asset management

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  SEC Comings and Goings: Canellos, Ceresney Named Co-Heads of Enforcement

  By Melanie Waddell, AdvisorOne  |  April 22, 2013

  SEC Chairwoman Mary Jo White has named her former colleague Andrew Ceresney and acting enforcement director George Canellos co-directors of the enforcement division.

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  New Hire Roundup: U.S. Bank Wealth Management Welcomes Mook

  By Marlene Y. Satter, AdvisorOne  |  March 6, 2013

  This week in new hires, David Mook joined U.S. Bank Wealth Management, and Sterne Agee welcomed Robert Mohs to its Chicago office.

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  Concidence? Big ETF News Accompanies Big ETF Conference

  By James J. Green, AdvisorOne  |  February 13, 2013

  The week has brought launches of ETPs on the Singapore dollar, BDCs and infrastructure, along with Schwab’s commission-free platform.

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  New Hire Roundup: Caiazzo Chairs SIFMA’s Clearing Firms Committee

  By Marlene Y. Satter, AdvisorOne  |  January 23, 2013

  Christian Sulger-Büel became managing director of FOX International, and Bill Mitchell was named senior portfolio manager at WHM Capital Advisors.

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  SEC’s Top Cop, Khuzami, to Leave

  By Melanie Waddell, AdvisorOne  |  January 9, 2013

  The SEC’s top cop, Robert Khuzami, plans to leave the agency later this month after four years as its enforcement director, the SEC announced Wednesday.

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  Sen. Harkin: Fiscal ‘Slope’ Hiding ‘Retirement Deficit’ Crisis

  By Melanie Waddell, AdvisorOne  |  December 6, 2012

  Sen. Tom Harkin, chairman of the Senate HELP Committee, said Thursday that he was confident lawmakers “would address it," and that Congress “may vote on a debt limit extension" on Thursday afternoon.

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  Alternatives on the March: Bringing Private Vehicles to Public Space

  By John Sullivan, AdvisorOne  |  November 20, 2012

  The founders of CAIS saw the opportunity in the move to independence. They’re capitalizing on it with the first global alternative investment platform for advisors.

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  London Could Lose Out Over Eurozone Banking Union

  By Marlene Y. Satter, AdvisorOne  |  November 1, 2012

  Opposition to an EU budget freeze and to Britain’s joining a eurozone banking union could cost the City of London its position at the top of the world’s financial centers.

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  New Hire Roundup: Wedbush Private Client Services Group Adds Wright

  By Marlene Y. Satter, AdvisorOne  |  October 31, 2012

  Also this week in new hires, Lance Losey and Mary Welk joined Ascent Private Capital Management and Michael Millman joined The Private Client Reserve in San Francisco.

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  For Advisors and Their Clients, Does It Matter Who’s President?

  By Bob Clark, AdvisorOne  |  September 12, 2012

  A look back at the last five presidents and their policies' effects on advisors and their clients, with implications for Obama-Romney.