Advisory

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  Guggenheim Launches Alternative Investment Platform

  By John Sullivan, AdvisorOne  |  November 14, 2012

  The platform enables advisors to build and implement customized hedge fund portfolios for clients.

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  EU Group Calls for Firewall on Risky Investment Banking

  By Marlene Y. Satter, AdvisorOne  |  October 2, 2012

  An EU advisory group said that the risks of investment banking should be separated from retail banking activities as a means of protecting depositors and taxpayers.

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  New York Regulator Threatens to Suspend Standard Chartered Over Iran Dealings

  By Marlene Y. Satter, AdvisorOne  |  August 7, 2012

  The New York Department of Financial Services has warned the British bank Standard Chartered that it could be suspended from doing business in the state over charges that it violated money-laundering laws in dealings with institutions in Iran that are subject to U.S. economic sanctions.

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  LPL Adds Strategies to Growing Fee-Based Models Platform, Lowers Minimums

  By James J. Green, AdvisorOne  |  July 11, 2012

  New strategies added to the platform include offerings from AlphaSimplex, J.P. Morgan Asset Management and Morningstar. LPL will also lower the account minimum to $25,000 from $100,000, Vice President John Moninger said.

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  New Hire Roundup: FASB's Herz Joins Board at Morgan Stanley

  By Marlene Y. Satter, AdvisorOne  |  July 5, 2012

  This week in new hires, Robert Herz elected to the board at Morgan; Dune Thorne joins Brown Advisory; SEC gets new head of investment advisor examination program.

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  New Hires Roundup: U.S. Bank Adds Steiger; CAIS Welcomes Stone, Promotes Cobon

  By Marlene Y. Satter, AdvisorOne  |  September 22, 2011

  This week in new hires, Heidi Steiger added to U.S. Bank’s wealth management business; Landon Stone went to CAIS, which also promoted Lachlan Cobon.

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  CFA Reverses on Advisor SRO, Frustrated Over Lack of SEC Funding

  By Melanie Waddell, AdvisorOne  |  July 14, 2011

  After the CFA reversed its opposition to an SRO for advisors, CFA's Barbara Roper tells AdvisorOne that FINRA 'is almost certain' to play some SRO role.