Bloomberg

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Displaying 13045 results
ETFS SEP 20, 2007
William Henson hired as XShares' CEO

The firm, with $100 million in assets under management, focuses on introducing exchange traded funds.

RIA NEWS SEP 20, 2007
SEC helps move from fee-based accounts

The SEC has voted to give some non-discretionary advisory accounts limited relief from principal trading restrictions.

FINTECH SEP 20, 2007
DTCC unveils redesign

It aims to streamline the process of obtaining fund prospectus information while expanding its Mutual Fund Profile Service.

PRACTICE MANAGEMENT SEP 20, 2007
Cambridge's founder passes baton

Chief executive Eric Schwartz is handing the title of president to chief operations officer Amy Webber.

RIA NEWS SEP 20, 2007
NAPFA and Hueler offer retirement products

NAPFA has teamed up with the Hueler to launch a platform that allows fee-only planners to purchase institutionally priced annuities for their clients.

FIXED INCOME SEP 19, 2007
Court reverses FSA ruling

It’s the latest chapter in whether insurers can sue participants in a municipal bond transactions for securities fraud.

RIA NEWS SEP 19, 2007
Evergreen to pay $32.5 million

The registered investment adviser will pay $32.5 million to settle market-timing charges with the SEC.

ALTERNATIVES SEP 19, 2007
JPMorgan HFS to service FRM

FRM, a London-based global hedge fund manager, will transition its assets to JPMorgan Hedge Fund Services.

ALTERNATIVES SEP 19, 2007
Goldman to keep Alpha fund going

Goldman's Global Alpha managers sent a letter to investors saying they would keep the fund open.

ALTERNATIVES SEP 18, 2007
NovaStar sheds REIT stuff

NovaStar, the troubled residential lender, will give up its status as a real estate investment trust.