according to a new report ... See all stories on this topic » | ||
| Economy Seen Neither Too Good or Bad to Decide Election Businessweek "It's not good enough to automatically re-elect Obama, but it's not bad enough to automatically elect Romney," said Schnur, a campaign adviser to Republican Arizona Senator John McCain's first bid for the White House in 2000. "We're in this in-between stage, which makes the election something of a jump ball." Bernanke isn't predicting the recession that Gross, who runs the world's biggest bond fund at Pacific Investment Management Co., referenced in a July 16 Twitter post. Gross said the U.S. is "approaching ... See all stories on this topic » |
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| Insider Trading Remains Key Issue For Investors - Integrity Research By Sanford Bragg Insider trading and social media use by employees are the top compliance concerns among SEC-registered investment advisers according to a recent survey. Nearly three quarters (74%) of RIAs surveyed are conducting tests to detect insider ... Integrity Research | ||
| Androids Piracy Problem Drives Dead Trigger Price to Zero - PC ... By laplasina Amid Zero Interest Rate Climate, Money Managers Push Equities – Businessweek The U.S. Federal Reserves long-term policy of zero interest rates has prompted some investment advisers to rethink what allocations of bonds and equities ... My Blog by laplasina | English,... | ||
| Monday links: deterring corporate malfeasance | Abnormal Returns By abnormalreturns (Crossing Wall Street). Why investment advisers might want to read Michael J. Pomian's Behavioral Finance and Investor Types: Managing Behavior to Make Better Investment Decisions. (Reading the Markets). Abnormal Returns is a founding ... Abnormal Returns | ||
| The Psy-Fi Blog: Things Investors Should Hate 2/5: Gurus By timarr Because in some arenas we need to rely on expert judgement – we're generally quite poor at diagnosing our own illnesses, for instance – then we can easily be fooled into thinking investment advisers of all kinds are experts. Well, some are ... The Psy-Fi Blog |
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| Investment Advisers Should Consider Form U4 Obligations when When a registered investment adviser is developing its ongoing compliance program, the investment adviser should develop written policies and procedures ... www.ria-compliance-consultants.com/.../investment-advisers-s... | ||
| Centaur Management Co. LLC instituted pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of ... Investment Advisers Act of 1940, Making Findings, and Imposing Remedial ... www.sec.gov/litigation/admin/2012/ia-3432.pdf | ||
| August 3 Deadline Approaching for Compliance with New ... All investment advisers operating in Massachusetts which are not currently registered with either the SEC or the Massachusetts Securities Division must register ... www.martindale.com/.../article_Foley-Hoag-LLP_1554898.ht... | ||
| Other Independent Audits - Wharton Research Data Services Datasets include: Registered Investment Advisers, Broker Dealers, ... The Registered Investment Adviser data set covers investment advisers who have filed ... https://wrds-web.wharton.upenn.edu/wrds/.../index.cfm?...id... | ||
| SEC Staff Publishes Update to Form PF FAQs - Sidley Austin LLP Our advice covers the broad scope of legal and compliance issues that are faced by funds and their boards, as well as investment advisers to funds and other ... www.sidley.com/sidleyupdates/Detail.aspx?news=5266 | ||
| Fiduciary Responsibility | Boston Investment Advisers | Professional ... WE WILL treat your portfolio at BIA as if it were our own. WE WILL invest for the long-term while always striving to maximize returns and minimize risk. WE WILL ... www.bostoninvestmentadvisers.com/.../fiduciary-responsibility | ||
| Much More Than Just - Israel Investment Advisors Israel Investment Advisors, LLC. 1670 Broadway, Suite 3000. Denver, Colorado 80202. (303) 861-3798. Israel: Much More Than Just a Start-Up Nation. Brian J. www.israelinvestmentadvisors.com/.../Q2-2012-Israel-Much-... | ||
| Western Pacific Investment Advisers, Inc.: Private Company ... Western Pacific Investment Advisers, Inc. company research & investing information. Find executives and the latest company news. investing.businessweek.com/research/stocks/.../snapshot.asp?... |
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