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As equity funds across different regions, capitalizations and investment styles plummeted between -15% and -26% in the third quarter, publicly traded asset managers were hit with an average 8.9% decline in fee-earning assets under management, Moody’s said Thursday. U.S. small-cap stock and emerging markets indices suffered the sharpest losses.

The Securities and Exchange Commission announced Thursday that it is accepting registrations for its next national seminar for chief compliance officers and other senior investment management executives.

Financial advisors looking to save costs, improve productivity and meet compliance standards recognize the importance of an effective document management application that goes above beyond Adobe Acrobat – but thus far the options remain fairly limited.

Whether you're a sophisticated early adopter or a newbie to all the latest technology available to you and your firm, these stories should bring you up to speed about everything any financial advisor or firm needs to know about information technology to improve productivity and increase assets under management.

Walmart, the world’s largest private employer, and Merrill Lynch, without admitting to wrongdoing, have agreed to pay $13.5 million in a class-action lawsuit accusing them of breaching their fiduciary duty to 2 million past and present Walmart workers. The suit was settled in Kansas City federal court.

The Principal has launched the Dreamcatcher mobile application for iPhones, a companion to the Dreamcatcher web tool. This is part of Principal’s “Dream Again with The Principal” financial educational campaign aimed at helping people envision their financial goals and putting them into clear focus.

Your clients can have homeowners' insurance that monitors for leaks or fires - and even file claims on their behalf.

When planners help clients manage their wealth, it is important to help them recognize the deep emotional sources of philanthropy.

SIFMA spent $3.96 million on lobbying during the first three quarters of 2011, slightly outpacing its efforts for the same periods in 2008 and 2009, according to reports filed with the clerk of the U.S. House that contain information for both houses of Congress.

In 2012, the U.S. life and annuity insurance industry will be challenged to find ways to manage both capital and risk in an economically and politically uncertain year, while continuing to lay the groundwork for future growth, according to Ernst & Young's new Global Insurance Center U.S. Outlook report.