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| Register to act as investment adviser: Sebi Economic Times "In terms of the Investment adviser Regulations, no person shall act as an investment adviser unless he has obtained a certificate of registration from the Board or he is specifically exempt," Sebi ( Securities and Exchange Board of India) said in a ... See all stories on this topic » | ||
| Few RIAs Accept Finra Invitation Wall Street Journal Wall Street's self-regulator polices only brokers, while investment advisers are overseen directly by the Securities and Exchange Commission. Finra has been open about its interest in taking over that job, which the SEC admits it lacks the resources to ... See all stories on this topic » | ||
| SEBI will accept applications to register as Investment Advisers at all offices Cafemutual Filing of application for registration gets easier as all local and regional offices will accept the applications. SEBI has allowed filing application for registration as an investment adviser with the regional and local offices of SEBI under the ... See all stories on this topic » | ||
| SEC charges trader with front running Advisor.ca The SEC has announced fraud charges and an asset freeze against a trader at a Dallas-based investment advisory firm who improperly profited by placing his own trades before executing large block trades for firm clients that had strong potential to ... See all stories on this topic » | ||
| Stroock & Stroock & Lavan Opens Washington, DC Office Sacramento Bee "Bob Plaze is widely regarded as a key architect of many of the rules governing regulated investment advisers, investment companies and private fund advisers," said Stuart Coleman, who also heads Stroock's Investment Management group. "His work has ... See all stories on this topic » | ||
| Rockville Company, SEC Reach $300000 Settlement Patch.com In a settlement reached with the SEC, investment advisers Institutional Shareholder Services (ISS) agreed to pay $300,000 and must hire an independent compliance consultant, according to SEC records. The SEC claims the fraud occurred between 2007 ... See all stories on this topic » | ||
| Stroock, Paul Hastings, Simpson Thacher: Business of Law Businessweek Plaze, who has been at the SEC for 30 years, is one of eight corporate partners with principal responsibility for the representation of almost 800 mutual funds, closed-end funds, ETFs or business development companies as well as investment advisers, ... See all stories on this topic » | ||
| SEI portfolios gain £1bn over three years FT Adviser Mr Addison said: "The Strategic Portfolios are designed to enable advisers to achieve their clients' specific investment goals, while freeing them up to concentrate on financial planning and growing their businesses. "It is an approach we have found ... See all stories on this topic » | ||
| UK Investment Sales Will Increase as Advisers Adjust to RDR Actuarial Post Following the results of the recent Pridham Report on UK retail fund sales for the first quarter of 2013, Head of UK Wholesale at BNY Mellon Investment Management, Scott Goodsir, says that the lower level of sales across the industry may not be short ... See all stories on this topic » | ||
| London wealth manager hiring advisers for drawdown push FT Adviser Tideway Investment Partners is hiring advisers to help it break into the income drawdown market, as well as launching several new funds, its managing director has said. James Baxter said the London-based boutique was looking at the income drawdown ... See all stories on this topic » | ||
| SEC Announces June 5 Open Meeting to Release Money Fund Reforms Crane Data LLC ... The Commission will consider a recommendation to propose amendments to certain rules under the Investment Company Act that govern the operation of money market funds and related amendments to Form PF under the Investment Advisers Act. At times, ... See all stories on this topic » | ||
| SEC, DOL approach fiduciary standard from different angles LifeHealthPro In the release's introduction, the SEC states that it intends to use the comments and data it receives to inform its consideration of alternative standards of conduct for broker-dealers and investment advisors when providing personalized investment ... See all stories on this topic » | ||
| Advisers Look to Southeast Asia as China Lags Wall Street Journal ... that invest in emerging markets such as the Philippines and Thailand less of a bargain this year. But with slowing growth in China and lagging performance by the three other so-called BRICs–Brazil, Russia and India–advisers bullish on developing ... See all stories on this topic » | ||
| Breaking down the EIS myth FT Adviser Many advisers see investments that qualify for the enterprise investment scheme as complex, risky and lacking in transparency. They say it is only for sophisticated investors. But are they right? Maybe it is time to put some of these common ... See all stories on this topic » | ||
| Advisers shrug off proxy season in favor of cost, performance data InvestmentNews Mutual and exchange-traded funds, which have a combined $14.7 trillion in assets, held 28% of all outstanding stock as of the end of last year, according to the Investment Company Institute, making them one of the largest collective shareholders of ... See all stories on this topic » |
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| New SEC Identity Theft Red Flag Regulations Call Attention to ... It is probably fair to say most registered investment advisers, at least those below a certain size, did not pay a great deal of attention to the anti-identity theft, ... www.dinsmore.com/identity_theft_red_flag_regulations/ |
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