Displaying 138 results
Target date funds seen as a question of how rather than if
Target date funds are ripe for regulation — a conclusion made abundantly clear at a joint Department of Labor and Securities and Exchange Commission hearing this month dissecting these popular retirement funds.
SEC doesn’t need a defibrillator after all
At the beginning of the year, after it missed cues for seemingly everything from the massive Madoff Ponzi scheme to the credit crisis, the Securities and Exchange Commission was being written off as all but dead.
SEC hits rock bottom
Among six large government agencies, the Securities and Exchange Commission ranked dead last on the likeability scale with the public, with even the Internal Revenue Service coming in ahead.
Woodbury to pry into the finances of reps, spouses
Independent registered representatives and their spouses soon could face unprecedented scrutiny into their personal finances.
Financial advisers give suggestions for surviving an SEC audit in the post-Madoff era
The following edited transcript is from “Surviving an SEC audit after Madoff,” an InvestmentNews webcast held May 19
Mary Schapiro said to backtrack on third-party compliance audits
In what may be a reprieve for advisory firms, Securities and Exchange Commission Chairman Mary Schapiro seems to have backed off from an idea that would require some advisory firms to face third-party compliance procedure audits.
Managed account assets dropped 7% this year
Managed accounts industry assets fell by 7% during the first three months of the year to $1.2 trillion, according to the Money Management Institute in Washington.
Planners urge enforcer role for CFP Board
With regulation of the financial planning industry all but a certainty, a coalition of industry groups is cobbling together a proposal to make the Certified Financial Planner Board of Standards Inc. the rule setter and enforcer for the nation's hundreds of thousands of unregulated planners.
States pushing for authority over Reg D offerings
State securities regulators are asking Congress for expanded powers to review offerings of private securities.
SEC’s move toward curbing short selling sparks debate
The Securities and Exchange Commission's decision last week to take a closer look at restricting short selling was greeted with mixed reviews from financial advisers and money managers.
Feds wag finger at target date funds amid losses
Target date funds are coming under heavy scrutiny on Capitol Hill, with lawmakers and regulators working hand in hand to determine if these one-stop-shop retirement funds are in need of increased oversight — or perhaps even restrictions that would prevent them from investing too aggressively.
ING adviser sees U.S. export hike ahead
The United States is uniquely poised for a cycle of significant export growth, according to James Griffin Jr.
MMI evolving, chairman says
The Washington-based association is no longer just about separately managed accounts, said chairman Brian Jacobs.
MMI Honors Pioneers
Trade group recognizes four executives for contributions to the managed-money business.
More model portfolio managers
The number of asset managers participating in model portfolio programs has doubled over the past four years.
Lisa Langley named executive director
Ms. Langley was instrumental launching the association, which wraps up its second annual conference today.
Europe struggles to standardize rules
Focus was on the newly established Markets in Financial Investments Directive, known as MiFid.
MMI and FFIA to merge
The Money Management Institute and the Forum for Investor Advice will unite, the groups announced today.
