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| SEC Announces Compliance Outreach Program Regional Seminars for ... Newsroom America Washington, D.C., July 16, 2013 — The Securities and Exchange Commission today announced the schedule for its upcoming Compliance Outreach Program regional seminars in several cities around the country for investment adviser and investment ... See all stories on this topic » | ||
| SEC's plan for adviser SRO has left the building, along with Walter InvestmentNews (blog) Within a matter of weeks, a new SEC will most likely be in place. That could mean a change in atmosphere for an issue important to investment advisers. Nominees for two Securities and Exchange Commission positions — Democrat Kara Stein and ... See all stories on this topic » | ||
| SEC Settles Enforcement Action with Trustees Regarding Investment Advisory... The National Law Review The Investment Company Act requires mutual fund directors to evaluate and approve a fund's contract with its investment adviser, and the fund must report to shareholders about the material factors considered by the directors in approving the contract. See all stories on this topic » | ||
| Advisers need patience to persuade women clients InvestmentNews Women are likely to meet with more advisers before choosing who they'll invest and plan with, said Ms. Kay, author of "The $14 Trillion Woman: Your Essential Guide to Engaging the Female Client." Women ask more questions than men and women want to ... See all stories on this topic » | ||
| Stand-alone reps at LPL stand to see big fee hike InvestmentNews It's the latest restructuring of compliance and oversight at LPL Financial, the largest independent-contractor broker-dealer with more than 13,000 registered representatives and registered investment advisers. The move — particularly a $4,800 fee ... See all stories on this topic » | ||
| BlackStone Enters Mutual Fund Biz MutualFundWire.com The product. managed by Blackstone Alternative Investment Advisors, will reportedly allocate assets among a variety of investment sub-advisers with experience managing non-traditional or "alternative" investment strategies. Blackstone may also manage a ... See all stories on this topic » | ||
| NZ flags adviser regulatory changes ifa The New Zealand government has issued a discussion paper seeking submissions on a number of possible regulatory changes including additional requirements for investment advisers. NZ commerce minister Craig Foss yesterday released the 28-page ... See all stories on this topic » | ||
| Financial advisers warn bond clients to brace for losses Reuters The downward spiral in the bond market, which for the past few decades had long been considered a safer, more conservative place to invest, has led to tough conversations with clients, according to more than a dozen veteran financial advisers... See all stories on this topic » | ||
| Blackstone's Hedge Fund Solutions Business Set to Launch an Open End, Daily ... Wall Street Journal The investment objective of the Fund is to seek capital appreciation by allocating assets among a variety of investment sub-advisers with experience managing non-traditional or "alternative" investment strategies. Blackstone may also manage a portion ... See all stories on this topic » | ||
| Hannant renews calls for regulatory fee review FT Adviser Mr Hannant said: "The drop in advisers since 2012 has been around a quarter. There are conflicting estimates for the number of investment advisers prior to RDR, but 41,000 seems right to us as this ties in with what we know about the numbers leaving ... See all stories on this topic » | ||
| FinecoBank launches service for asset protection and tax efficiency Investment Europe CoreUnit is meant to optimise the client's product selection process taking advantage of the online platform where clients can personally select products after receiving financial advisory services. Carlo Giausa (pictured), head of investment services ... See all stories on this topic » | ||
| Analysis: Let's talk about fees CANOE Investors must fully understand their costs so they can be confident in their investments and can make informed decisions. Without that openness, the industry will remain mired in distrust and there will forever be a disconnect between adviser and client. See all stories on this topic » | ||
| Voices: Michael Nathanson, on 'Enhanced' Open Architecture Wall Street Journal Michael Nathanson is chief executive of The Colony Group, a Boston-based wealth-advisory firm. The world is divided between firms that offer open architecture and firms that offer proprietary investment management. The open architecture firms purport ... See all stories on this topic » | ||
| 33 years—and counting MarketWatch CHAPEL HILL, N.C. (MarketWatch) — With this issue, the HFD completes a full 33 years of tracking the performance of investment advisers. Thanks for being part of this incredible history! One thing this history provides me, of course, is perspective. See all stories on this topic » | ||
| Blackstone Opens Mutual Fund For Individual Investors ValueWalk The Blackstone Group L.P. (NYSE:BX) explained that the investment objective of the mutual fund is to look for capital appreciation by allocating assets among different investment sub-advisers with experience in managing alternative investment strategies. See all stories on this topic » | ||
| MOVES-Barclays, Banco Santander, Stifel, AXA Art, William Blair Reuters Before joining Income Partners, Shen was head of sales and relationship management at Pyramis Global Advisors and head of institutional business, Greater China at Deutsche Asset Management. PRAMERICA INVESTMENT MANAGEMENT. The investment manager has ... See all stories on this topic » | ||
| Survey: One in Four on Wall Street Open to Insider Trading FRONTLINE The survey, conducted by the law firm Labaton Sucharow, gauged the attitudes of 250 traders, portfolio managers, investment bankers, hedge fund professionals, financial analysts, investment advisers, asset managers and stock brokers across dozens of ... See all stories on this topic » | ||
| Collins Capital expands team with new director HedgeWeek He most recently served as founder and president of Phoenician Capital, where he specialised in alternative investment consulting to RIA firms and institutional clients. He also has previously held prominent positions at investment consulting and ... See all stories on this topic » | ||
| John Hancock to go with Signator Investors name for broker-dealer InvestmentNews In a move to clarify the branding of its independent broker-dealer, John Hancock Financial Services will market its broker-dealer to advisers under its registered name, Signator Investors Inc. and relegate the John Hancock name to a secondary role. For ... See all stories on this topic » | ||
| Blackstone Names Managers for Mutual Fund Wall Street Journal (blog) Blackstone Group LP has lined up 11 hedge-fund managers, including Cerberus Capital Management LP and Two Sigma Advisers LLC to manage client money in its first mutual fund, according to registration documents filed Monday. The fund is part of a ... See all stories on this topic » | ||
| Charles Schwab profit misses estimates as expenses rise Reuters In addition, Schwab services $900.4 billion of assets from clients of independent investment advisers, up 14 percent from a year earlier. (Reporting by Jed Horowitz in New York; Additional reporting by Aman Shah in Bangalore; Editing by Leslie Adler) ... See all stories on this topic » | ||
| Whose side is your financial adviser on, anyway? The Guardian (blog) That includes certified financial planners and Registered Investment Advisors– usually known as RIAs. Their job description includes warning you away from any financial cliffs. Unfortunately, these people are a small part of the financial advice world ... See all stories on this topic » | ||
| Households,Corporations and Banks are Hoarding $14 Trillion Cash Forbes Households have $9.15 trillion in cash, up from $7.5 trillion in 2007 if you add all their deposits together says Matt Lloyd, chief of investment strategy at Adviser's Asset Management of Monument, Colorado, which manages some $11 billion of unit ... See all stories on this topic » | ||
| National Credit Default Rates Hit a Post-Recession Low in June 2013 According ... MarketWatch S&P Dow Jones Indices LLC is not an investment advisor, and S&P Dow Jones Indices and its third party licensors make no representation regarding the advisability of investing in any such investment fund or other vehicle. A decision to invest in any ... See all stories on this topic » | ||
| European equities: Time for domestically focused firms , says Franklin Mutual ... Investment Europe As Europe's actions toward addressing its sovereign debt crisis evolve, so may the investment opportunities within the region. Politicians around Europe seem increasingly aware that austerity alone cannot solve the region's debt crisis and that a ... See all stories on this topic » | ||
| UPDATE 2-Charles Schwab profit misses estimates as expenses rise Reuters ... and Martinetto said that over time fee revenue should rise as the firm improves at selling its actively managed products. In addition, Schwab services $900.4 billion of assets from clients of independent investment advisers, up 14 percent from a ... See all stories on this topic » | ||
| Advisers warned of 'hefty fines' amid client assets overhaul FT Adviser Financial Adviser is the premier weekly financial services newspaper for UK based financial intermediaries. Investment Adviser· Publication image. An insightful weekly newspaper for investment professionals, delivering the highest quality of analysis. See all stories on this topic » | ||
| asia frontier capital in mbo of leopard capital International Adviser Asia Frontier Capital is a Cayman Islands-based fund manager, and is described as running one of the world's few investment funds solely focused on Asia's growing frontier economies. According to the company, Hugger's AFC Asia Frontier Fund has ... See all stories on this topic » |
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| SEC Announces Compliance Outreach Program Regional Seminars ... SEC Announces Compliance Outreach Program Regional Seminars for Investment Adviser and Investment Company Senior Officers. FOR IMMEDIATE ... www.sec.gov/news/press/2013/2013-127.htm | ||
| Signs of an Expert: GIPS Compliant Investment Advisers GIPS compliant investment advisers can be the sign of an expert. [Parlan's response article to the one written by the Paladin Registry.] blog.parlan.com/.../Signs-of-an-Expert-GIPS-Compliant-Inves... | ||
| 78 FR 42122 - Bridge Builder Trust and Olive Street Investment... 78 FR 42122 - Bridge Builder Trust and Olive Street Investment Advisers, LLC; ... Notice of an application under section 6(c) of the Investment Company Act of ... www.gpo.gov/fdsys/granule/FR-2013.../content-detail.html |
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