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| Sebi to regulate investment advisers: Chairman UK Sinha Economic Times These 'investment advisers' would have to separately register themselves with Sebi and norms governing them have been framed after discussions with other regulators, including RBI and IRDA. "After discussions with RBI, IRDA and PFRDA, Sebi has ... See all stories on this topic » | ||
| Ex-Investment Adviser Allen Asks for Probation in Fraud Case Bloomberg Scott Allen, a former Mercer LLC investment adviser, says he shouldn't be sent to prison for insider-trading because he's assisted the U.S. on several investigations since pleading guilty to the scheme in March. Allen, of Atlanta, admitted in federal ... See all stories on this topic » | ||
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| Finra's 'independent regulator' label gets closer scrutiny during SRO debate InvestmentNews (blog) This "independence" label has drawn new scrutiny in recent months, after legislation that would establish one or more self-regulatory organizations for investment advisers was introduced in the House. Finra is lobbying fiercely on behalf of the bill ... See all stories on this topic » | ||
| The big picture Sydney Morning Herald He uses the market for financial advisers to explain how his solution would work. "We have regulated investment advisers until they are blue in the face. We have added lots of costs to investment advisers . . . Ask yourself this question: Where would I ... See all stories on this topic » | ||
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| Bridgeworth Financial makes acquisition, moves office Bizjournals.com Two other local advisers, Jeris Burns and David LeCompte, have also joined the company. In addition to the acquisition, Bridgeworth said it has become an independent registered investment adviser. According to the release, the designation will give its ... See all stories on this topic » | ||
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| YOUR PRACTICE-When your client wants to get rich from a Warhol Reuters Tepid stocks making art investing more attractive. * Art investing is a 'buyer beware' market. * Advice: Connect your clients to an art adviser. By Jennifer Hoyt Cummings. Aug 15 (Reuters) - A decade ago, the questions Annelien Bruins got from clients ... See all stories on this topic » | ||
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| Executive People on the Move | 08/16/2012 Dallas Business Journal Courtney also has experience representing investment advisers regarding registration under and compliance with U.S. Investment Advisers Act of 1940. He has represented private equity and venture capital firms in connection with acquisitions involving a ... See all stories on this topic » | ||
| Return of manufacturing to America? Canada Free Press Commentary: I had what I think to be a very interesting discussion with an investment advisor in the past few days with respect to this Newsletter. I had given him a copy of one of last week's Newsletters and asked him to critique it. I should say that ... See all stories on this topic » | ||
| Manulife Asset Management announces business expansion into Korea and ... DigitalJournal.com (press release) 16, 2012 /CNW/ - Manulife Asset Management announces today that it has obtained a Cross Border Investment Advisory license in Korea and has hired Peter Kim, Managing Director, Head of Institutional Sales, Korea to bring forth the company's global ... See all stories on this topic » | ||
| NEWSALERT: Sebi allows mutual funds flexibility in using expense charges Business Standard The Securities and Exchange Board of India has cleared Investment Advisor Regulations. All advisers offering services for fee will require mandatory registration. Sebi to set up committee for a national mutual fund policy; seeks tax incentives in ... See all stories on this topic » | ||
| Ignis Advisors names head of credit strategies Fundweb Ignis Asset Management's specialist alternatives division, Ignis Advisers, has named Ingrid Neitsch as head of credit strategies. Neitsch, who is to join at the beginning of September, will be responsible for investments in hedge funds and private ... See all stories on this topic » | ||
| Axa Wealth platform favourite with IFAs FT Adviser He said Axa Wealth has confirmed it will continue to invest more than £10m a year in Elevate to keep it competitive, with fixed term deposits and user interface functions planned as the next enhancements. Mr Thompson said: "As the retail distribution ... See all stories on this topic » | ||
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| Road to Retirement Shouldn't Be Paved With Stocks TheStreet.com ... 11:12 AM EDT. Add Comment. Tweet. NEW YORK (BankingMyWay) -- Talk to any financial adviser about how to save for retirement and you'll get two instructions: save as much as you can, and focus on asset allocation -- your portfolio's diversification ... See all stories on this topic » | ||
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| Saltus Fund Management acquires Montague Capital Money Marketing Saltus will provide investment management services to Montague as part of a transitional agreement, during which time Montague clients will be invited to move across to Saltus. According to Saltus, the move ... MAS referred 0.3% of web visitors to ... See all stories on this topic » | ||
| Alternative Investing Trends: A Money Manager Panel Discussion Financial-Planning.com Alternatives have been an increasingly hot topic as advisers work to diversify and stabilize client portfolios amid the turbulent economic environment. The institutional and endowment models have highlighted the value of alternatives and advisers are ... See all stories on this topic » | ||
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| When your client wants to get rich from a Warhol CNBC.com "If you want to talk about a buyer beware market, this is it," said Suzanne Gyorgy, head of art advisory and finance for Citi Private Bank, which advises ultra-high-net-worth families on their art investments. As a general rule, investors should keep ... See all stories on this topic » | ||
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| IFA - Chartered Practice FT Adviser This is a highly professional firm with them requiring polished, ambitious and highly competent advisers with an excellent degree of technical knowledge across pensions, investments and protection. Whilst the firm would expect any applicant to have ... See all stories on this topic » |
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| Navigating the Regulatory Maze for Investment Advisors - Basics ... The Investment Adviser Public Disclosure ("IAPD") website was created by the U.S. Securities and Exchange Commission ("SEC") to provide investors with ... www.ria-compliance-consultants.com/.../basics-about-the-iapd... | ||
| Consultiva Internacional, Inc. 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-3441.pdf | ||
| Piedmont Investment Advisors and TerraCap Opens Second Real ... Piedmont Investment Advisors, LLC (http://www.piedmontRIA.com) through its affiliate Militello Capital made an investment of more than $8,000,000 in TerraCap ... www.piedmontria.com/.../piedmont-investment-advisors-and-t... | ||
| Investment Advisor Compliance Officer recruitment - Compliance ... Investment Advisor Compliance Officer recruitment in the USA. Compliance / Legal careers in New York City with eFinancialCareers.com. jobs.efinancialcareers.com/job-4000000001064292.htm | ||
| Tough markets took toll on U.S. brokers, advisers in 2011-report ... Total advisers fell by 7,000, or 2.3 percent, last year. * Big four brokerages added brokers but assets fell. * Registered investment advisers grew in numbers, ... articles.chicagotribune.com/.../sns-rt-usa-brokeragesmarketsha... | ||
| Symetra's Registered Investments Sales Team Expands with Three ... These seasoned sales consultants will represent Symetra True Variable Annuity SM with fee-only registered investment advisers and fee-based broker-dealer ... www.fortmilltimes.com/.../symetras-registered-investments.ht... |
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