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| SECZ licences more investment advisers NewsDay Chinamo said the new licensed securities investment advisers were FBC Bank Limited, Grant Thornton Camelsa Advisory (Private) Limited, KPMG Advisory (Private) Limited, NMB Bank Limited, Pricewaterhouse Coopers Business Services (Private) Limited ... See all stories on this topic » | ||
| Houston investment adviser's registration suspended for five years Houston Business Journal (blog) The Texas State Securities Board said it suspended for five years Jason Allen D'Amato's investment adviser representative registration. D'Amato allegedly sent a fabricated email to the Stanford Group that appeared to be from a Chartered Financial ... See all stories on this topic » | ||
| AllenbridgeEpic Taps Investment Veteran As Senior Advisor FINalternatives AllenbridgeEpic Investment Advisers, a leading investment adviser to UK pension funds, has added Steve Tyson as a senior adviser. Tyson has over 30 years of investment experience. His last full-time role was as chief investment officer and CEO of ... See all stories on this topic » | ||
| Adviser group tells SEC small investors would be hurt by fiduciary standard InvestmentNews The deadline for comment letters is July 5. The Dodd-Frank financial reform law gave the SEC the authority to require that anyone providing retail investment advice act in their clients' best interests, the fiduciary standard that investment advisers... See all stories on this topic » | ||
| Standard Life set to launch bespoke share classes FT Adviser Standard Life has said it is near to reaching agreements with 15 groups to launch bespoke share classes. The share classes offer advisers' clients access to preferential terms via Standard Life's platforms without any rebate mechanism or tax liability ... See all stories on this topic » | ||
| BusinessJournalism.org Reynolds Center for Business Journalism Reynolds Center Learn whether stockbrokers or investment advisers have run afoul of regulators or been the subject of customer complaints. This hands-on session – bring your laptop — will guide you, step-by-step, through the FINRA BrokerCheck database and the SEC's ... See all stories on this topic » | ||
| Templeton Global Income Fund ("GIM") Announces Dividend Wall Street Journal The Fund's investment manager, Franklin Advisers, Inc., is a wholly owned subsidiary of Franklin Resources, Inc. (NYSE: BEN), a global investment management organization operating as Franklin Templeton Investments. Franklin Templeton Investments ... See all stories on this topic » | ||
| Senior Financial Planners FT Adviser Providing private client and corporate financial planning solutions, the organisation was RDR ready in September 2012 and has invested heavily in systems and infrastructure which has increased the productivity of each adviser and the level of ... See all stories on this topic » | ||
| People Moves: SEC; Morgan Lewis & Bockius; DOJ; Rio Tinto Wall Street Journal (blog) Meanwhile, Julie M. Riewe and Marshall S. Sprung were named co-chiefs of the agency's division of enforcement's asset management unit, a national specialized unit that focuses on misconduct by investment advisers, investment companies, and private ... See all stories on this topic » | ||
| Finra hampered by rising compensation costs, stagnant revenue InvestmentNews "Finra continues to believe that the current levels of investment adviser oversight and examinations are unacceptable … and that this significant gap in investor protection needs to be addressed," spokeswoman Nancy Condon wrote in an e-mail.. She ... See all stories on this topic » | ||
| REIT Valuations Improve But Red Flags Seen Wall Street Journal Concerns about the Federal Reserve winding down its bond-buying program and a recent rise in yields have stripped real estate investment trusts of their lofty premiums. But some advisers say REITs now look attractive given their lower valuations, while ... See all stories on this topic » | ||
| Investors in suspended UAM fund told of plan to transfer assets International Adviser At the time of the suspension, the directors of the Mauritius domiciled fund who are from Guernsey based company, the Global Mutual Fund, also announced they had reomved the investment adviser, a Swiss based firm called United Asset Management ... See all stories on this topic » | ||
| Advisers'to focus more on clean share class funds' Compliancy Services The findings come after recent research from Fidelity Investment's FundsNetwork revealed financial advisers in the UK are eager to increase their use of model portfolios following RDR's introduction. Posted by Claire Robin ADNFCR-3006-ID-801607271- ... See all stories on this topic » |
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| Federal Register | Guggenheim Funds Investment Advisors, LLC, et ... The Current Adviser is registered as an investment adviser under the InvestmentAdvisers Act of 1940 (the "Advisers Act") and is the investment adviser to the ... https://www.federalregister.gov/.../guggenheim-funds-investm... |
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