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- 5 Ways to Reform the Embattled SEC
- In the latest twist of the Bernie Madoff story, the House Financial Services Committee will question Securities & Exchange Commission officials Jan. 5 about how they missed Madoff's huge pyramid scheme despite evidence of wrong-doing dating back more than a decade. This is just another shoe to...
- Blog posts 2009-01-05
Additional Resources
- Investment Counsel Association of America Changes Name to Investment Adviser Association; New Name Reflects Mission of Serving Business and Regulatory Needs of Investment Adviser Firms
- WASHINGTON -- The Investment Counsel Association of America ICAA today announced that its members have voted to change the name of the 68-year-old organization to the Investment Adviser Association effective immediately. Additionally, the Association introduced a new logo and look to reflect the new name. Since 1937, the Investment...
- Research articles 2005-04-19
- SEC Proposes Modernization Of Investment Adviser Custody Rule
- During the course of recent investment adviser inspections conducted by the Securities and Exchange Commission ("SEC"), managers of private investment funds have been queried on methods used to price illiquid positions in a fund's portfolio. Examiners hav During the course of recent investment adviser inspections...
- Research articles 2002-10-18
- Value for money principles drive market in Europe; Investment Adviser editor Dewi John chaired a roundtable of experts: Deborah Fuhr, executive director of global ETFs research at market maker Morgan Stanley, Adam Seccombe, director of sales and marketing
- Investment Adviser: What are the benefits of exchange traded funds? Investment Adviser: What are the benefits of exchange traded funds?
- Research articles 2003-04-07
- Atrium Group appoints Ernst & Young as strategic investment adviser.
- M2 PRESSWIRE-28 March 2001-ERNST & YOUNG: Atrium Group appoints Ernst & Young as strategic investment adviser C1994-2001 M2 COMMUNICATIONS LTD RDATE:28032001 Atrium Group Limited, an established provider of video and network corporate solutions, has appointed Ernst & Young as its...
- Research articles 2001-03-28
- Cash settlement and note from investment adviser are qualifying RIC income.(regulated investment company)
- In Letter Ruling 200739010, the Service ruled that a regulated investment company's (RIC's) receipt of cash and a note from its investment adviser IA are qualifying income under Sec. 851b(2). Further, although the note caused a Sec. 851b(3) asset-test failure, the IRS ruled that satisfaction of...
- Research articles 2008-01-01
- Morgan Stanley Investment Management Hires Portfolio Managers of 1838 International Equity Fund and Becomes Interim Investment Adviser to the Fund
- NEW YORK -- Morgan Stanley (NYSE: MWD) announced today that its Investment Management division MSIM has hired Hans van den Berg and David Sugimoto, portfolio managers of the 1838 International Equity Fund INTEX, an international growth fund. In addition, MSIM has become the interim investment adviser to the Fund.
- Research articles 2005-07-28
- FrontLine Compliance President to Explain Advertising Missteps at ALI-ABA Investment Adviser Regulation Event
- Former SEC and FINRA Regulator to Speak on Advertising/Marketing and Referral Relationships ALEXANDRIA, Va. -- Amy Lynch, President and founder of FrontLine Compliance, LLC will seek to enlighten her audience at the upcoming 14th Annual ALI-ABA Investment Adviser Advanced Course and Webcast on January 24-25, 2008, at Fordham Law...
- Research articles 2008-01-22
- The European Warrant Fund Inc. Investment Adviser To End Fee Waiver
- NEW YORK--BUSINESS WIRE--Sept. 26, 1995--The European Warrant Fund Inc. (NYSE: EWF), a closed-end investment company, announced today that its investment adviser will discontinue waiving a portion of the advisory fees paid by the Fund.Effective Oct. 1, 1995, Julius Baer Securities Inc. will retain the full amount of the advisory fees...
- Research articles 1995-09-26
- California Department of Corporations Yanks Certificate from Investment Adviser for Defrauding Millions from Korean Citizens
- Business Editors LOS ANGELES--BUSINESS WIRE--May 27, 2004 Securities and Exchange Commission Files Emergency Action in Federal Court to Freeze Company's Assets -- FBI Executes Search Warrant of Los Angeles-based Offices The Department of Corporations revoked the investment adviser certificate of C+ Capital Management, LLC for...
- Research articles 2004-05-27
- Investment adviser is arrested on fraud charge
- HOUSTON AP -- A Southern California investment adviser suspected of stealing hundreds of millions of dollars from thousands of clients across the country was arrested Thursday at a Houston motel. James Paul Lewis Jr., 57, had arrived at the motel in a Mercedes and was taken into custody...
- Research articles 2004-01-23
- Safety first on the market.(investment adviser Stuart Smith urges investments in bank stocks)
- Apr 25, 2005 (The Courier-Mail - ABIX via COMTEX) Analysts say banks and stocks paying large dividends will help investors endure the current volatility of the sharemarket in Australia. Bell Potter Securities senior investment adviser, Stuart Smith, warned against new investments in retailers Coles...
- Research articles 2005-04-25
- Subjex Is In The Process Of Registering As An SEC Investment Adviser, While Other Companies Release Interview On Internet, Sign Letter Of Intent, Close Acquisition, And Continue To Restructure.
- M2 PRESSWIRE-7 March 2007-Stockguru.com: Subjex Is In The Process Of Registering As An SEC Investment Adviser, While Other Companies Release Interview On Internet, Sign Letter Of Intent, Close Acquisition, And Continue To RestructureC1994-2007 M2 COMMUNICATIONS LTD RDATE:07032007 Dallas - StockGuru Mid-Morning...
- Research articles 2007-03-07
- Convicted Rhode Island Investment Adviser to Repay Some Embezzled Funds.
- By Zachary Block, Providence Journal, R.I. Knight Ridder/Tribune Business News Aug. 9--Todd LaScola, the flashy former investment adviser who was sentenced to eight years in prison in May for embezzling more than $6.4 million of his clients' money, must repay $1.3 million...
- Research articles 2001-08-09
- Lakewood, Colo., Investment Adviser, Firm Is Accused of Violating Regulations.
- By Tom McGhee, The Denver Post Knight Ridder/Tribune Business News Dec. 27--The Securities and Exchange Commission has accused a Lakewood investment adviser and his company of moving profitable stocks belonging to his clients into his own account. The SEC has asked an...
- Research articles 2001-12-27
- Wellesley, Mass., Investment Adviser Helps Clients Gain Access to Hedge Funds.
- By Beth Healy, The Boston Globe Knight Ridder/Tribune Business News Feb. 13--Eric Kobren has a new spin on his longtime business of placing wealthy clients in Fidelity Investments mutual funds. Now he's helping them gain access to hedge funds run by Fidelity defectors. ...
- Research articles 2002-02-13
- California Investment Adviser Al Frank Dies.
- By James B. Kelleher, The Orange County Register, Calif. Knight Ridder/Tribune Business News Apr. 27--Al Frank, the bargain-hunting investment adviser who used Orange County as his base of operations, died of cancer Thursday in Carmel at age 72. Born in Iowa...
- Research articles 2002-04-27
- Providence, R.I., Investment Adviser Barred from Trading.
- Knight Ridder/Tribune Business News Oct. 2 -- PROVIDENCE, R.I. -- Todd J. LaScola, the Providence investment adviser accused of diverting more than $6 million in investors' money, has been fined $25,000 and barred from working in the securities business. The National...
- Research articles 1999-10-01
- California Department of Corporations Files Fraud Charges Against Unlicensed Investment Adviser in Costa Mesa; Senior Citizens Commonly Received a Free Lunch at Seminars
- SACRAMENTO, Calif. -- The California Department of Corporations DOC announced that it has charged Steven Arthur Scott of Costa Mesa, doing business as Benchmark Financial Services, with fraudulently operating as an investment adviser. Scott made recommendations to some 40 clients, primarily seniors, who invested $15 million in mutual funds. Benchmark...
- Research articles 2006-06-23
- Seymour, Wis., Investment Adviser Builds from Ground up.
- By MaryBeth Matzek, The Post-Crescent, Appleton, Wis. Knight Ridder/Tribune Business News Mar. 5--SEYMOUR, Wis.--It's not an easy time to be an investment adviser. The stock market's recent rocky road means financial consultants don't always have good news to share with...
- Research articles 2003-03-05
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