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| FCA demands more information about advisers FT Adviser Reporting rules that took effect on 31 December 2012 require advisory firms to provide the FCA with information on complaints about matters relating to the retail investment activities carried out by its retail investment advisers. The rules required a ... See all stories on this topic » | ||
| SIFMA to SEC: Fiduciary rule would cost a TON InvestmentNews Another seven firms estimated that if brokers were to adopt disclosure forms similar to those that investment advisers use at the beginning of a client relationship, it would cost about $3 million per firm annually. COST-BENEFIT ANALYSIS. The SIFMA ... See all stories on this topic » | ||
| Proxy Advisers Recommend First Manhattan's Nominees to Vivus Board Wall Street Journal Dissident Vivus Inc. (VVUS) shareholder First Manhattan Co. said a pair of proxy-advisory firms have recommended Vivus shareholders vote for at least some of the investment-advisory firm's slate of candidates for the biopharmaceutical company's board. See all stories on this topic » | ||
| Conduct Standards For Brokers, Advisors Remain in Study Millionaire Corner "This request for information will help us in our ongoing consideration of alternative standards of conduct for certain broker-dealers and investment advisers, as well as potential harmonization of other aspects of regulation in this area." The SEC's ... See all stories on this topic » | ||
| How to Compare Financial Advisers the Right Way TheStreet.com NEW YORK (AdviceIQ) -- Comparison-shopping is important before choosing a new refrigerator or lawn mower. It's even more essential before choosing an investment adviser. But don't believe you can compare investment returns, because you can't. See all stories on this topic » | ||
| Ban on referral payments FT Adviser The FCA will adjust the rules to ask for information to be provided to us on the basis of the wording 'complaints about matters relating to activities carried out by any one employee when acting as a retail investment adviser'. If the adjustments to ... See all stories on this topic » | ||
| Franklin Universal Trust Reports Asset Allocation Wall Street Journal SAN MATEO, CA--(Marketwired - Jul 5, 2013) - Franklin Universal Trust (NYSE: FT), a closed-end investment company managed by Franklin Advisers, Inc., today reported its portfolio composition, certain portfolio characteristics and NYSE closing price as ... See all stories on this topic » | ||
| Lighthouse rolls out Zurich retail platform FT Adviser The launch follows a support programme developed for Lighthouse during the first half of the year to assist advisers making the transition to a Retail Distribution Review-compliant model. Malcolm Streatfield, chief executive of Lighthouse Group, said ... See all stories on this topic » | ||
| Investing: take an interest in how much charges cost you The Guardian But because it is being phased in over three years, brokers and advisers are using two methods: the old one, which includes the provider and investment"platform" fees, or the new one, which strips these out, leaving only the fund manager's charges. See all stories on this topic » | ||
| Gary Crisci Receives Accredited Asset Managment Specialists Designation DigitalJournal.com "Financial advisors who are awarded the Accredited Asset Management Specialist designation are not only prepared to identify opportunities in investments but also in such areas as insurance*, tax-efficient investing**, retirement and estate planning ... See all stories on this topic » | ||
| Getting ready for Isle of Man RDR ifaonline.co.uk Advisers can do this through a UK RDR route or through the Isle of Man Alternative Assessment which has been specifically developed for senior professionals on the Isle of Man by the Chartered Institute for Securities and Investments. Advisers are ... See all stories on this topic » | ||
| 'Safer' Short-Term Bond Funds See Outflows Wall Street Journal Brian Goodstadt, an investment adviser at Paragon Capital Management in Denver, has a small position in the RiverPark Short Term High Yield Fund, which invests in short-term high-yield bonds and has an expense ratio of 1.25%, or $125 per $10,000 ... See all stories on this topic » | ||
| Legg Mason targets income with launch of US-focused fund International Adviser The Legg Mason Clearbridge Tactical Dividend Fund will aim to deliver a consistent level of income by investing in a range of sectors, with preference given to income producing equity securities. US-exposed high dividend stocks, energy-orientated ... See all stories on this topic » | ||
| A Game of Chicken at Dell as a Proxy Adviser's Report Looms New York Times (blog) As a shareholder vote on the proposed buyout of Dell Inc. approaches, its founder, Michael S. Dell, and the investment firm Silver Lake are standing firm, not raising their $24.4 billion offer. While they strongly believe that their bid of $13.65 a ... See all stories on this topic » | ||
| Weak startups lead mergers & acquisitions pros into crowdfunding Upstart The founder of the Alliance of Merger and Acquisition Advisers says his members have so much money to invest—and there are so few quality startups—that at next week's conference in Chicago they'll get involved in helping potential future clients with ... See all stories on this topic » | ||
| What to Do if a Fund Closes Wall Street Journal Whether a fund is about to be merged or closed, investors need to come up with a plan for how they will handle their investment and be prepared for the effect on their overall portfolio, say financial advisers and industry experts. When a fund shuts ... See all stories on this topic » | ||
| Paradigm launches MMR adviser tool FT Adviser Paradigm is offering advisers a planning tool as well as a template chart which brokers can use to devise their own strategies to ensure MMR readiness. Bob Hunt, chief executive of Paradigm Mortgage Services, said the tool is based on the best practice ... See all stories on this topic » |
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| David L. Maurice, M.Div., CFP ® , Carrier & Maurice Investment... adviser representative of my firm, Carrier & Maurice Investment. Advisors, a Tennessee ...Investment Advisers: I strongly support the Securities and Exchange. www.sec.gov/comments/4-606/4606-3110.pdf |
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