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| Some advisers shun small ETFs, fearing closures MarketWatch Tom Lydon, president of Global Trends Investments, a registered investment adviser and ETF data tracker in Irvine, Calif., said advisers should give a new ETF time to gather some assets, and be aware of its average trading volume. When selling an ETF ... See all stories on this topic » | ||
| Heffernan Financial Services Hires Steve Epstein, Senior Vice President Sacramento Bee 17, 2012 -- /PRNewswire/ -- Heffernan Financial Services recently hired Steve Epstein to join its San Francisco office as Senior Vice President, Senior Portfolio Manager for Heffernan Investment Advisors, focusing on high net worth individuals ... See all stories on this topic » | ||
| 'Should I dump my financial adviser?' CNNMoney (Money magazine) -- My grandfather opened an account for me with an investment firm that emphasizes face-to-face personal service. I've recently realized, however, that I'm paying a lot in fees, but talk to my financial adviser maybe only once a year ... See all stories on this topic » | ||
| What I built — with government help Washington Post My business has been made possible by the Investment Company Act of 1940 and the Investment Advisers Act of 1940. These laws created practices and transparency that enabled a financial services industry to emerge. After the stock market collapse of ... See all stories on this topic » | ||
| Investment Management Legal + Regulatory Update -- August 2012 JD Supra (press release) Regulatory Updates: SEC Names Norm Champ as Director of Division of Investment Management; and, Advisers with $5 Billion AUM in Hedge Fund Assets to File First Form PFs by End of August. - Enforcement + Litigation: SEC Sues Fund Adviser for Illusory ... See all stories on this topic » | ||
| £1.1bn investment surge in fund of funds Financial Times Private investors are pouring money into funds marketed as a "one-stop shop" as they look to outsource decisions in difficult market conditions. But financial advisers warn these funds come at a premium price. Savers invested £1.1bn into so-called ... See all stories on this topic » | ||
| Indian Prime Minister warned of ratings downgrade risk by own advisers Business Recorder (blog) They urged the government to raise subsidised diesel prices and adopt measures to attract foreign investment, both of which would help ease pressure on the twin deficits and so help an economy that has shifted down several gears this year and the weak ... See all stories on this topic » |
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| Social Media Meets the Investment Advisers Act :: TabbFORUM ... Social media tends to be loose and chatty and that often flies in the face of the kind of precision that is warranted under SEC rules and regulations. www.tabbforum.com/.../social-media-meets-the-investment-ad... | ||
| Navigating the Regulatory Maze for Investment Advisors ... Investment adviser representatives must make amendments in a timely manner to their Form U4s when a material change occurs. Typically, this means filing an ... www.ria-compliance-consultants.com/.../investment-advisers-... | ||
| Registered Investment Advisers Are The Best ... - Articleonlinedirectory A financial adviser is a person who assists his clientele to maintain an optimal balance of investment, capital gains and acceptable level of risk through right ... www.articleonlinedirectory.com/.../registered-investment-advis... | ||
| Sebi to regulate investment advisers - insurancemagzine These 'investment advisers' would have to separately register themselves with Sebi and norms governing them have been framed after discussions with other ... www.insurancemagzine.com/.../sebi-to-regulate-investment-ad... | ||
| Brian J. Smart INVESTMENT ADVISERS ACT OF 1940. Release No. ... public administrative proceedings pursuant to Section 203(f) of the Investment Advisers Act of ... www.sec.gov/litigation/admin/2012/ia-3442.pdf | ||
| Financial advisors potentially subject to greater oversight | BenefitsPro The Investment Advisers Oversight Act of 2012 could see some serious changes ahead for the industry - but will more scrutiny be in the best interest of the ... www.benefitspro.com/.../financial-advisors-potentially-subject... |
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