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| Drip...drip...dr: Slow going on fiduciary duty, adviser oversight InvestmentNews (blog) Enacted on July 21, 2010, the measure's two provisions that most directly affect the investment advisory world – a universal fiduciary duty rule for retail investment advice and improved adviser oversight, perhaps through a self-regulatory organization – remain ... See all stories on this topic » | ||
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| COMPLY-The perils of turning a blind eye Reuters The case highlights the potential difficulties of policing suspicious conduct at small investment advisory firms. There are roughly 4770 small investment advisers in the United States, typically managing up to about $100 million in assets, according to a 2011 ... See all stories on this topic » | ||
| Asset manager FSCS liability falls £70m, while advisers face 50% rise Citywire.co.uk Investment advisers will face a 50% Financial Services Compensation Scheme funding rise, while investment managers will see their liabilities fall by £70 million, under FSA proposals to overhaul the FSCS's funding model. Under FSA proposals the new ... See all stories on this topic » | ||
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| AIFA to challenge proposed FSCS threshold increase ifaonline.co.uk Included among proposals for a new way of funding the scheme, the Financial Services Authority (FSA) has suggested raising the threshold for investment advisers from £100m to £150m. The threshold relates to the total amount that can be levied on a class ... See all stories on this topic » | ||
| Resources for CCO and Compliance Staff JD Supra (press release) Recent Security and Exchange Commission ("SEC") examinations of investment advisers have again focused on the knowledge and authority of the Chief Compliance Officer ("CCO"). Rule 206(4)-7 requires investment adviser firms to designate a supervised ... See all stories on this topic » | ||
| Sierra Income Corporation Schedules Investor Conference Call MarketWatch (press release) SIC Advisors LLC, an affiliate of Medley LLC ("Medley"), is a registered investment adviser under the Investment Advisers Act of 1940, as amended. Medley specializes in credit investing, including direct private lending and corporate credit related strategies ... See all stories on this topic » | ||
| T. Rowe Price Group Reports Second Quarter 2012 Results DigitalJournal.com (press release) Investment advisory revenues for the second quarter of 2012 increased $18.3 million to $630.0 million from the comparable 2011 period, as average assets under management were up $23.4 billion, or 4.5%. Assets under management at June 30, 2012 ... See all stories on this topic » | ||
| Advent and Data Agent address Form PF compliance requirements HedgeWeek The Dodd-Frank Act requires the Securities and Exchange Commission and the Commodity Futures Trading Commission to gather information on investment managers' private funds. In response, the SEC created Form PF for Registered Investment Advisers. See all stories on this topic » | ||
| Belmont man charged in $10.4 million ponzi scheme Wicked Local Neither Cranney nor the entities he created are registered as broker-dealers or investment advisers in Massachusetts, nor were the instruments he offered registered securities. The complaint seeks a permanent cease and desist order against Cranney, ... See all stories on this topic » | ||
| August 3 Deadline Approaching For Compliance With New Massachusetts ... Mondaq News Alerts (registration) United States: August 3 Deadline Approaching For Compliance With New Massachusetts Investment Adviser Registration/Exemption Requirements. 24 July 2012. Article by Jeffrey D. Collins and Meredith A. Haviland ... See all stories on this topic » | ||
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| Continental Realty creates third fund for acquisitions Upstart (blog) Baltimore-based Continental Realty Corp. has raised $78.6 million in private equity funds to complete CRC Fund III LP, a fund backed by investment advisers, institutional investors and foundations. Continental, which has established two previous funds, ... See all stories on this topic » | ||
| Fund management charges: why investment trusts beat unit trusts Telegraph.co.uk (blog) Money Management, the monthly magazine for financial advisers, compared unit and investment trusts across many sectors and time periods. Editor Jon Cudby said: "Investment trusts show a clear performance advantage over their open-ended counterparts. See all stories on this topic » | ||
| Aspen Managed Futures Strategy Fund Reaches $100 Million AUM MarketWatch (press release) Headquarted in Atlanta, the organization has an extensive research team and seasoned partners serving institutional consultants, family offices and investment advisory communities. Aspen Partners utilizes both active and passive managed futures strategies ... See all stories on this topic » | ||
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| Your practice: New homework for advisers to the super-rich Reuters These days RFPs, which quiz firms on everything from their investment strategy to their succession plans, are being used by a wider array of families, even households at the $5 million level, advisers and consultants say. Advisers can thank the financial crisis, ... See all stories on this topic » | ||
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| Reported probe into marquee mutual fund could singe advisers InvestmentNews If the Labor Department finds that the firm violated ERISA with respect to the investments within the fund, plan sponsors and financial advisers who recommended it to 401(k) plans could be on the hook for failure to perform the appropriate due diligence. See all stories on this topic » | ||
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| J W Korth & Company Issues 2012 Second Quarter Management Review ... DigitalJournal.com (press release) Each quarter J W Korth & Company issues an account management review for its investment advisory accounts. The attached review was issued today and covers many aspects of the market for bonds and other income securities. "We believe this quarter's ... See all stories on this topic » | ||
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| FSA: IFAs' £150m FSCS threshold rise could lead to firm exits Citywire.co.uk ... such as advisers' threshold rising to £150 million, could lead to market exits, according to the Financial Services Authority (FSA). In its consultation on FSCS funding the FSA proposed that the threshold for investment intermediaries rise to £150 million from ... See all stories on this topic » | ||
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| Capital G Investments Limited appoints new directors Bermuda Sun For the latter company, he also served as Director of Research, General Partner for investment advisory and institutional operations, President of its international investment banking subsidiary, and as Managing Partner, Chairman and CEO of Riter, Pyne, ... See all stories on this topic » | ||
| FSCS funding review: everything you need to know Citywire.co.uk ... sponsored by: View the article online at http://citywire.co.uk/new-model-adviser/article/a606896 ... The FSA has called for a rise in the FSCS sub-class threshold for investment intermediaries to £150 million from the current threshold of £100 million. The FSA ... See all stories on this topic » | ||
| Blackstone's GSO Said to Offer Fee Cut to Speed Fundraisi Bloomberg GSO Capital Partners LP, the credit investment arm of Blackstone Group LP (BX), is offering a fee break to clients that join the initial close of its second company rescue fund, said two people familiar with the situation. The firm is seeking more than $4 billion for GSO Capital ... BC Partners Ltd., EQT Partners AB and Permira Advisers LLP in Europe have offered similar breaks to entice early investors as private-equity firms compete for money in a crowded market. In the U.S., Carlyle Group LP and Silver Lake are among ... See all stories on this topic » | ||
| Ex-RIA chief: 'How I learned more in a month as a client than in 20 years as CEO' RIABiz Penelope had professional and civic endeavors that were keeping her plenty busy and didn't feel she needed to put financial and investment planning on her plate as well. See: Why women just aren't buying what financial advisors are selling. But now I was ... See all stories on this topic » | ||
| Bankruptcies apparently no bother to investors piling into munis InvestmentNews ... find is, while we're seeing certain problems crop up, the numbers are still remarkably low relative to other asset classes," said Stephen Winterstein, managing director and chief strategist of municipal fixed income at Wilmington Trust Investment Advisors. See all stories on this topic » | ||
| Rivals merge into one of UK's top advisers nebusiness.co.uk Newcastle-based N+1 Brewin, which was formed when investment manager Brewin Dolphin's corporate broking arm was sold last year to its senior staff and Spanish financial firm N+1, is to merge with Singer Capital Markets. The firms yesterday said the ... See all stories on this topic » | ||
| Accenture: Retirement Worries Highlight Opportunities for Financial Advisers Wall Street Journal The survey also reveals that 53% of respondents believe they lack the necessary information to prepare for retirement and 57% say they lack the financial capacity to invest in a private pension. "These findings reveal a major unmet demand for retirement ... See all stories on this topic » |
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| TD Ameritrade Draws Breakaway Brokers At Record Pace By Curator Breakaway Brokers Cleared For Takeoff By Dan Jamieson Source: Investment News Observers of the registered investment advisory business say that many of the advisers leaving the larger legacy brokerage firms are doing so at the urging ... RIA Central | ||
| Aspen Managed Futures Strategy Fund Reaches $100 Million AUM ... By admin Headquarted in Atlanta, the organization has an extensive research team and seasoned partners serving institutional consultants, family offices and investment advisory communities. Aspen Partners utilizes both active and passive managed ... Nearshore Journal |
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| Investment Advisor at The Mutual Fund Store in Long Island - LinkedIn The Mutual Fund Store is hiring! View and apply for the Investment Advisor Job at The Mutual Fund Store in Long Island (Syosset), NY 11773. www.linkedin.com/jobs?viewJob=&jobId=3443986...4 | ||
| Retirement Plans | Boston Investment Advisers | Professional Wealth ... Retirement Plans. BIA can provide objective advice to retirement plan sponsors who seek professional investment expertise. As a fee-only independent adviser, ... www.bostoninvestmentadvisers.com/services/retirement-plans | ||
| Request for Public Comment: Proposed Revisions to Form ADV Part ... The Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers ("Form ADV") is used by investment advisers to register ... www.nasaa.org/.../notice-of-request-for-public-comment-prop... |
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