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The "race for quality has no finish line. So technically it's more like a death march," according to the inspirational poster that Tamara K. Salmon, senior associate counsel at the Investment Company Institute, was reading at the outset of a session Tuesday at its Mutual Funds and Investment Management Conference on the biggest operational risks fund firms face.
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Peter Graham is the head of Product Development and Marketing at New York-based Mirae Asset Global Investments (USA), an arm of an Asian financial services firm that tries to provide investors in the United States with access to investments in emerging markets.
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PHOENIX - The Securities and Exchange Commission's Office of Compliance Inspections is increasingly bringing along representatives of the Division of Enforcement into its examinations of brokers and advisers.
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PHOENIX - Commissioner Elisse Walter told fund industry executives gathered here to re-engage with the Securities and Exchange Commission on a new round of reform of money market mutual funds - and end its "unconstructive disengagement'' on the subject
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New platform will offer perks like an automated money movement process, among other things, which is designed to enhance the client experience.
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A shift in American investor appetite towards investment outcome, as opposed to relative return, is changing their buying behavior, according to research published by Casey, Quirk & Associates and the eVestment Alliance.
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The U.S. brokerage arm of UBS shook up its leadership ranks on Friday, removing a layer of management under CEO Robert McCann and giving private wealth management head Jason Chandler a bigger role.
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Leslie Christian, former CEO, and CIO of Portland, Ore.based Portfolio 21 Investments, has left the firm.
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Bank of America Merrill Lynch is launching new defined contribution investment consulting services and financial advisor accreditation aimed at helping its corporate retirement plan sponsor clients manage fiduciary risk
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John Hancock has launched an ad campaign reaching out to financial advisors, focusing on the position of trust many enjoy with their clients.
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