Displaying 31 results
Former broker tells cautionary tale about criminal past
SAN FRANCISCO — A former bad apple held the crowd captive at the Investment Management Consultants Association conference here last week.
Lack of continuity plan may put advisers at risk
NEW YORK — Business continuity management and planning were central themes of a presentation delivered at the third annual Gartner Financial Services Technology Summit here last week.
Promotion of young advisers stays slow
COLLEGEVILLE, Minn. — Despite the strong returns that the financial markets have been generating in recent years, few young financial advisers have been able to take advantage, said Philip Palaveev, a senior manager at Seattle-based Moss Adams LLP.
Regulate public alternatives firms as funds, panelists say
WASHINGTON — The Blackstone Group LP, the New York private-equity firm that underwent one of the largest initial public offerings in history last month, should be regulated as a mutual fund.
Get clients to invest outside Canada, advisers urged
TORONTO — Going global was the theme of the fifth annual Morningstar Canada Investment Conference held here this…
AEI event targets financial illiteracy
WASHINGTON — Few people are financially literate enough to cope with saving and investing for retirement, and the…
Disability insurers seek greater product awareness
NEW YORK — If the print media diverted some of its reporting resources from Paris Hilton’s incarceration to…
Ignoring risk is the ultimate risk, family-office professionals told
CHICAGO — Family-office professionals at the Family Office Forum here last week were warned about the dangers of not paying enough attention to the risks related to investments and governance.
M&A seen dominating life insurance industry
NEW YORK — Mergers and the battle to maintain market share will dominate the agendas of many life insurers over the next 12 to 18 months, according to analysts and company executives at a Standard & Poor’s insurance conference here last week.
SEC seen unlikely to rein in money fund business
NEW YORK — The Securities and Exchange Commission has more pressing matters then regulating the burgeoning cash business, in spite of the record growth experienced by money market funds, according to Richard Heitman, vice president and regional consultant at The Reserve in New York.
NAPFA plans an expanded fiduciary promotion
The National Association of Personal Financial Advisors plans to expand its year-old Focus on Fiduciary outreach program in an effort to differentiate its members from other advisers in the eyes of the public.
Indie broker-dealers see few RIA breakaways
Executives at independent firms say they haven’t been losing many brokers to the investment adviser platforms.
ICI chairman: 401(k) investors shouldn’t dwell on fees
WASHINGTON — If policy-makers examining the 401(k) system focus only on fees, they will be doing investors a…
Broker-rule decision, PPA called boons to advisers
CHICAGO — The Pension Protection Act of 2006 and the court decision overturning the broker-dealer exemption rule are…
Tax planning has role in asset allocation, expert says
CHICAGO — It often is the details that can help financial advisers manage their clients’ after-tax wealth, according…
Levitt urges one fiduciary rule for all players
PHOENIX — The broker-dealer exemption rule has been overturned, but investors still should be cautious, warned Arthur S.
Wealth experts give tips on client meetings
PHOENIX — The first few minutes of an initial meeting with a wealthy family can make or break…
Disability insurance taught — not sold
NEW YORK — Advisers and agents who are trying to sell disability insurance are going about it all wrong.
SRO merger called good deal for indies
BALTIMORE — The scheduled merger of the regulatory operations of NASD and the New York Stock Exchange offers an opportunity for independent-contractor broker-dealers, according to Douglas Shulman, the former’s vice chairman.
Putnam’s Haldeman gives mea culpa at Tiburon summit
SAN FRANCISCO — Charles “Ed” Haldeman Jr. has told his peers that he shares blame for the publicity fiasco that nearly sank Putnam Investments.
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