Scandal Scarred 10 Years On: Fund Directors Update Best-Practices Report
The report includes updated insight into fund governance and the advisory contract renewal process.
International Small Caps Are One Crazy Ride
Advisory Research Managing Director Jonathan Brodsky focuses on the small-cap international space. Is he crazy, off-balance, a masochist, maybe?
New Hire Roundup: Dubois and Wassmann Join LPL; Jenks Goes to Putnam; Adams to EBRI
This week in new hires, Dubois and Wassmann join LPL; Stephen Jenks went to Putnam Investments; Nevin Adams joined EBRI; Donald L. McDonald became CEO at Prime Advisors; HighTower brought in Ann Rieder; and Barclays added 6 new advisors.
SEC Chief Schapiro Talks About Market Structure, 'Flash Crash'
SEC Chair Mary Schapiro spoke about "Strengthening Our Equity Market Structure" to The Economic Club of New York on Tuesday, September 7.
Market Structure Is the Topic for SEC Speech
SEC Chair Mary L. Schapiro spoke about "Strengthening Our Equity Market Structure" to The Economic Club of New York on September 7.
Levitt and Donaldson Head Investor's Rights Task Force
A non-partisan task force composed of financial industry experts and co-chaired by two former SEC chairmen has been assembled to stress the "primacy of investor interest" in the expected regulatory reforms to the U.S. financial markets.
SEC Chairmen of Yore Speak
How can you fail to listen when six former SEC chairmen gather to talk about today's regulatory environment? During a roundtable discussion at SEC headquarters...
Five Years of Excellence
The IA 25 marks its fifth anniversary in 2007, and each year it gets harder to limit the number of influential people to just 25....
Suitability and competence remain advisor hallmarks
The capital market structure in the United States is the epitome of the two-edged sword: It's the most heavily regulated capital market in the world,...
SEC Must Reevaluate Mutual Fund Board Rule
On April 7, a Washington D.C. appeals court said that a 2004 rule requiring mutual fund boards to be independent must be reexamined by the Securities and Exchange Commission