Portfolio

Before embarking on first or next dance with the regulators, Jennifer Woods Burke, President of CompliGuide provides her thoughts on the top 7 ways that firms sabotage themselves.

Investors have stepped up their flight from mutual funds that invest in stocks.

PIMCO is currentlly crossing the T’s and dotting the I’s on its latest offering, the PIMCO Mortgage Opportunities Fund.

Three ING funds are bidding their subadvisor, Tradewinds Global Investors, adieu.

Investor confidence dropped slightly in the third quarter of 2012, according to the John Hancock Investor Sentiment Index, released Wednesday by John Hancock Financial Services.

Federated Investors is looking to take its fixed income prowess across the pond with the help of Bury Street Capital, a London-based investment marketing and distribution firm whose clients include leading global pension funds and wealth managers throughout Europe.

ImpactAssets, a nonprofit financial services company, introduced its annual database of fund managers who invest for maximum social, environmental and financial impact.

Based on conversations with more than 20,000 professionals, a new white paper proposes five natural starting places where planners can look for members of the 80 million-person-strong Generation Y, which will account for the next generation of financial planning clients.

Mutual fund executive John Mattera, of Fort Lauderdale, Fla., pleaded guilty this week to three criminal counts, including conspiracy, securities fraud and wire fraud, in connection to an $11 million scam involving the sale of non-existent private shares in companies such as Facebook (FB) and Groupon (GRPN).

Global wealth management firms engaged in 65 M&A deals from the beginning of 2011 to the end of the third quarter of 2012. During that time, $635 billion in assets under management changed hands.