-
By Marlene Y. Satter |
October 13, 2011
This week in new hires, Michael A. Conley was named deputy general counsel in the SEC’s office of general counsel. Also, Scott L. Lummer was named CIO and head of Savant Investment Group’s new Santa Rosa office.
-
By John Sullivan, Advisorone |
June 15, 2011
In backing the Denver-based Janus, one of the largest mutual fund companies, the high court's 5-4 decision will mean few changes for the way big asset managers govern themselves.
-
By Knut A. Rostad |
January 24, 2011
In SEC rule-making to come, a call to adhere to the Advisers Act standard, as confirmed by the Supreme Court
-
By Joyce Hanson, AdvisorOne |
September 29, 2010
The Senate Judiciary Committee held a hearing on Tuesday examining the U.S. Supreme Court decision that vacated the conviction of former Enron executive Jeffrey Skilling.
-
By Ed McCarthy, CFP |
April 23, 2010
The court's decision has been seen as favorable for fund companies, although some observers believe it could lead to more lawsuits over fees and possibly lower fees.
-
By Kathleen McBride, AdvisorOne |
March 15, 2010
A group of American luminaries, including Nobel Laureates, top academics, economists and financial industry statespersons calls for the fiduciary standard in financial reforms.
-
By Robert F. Keane |
June 1, 2009
When I last wrote about climate change (March 2009, "Climate Change Opportunities"), it generated a number of negative responses from readers, including one e-mail which...
-
By Marlene Y. Satter |
May 1, 2008
This is a story about a threat to your clients of which you may not be aware, but that you can do something about. It...
-
By Staff Writer |
October 1, 2007
When this article was being written, the debate continued in Washington regarding the tax rate on carried interest. Today, it is taxed at the capital...
-
By Robert F. Keane |
March 30, 2007
federal appeals court has ruled in favor of the Financial Planning Association in its suit to overturn the SEC exemption from fiduciary responsibility for broker/dealer reps known as the "Merrill Lynch rule." In a statement following the ruling, the FPA characterized the decision as a victory for consumers and urged...
