Subject Root Tag

As part of the service, SumRidge will offer RIAs and broker-dealers daily, weekly and monthly trading desk commentary in the fixed-income markets.

Asset management firm Curian Capital has added two new executives, Bill Thomas and Bret Young, to its distribution team.

On June 18, 2012, change is in the air for one of the world's oldest asset management fund shops.

Daniel J. Trolaro, a former planner and insurance agent from East Hanover, N.J., allegedly defrauded nine clients out of a total of $1.9 million, which he then used to gamble online, according to the New Jersey Office of the Attorney General.

On June 18, 2012, Morningstar, Inc. unveiled several appointments within its fund analyst research team.

Rene Nourse has established a new company, Urban Wealth Management, in El Segundo, Calif., that will use Concert Wealth Management for advisory services and Concert Advisor Services for back office support.

On June 18, 2012, Schroders appointed Tiffani Potesta, as Head of Advisory Sales within the US Key Accounts team, reporting to Erin Brenner, Head of Intermediary Key Accounts.

Advisors are more committed than ever to helping clients with their retirement income planning but they still face a host of challenges.

Marketing expert Marie Swift says financial advisors who find their voice and unleash their personal story will rise to new heights as they capture the attention and hearts of their audience and influence key decision-makers in their communities.

On June 18, 2012, Northern Trust named William J. Huber and Mark C. Gossett as co-heads of Global Foreign Exchange, effective July 2.

On June 18, 2012, middle market private equity shop LLR Partners has made an investment in Ultimus Fund Solutions, LLC, a Cincinnati, Ohio-based independent provider of fund accounting, administration, distribution, transfer agent and shareholder services to the mutual fund industry.

The Northern Light Fund Trust and certain members of its current and former trustees as well as an unnamed chief compliance officer have received a “Wells notice” from the U.S. Securities and Exchange Commission.

Want exposure to social media? There's an exchange-traded fund for that. How about airlines, hedge funds and frontier markets? There are ETFs for those too.

Jim Swanson, chief investment strategist at MFS Investment Management, shared his views on the muni market in 2012's second half, legislative issues affecting the market, overall volume and his prognosis on mutual fund flows and performance.

Members of the House Financial Services Committee have a chance Tuesday to pose tougher questions about the JPMorgan trading losses than their Senate counterparts did.

State regulators closed banks in Georgia, Florida and Tennessee on Friday, making June a busy month for failures.

Want exposure to social media? There's an exchange-traded fund for that. How about airlines, hedge funds and frontier markets? There are ETFs for those too.

On June 15, 2012, the Matthews Asia Dividend Investor Fund (MAPIX), a 5-star rated offering, also garnered Morningstar’s Gold rating this week.

On June 15, 2012, total money market mutual fund assets decreased by $10.68 billion to $2.554 trillion for the week ended Wednesday, June 13, according to the Investment Company Institute.

The Foreign Account Tax Compliance Act (FATCA) is likely to radically alter how asset managers conduct business on a global scale. With final regulations to be issued in July, financial institutions must then take immediate steps to prepare for this game-changing legislation or risk stiff fines.