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regulatory radar
Hidden in Plain Sight?
What do the Department of Labor fee initiatives mean for advisers?
NYLIM’s Equity Investors Group Takes a New Stance
New York Life Investment Management (NYLIM) said its Equity Investors Group (EIG), will become Madison Square Investors LLC on January 1.
Putnam Announces Equity Restructuring
In order to boost the equity side of Putnam Investments, CEO Robert Reynolds said the firm will undergo several changes, including an elimination of staff positions, the merging...
CFP Clients Stick to Strategy
As economic turbulence has been on the rise, many financial planners say they are seeing an increase in potential clients.
Bank of America Seeks Capital
Bank of America announced its plans to raise capital by selling stock and slashing dividend payments, after reporting third quarter results of $1.18 billion, down from $3.7 billion...
UBS to Shrink Investment Bank
UBS announced 2,000 job cuts, but it appears that the wealth management unit is not in the line of fire.
Financial Firms Hone Message to Clients in Crisis
Amid the financial turmoil, financial advisers might be better off sending their own message to clients, rather than relying on financial firms.
Market Conditions Lead Some Advisers to More Equities
Despite the volatility and uncertainty in the markets, 29% of financial intermediaries are investing more in equity funds while only 24% are investing less, according to research from...
Prudential to Acquire MullinTBG
The Prudential Insurance Company of America has entered into an agreement to acquire MullinTBG Insurance Agency Services, LLC (MullinTBG).
PIMCO’s Thompson to Step Down
PIMCO Co-Chief Executive Bill Thompson will retire at year-end 2008, the company announced.
R Factor Index Helps Advisers Grow Business
R Factor, announced today by Robinson&Associates, Inc., uses a methodology to predict and capture future revenue.
Mellon Releaes Advanced Beta Strategy
Mellon Capital Management Corporation unveiled an Advanced Beta strategy that invests in a range of global asset classes to enhance performance regardless of the economic environment.
Lincoln Financial Advisers Appoints DiMonda for Ohio Growth
Lincoln Financial Advisors Corp. (LFA) said John R. DiMonda was named managing director for the North Central Ohio Regional Planning Group, effective immediately.
Ameriprise Names Froude President of U.S. Advisor Group
Ameriprise Financial, Inc. today announced the acquisition of H&R Block Financial Advisers and named Donald Froude the president of the U.S. Advisor Group.
Fifth Third Slapped with Stock-Drop Lawsuit
Fifth Third Bancorp has joined the ranks of plan sponsors hit with a participant stock-drop lawsuit.