Subject Root Tag

VTL Associates, an independent investment advisory and consulting firm based in Philadelphia, has received an infusion of capital from Chinese venture capital firm, Suzhou Industrial Park Kaida Venture Capital.

Direxion has added another member to its sales team.

Salient Partners has made a new addition to its institutional sales team.

What will happen if 1994's sudden burst in interest rates repeats itself? That is the question being asked by industry overseers and by investors who want to protect their commitments to fixed-income investments after four years of historically low payouts. That year, interest rates on 10-year Treasury notes were hiked more than two points to nearly 8%. This jump slashed more than $600 billion from the value of U.S. bonds at a time when total market size…

Federal Reserve Chairman Ben Bernanke took a break from current economic woes and uncertainties Saturday, looked into the future and found reason for optimism.

Former three-term Republican U.S. Senator Judd Gregg, the Securities Industry and Financial Markets Association's new chief executive officer, said Monday that he wants to improve the image of the industry and make sure Dodd-Frank rules are focused and not overly burdensome.

Hackers backed by China's military appear to have resumed a campaign of cyberattacks on U.S. businesses. The targets, which in previous attacks included financial firms, are thought to remain the same.

Advisors have not done enough to prepare the majority of wealthy investors for long-term care costs and financial support for extended family, according to a study conducted by U.S. Trust, a unit of Bank of America.

What will happen if 1994's sudden burst in interest rates repeats itself?

FINRA has increasingly put more firms on notice that they should expect their branch office doorbells to ring more often. In the past two years, FINRA has changed its approach when conducting examinations, favoring branch office inspections in lieu of the home office visits that it used to emphasize, said Susan Axelrod, executive vice president of regulatory operations at FINRA, at the self-regulatory organization’s annual conference on Monday.

A great wealth transfer may indeed be looming, but advisory firm executives are still focusing their creative energy on their boomer (and older) clients.

SEC Commissioner Elisse Walter endorsed a uniform fiduciary standard for all investment pros … then invited her audience to fight industry fraud and abuse by becoming whistleblowers

Here’s a sampling of bank reps who were recently promoted or moved to new organizations to assume roles of greater responsibility.

Bank advisors producing $120,000 in revenue had an average payout of 20% last year; those producing more than $2 million averaged 41%.

Federated Investors has decided to liquidate the Federated Alabama Municipal Cash Trust (ALMXX).

The Securities Industry and Financial Markets Association named former New Hampshire governor and U.S. senator Judd A. Gregg as its next chief executive officer.

Altegris is broadening its Altegris Macro Strategy Fund (MCRAX, MCRCX, MCRIX, MCRNX) by allocating the fund’s assets to the global macro strategies of 300 North Capital and Willowbridge Associates.

"I think to just look at numbers on Wall Street and say, 'It looks like it's struggling' -- it's contracting in a very healthy way," said fomer Morgan Stanly Executive Bob Auer. "It's almost like a big fat guy that is losing weight. To say, 'Oh, he's just not the same guy…' No -- he's getting healthier and better."

When it comes to global investing, clients and their advisors often have varied concerns. From home-country bias to political instability, here are their most pressing worries.

When it comes to global investing, clients and their advisors often have varied concerns. From home-country bias to political instability, here are their most pressing worries.