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News Stories Archives - Since 1998
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16 Years In, an MA Fund Firm Joins the Rising ETF Tide
The folks at a faith-based SRI AM in Massachusetts are launching their first ETF...
MutualFundWire.com -
Monday, October 7, 2024
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AmericanTCS and Lincoln Team Up With a Utah RIA
The trio are building a new retirement plan product, which is expected to debut late this month...
401kWire.com -
Monday, October 7, 2024
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A $1.33T-AUM AM Builds an Advice Engine and Teams Up
A DC I-O chief unveils the asset manager's first two allies for a proprietary offering 18 months in the making...
401kWire.com -
Monday, October 7, 2024
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Near Boston, a TPA Vet Succeeds an Exiting KPA
The promotion comes two years after the rising FA joined this wealth management shop...
401kWire.com -
Monday, October 7, 2024
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Week In Preview, October 7 - October 13
This week, the teams at Advisor2X, Broadridge, DCIIA, EBRI, LeafHouse, P&I, PlanSponsor, Spark, SS&C, and WIPN will host events...
401kWire.com -
Monday, October 7, 2024
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Reader Rating: 5
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Week In Preview, October 7 - October 13
This week, the teams at Alger, BlackRock, BNY Mellon, Expect Miracles Foundation, ICI, J.P. Morgan, MFDF, WE, and WealthManagement.com will host events...
MutualFundWire.com -
Monday, October 7, 2024
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A $785MM-AUM Firm Uncorks a Third Fund
The move comes four years after the team debuted their first fund...
MutualFundWire.com -
Friday, October 7, 2022
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Alts In 401ks? Charlie Nelson Applauds a New Bill
Two U.S. Senators and a member of the House of Representatives proposed legislation related to the use of alternative investments inside of defined contribution plan menus...
401kWire.com -
Friday, October 7, 2022
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Reader Rating: 1
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TDFs Grow to 27 Percent of 401(k) Assets
New research underscores the continuing growth of the asset allocation products...
401kWire.com -
Friday, October 7, 2022
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At Least Three Real Estate IMs Are Prepping New DC Offerings, And ...
Nine real estate investment managers say they're considering developing DC offerings within the next two years...
401kWire.com -
Friday, October 7, 2022
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Why Acheson Added a Third Group 401k Arrow To IFP's Quiver
The KPA puts the partnerships in the context of broadening 401(k) coverage in the small business market...
401kWire.com -
Friday, October 7, 2022
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Long-Term Outflows Fall By $20B
The Refinitiv Lipper folks reveal the latest weekly U.S. fund flows data...
MutualFundWire.com -
Friday, October 7, 2022
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How Is RM Evolving?
Fundster chiefs and distribution leaders reflect on how the business is changing in light of the ongoing pandemic...
MutualFundWire.com -
Thursday, October 7, 2021
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QuickBooks Integrates With a Southwestern RKer
The firm's chief confirms that it is a 360-degree integration...
401kWire.com -
Thursday, October 7, 2021
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Reader Rating: 5
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Securian and Stadion Connect With a $132B-AUA Aggregator
The KPA-focused, PE-backed RIA is making another AMA alliance...
401kWire.com -
Thursday, October 7, 2021
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Brad Campbell Talks SECURE 2.0, Bipartisanship, and More
The former EBSA chief reflects on the big DC issues in D.C. these days...
401kWire.com -
Thursday, October 7, 2021
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Reader Rating: 5
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BlackRock and J.P. Morgan Win Big
A publication honors 21 U.S. ETF shops and 21 of their service providers...
MutualFundWire.com -
Thursday, October 7, 2021
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A Provider Makes Its Flagship SV DC I-O
The general account offering will be available to mid-size plans and up, for 401(k)s, 403(b)s, and 457s...
401kWire.com -
Thursday, October 7, 2021
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Reader Rating: 2
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A VanEck Vet Will Lead This ETF Ally
The exec takes over as president of a subadvisor based in the Southeast...
MutualFundWire.com -
Wednesday, October 7, 2020
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12 Years In, a Partner Rises at an OH TPA
He serves as director of retirement plan consulting and chief compliance officer...
401kWire.com -
Wednesday, October 7, 2020
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An Ex-RKer Chief Joins a Managed Account Specialist's Board
Another former asset manager leader also joined the firm's board...
401kWire.com -
Wednesday, October 7, 2020
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An Eight-Year Paychex Vet Joins an ETF Strategist
The new hire serves as vice president of retirement services at the firm...
401kWire.com -
Wednesday, October 7, 2020
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Reader Rating: 1
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A 1,000-Percent AUM Jump
A Connecticut shop crosses the $1-billion-AUM line...
MutualFundWire.com -
Wednesday, October 7, 2020
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TIAA Upgrades On Mobile
TIAA launches a new mobile service to promote positive savings behaviors..
401kWire.com -
Wednesday, October 7, 2020
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Reader Rating: 4.5
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Barse Teams Up With an Expanding ETF Startup
The former Third Avenue chief is leading a firm whose index is powering a new ETF...
MutualFundWire.com -
Monday, October 7, 2019
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Andreski Makes an ADP 316 Alliance
The payroll giant's retirement plan arm teams up with a recordkeeping TPA to offer a fiduciary service...
401kWire.com -
Monday, October 7, 2019
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Ameritas' Wilson Hires In Philly
The team at Nebraska-based Ameritas elects a VP of retirement sales...
401kWire.com -
Monday, October 7, 2019
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An $898MM-AUM RIA Gains a KPA
The team at this has added a director...
401kWire.com -
Monday, October 7, 2019
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Week In Preview, October 7-13
This week, the teams at Fund Intelligence and Tiburon are both holding events...
MutualFundWire.com -
Monday, October 7, 2019
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Week In Preview, October 7-13
This week, the teams at P&I, That401kSite.com, Tiburon, and WiPN are all hosting events...
401kWire.com -
Monday, October 7, 2019
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The Verdict Is In On F-Squared's Co-Founder
Yesterday in federal court, the jury delivered its decision in the three-year-old fraud case brought by the SEC against Howard Present...
MutualFundWire.com -
Saturday, October 7, 2017
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A Wells Fargo KPA Goes Indie
This 401(k) plan advisor at a wirehouse has officially gone independent!..
401kWire.com -
Friday, October 7, 2016
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Reader Rating: 2
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In SoCal, a Liquid Alts Vet Adopts His Way Back Into the Mutual Fund Biz
A startup takes over a five-year-old, five-star fund. Watch for them to do more deals...
MutualFundWire.com -
Friday, October 7, 2016
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Merrill Lynch's Retirement and WM Chief Switches Roles
The head of wealth management will take on another role ..
401kWire.com -
Friday, October 7, 2016
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Filings for Fundsters - October 7, 2016
A compilation of the latest SEC filings!..
MutualFundWire.com -
Friday, October 7, 2016
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Airbus DS Communications Issues Invite-only RFP
RFP is for a consultant only.....
401kWire.com -
Friday, October 7, 2016
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Reader Rating: 5
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Is This $8.91B Asset Management Deal Back On the Table?
Another multinational European financial giant is reportedly considering divesting from its multinational asset management arm. Meanwhile, the bidding goes up in UniCredit's Pioneer auction...
MutualFundWire.com -
Friday, October 7, 2016
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Russell Investments and Envestnet Partner Up
The partnership is aimed at personalizing plans for participants. ..
401kWire.com -
Friday, October 7, 2016
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A Former Charles Schwab Employee Joins A PA-Based Firm
Today, a Pennsylvania-based firm announced the hiring of a national sales manager for its retirement business...
401kWire.com -
Wednesday, October 7, 2015
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Reader Rating: 5
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Building Out Distro Is Now This $3.5B Fund Shop's Biggest Push
The chief of a Southwestern mutual fund shop talks about where he's expanding his team...
MutualFundWire.com -
Wednesday, October 7, 2015
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$1.7 Billion Plan Switches RKers
Energy company powers through a recordkeeper transition... ..
401kWire.com -
Wednesday, October 7, 2015
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Reader Rating: 5
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Supremes to Take On At Least Two ERISA Cases This Term
The Supreme Court is back in session... ..
401kWire.com -
Wednesday, October 7, 2015
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Northern Trust Swaps In a Pair of Mutual Fund Subadvisors
The two funds being tweaked have about $2.4 billion in combined AUM...
MutualFundWire.com -
Wednesday, October 7, 2015
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Fidelity Appoints 25-Year Veteran to Lead DC I-O Sales
401kWire has learned that Fidelity has appointed a new head of DC I-O sales...
401kWire.com -
Wednesday, October 7, 2015
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Reader Rating: 4.67
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Buy and Hold? Dead Right
Is being alive an investing disadvantage? An M* guru ponders...
MutualFundWire.com -
Wednesday, October 7, 2015
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Alerus Acquires a $2.1B New England RKer
The North Dakota-based bank just acquired a recordkeeper in the Northeast...
401kWire.com -
Tuesday, October 7, 2014
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Reader Rating: 4.6
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McCaughan Doubles Down on a Principal Funds Subadvisor
The asset management arm of the Midwestern insurance giant increases its stake in a growth equity shop...
MutualFundWire.com -
Tuesday, October 7, 2014
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Direxion's Sales Model Shifts As Rudman Hires
The mutual fund shop's sales chief hires four and searches for four more...
MutualFundWire.com -
Tuesday, October 7, 2014
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Reader Rating: 1
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Aspire's Kirtland Hires a Healthcare Tech Entrepreneur
A chief information officer joins the open architecture RKer...
401kWire.com -
Tuesday, October 7, 2014
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Reader Rating: 3.67
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What Keeps Bill McNabb Up At Night?
Vanguard passed $3 trillion in AUM last month, and Vanguard's chief was reelected last week as the ICI's chairman. In an interview with the WSJ, McNabb offers glimpses of his vision...
MutualFundWire.com -
Tuesday, October 7, 2014
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Who Will Take Over Benefits Administration at Mercer?
Ken Haderer moves up. Who will take his place at the consulting firm?..
401kWire.com -
Tuesday, October 7, 2014
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Reader Rating: 1.5
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A Hedge-like ETF Hits $500MM
A product purported to the the first hedge fund style ETF reaches an important milestone...
MutualFundWire.com -
Monday, October 7, 2013
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Fund Directors Group Launches Candidate Database
Having problems finding directors for your fund?..
MutualFundWire.com -
Monday, October 7, 2013
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John Hancock RS Mourns a Wholesaler
A beloved wholesaler has passed away unexpectedly. ..
401kWire.com -
Monday, October 7, 2013
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Reader Rating: 5
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Asset International Hires a New Editor
New hire will handle print and web content for PlanSponsor and PlanAdviser...
MutualFundWire.com -
Monday, October 7, 2013
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Schwab Makes a Ninth-Inning Delay on Its ETF 401k
Charles Schwab's ETF 401(k) offering has been delayed yet again in a saga that has been ongoing for over two years. ..
401kWire.com -
Monday, October 7, 2013
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Reader Rating: 4
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Berkowitz Goes to the Other Side
Is the grass greener in the hedge fund jungle?..
MutualFundWire.com -
Monday, October 7, 2013
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Benartzi and Allianz Illuminate the Retirement Trail
The asset manager continues its alliance with the behavioral finance guru as they ponder decumulation...
401kWire.com -
Monday, October 7, 2013
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American Beacon Unveils an Emerging Markets Product
EARNEST Partners will serve as subadvisor...
MutualFundWire.com -
Monday, October 7, 2013
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Reader Rating: 1
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Buck Moves Its DC Recordkeeping Biz Down Market
Buck Consultants is adding its name to the list of players in the mid- and large-market recordkeeping biz, 401kWire heard from the group's North American retirement practice leader. ..
401kWire.com -
Monday, October 7, 2013
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Reader Rating: 5
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Schwab Extends Delay on an ETF Platform
The platform, aimed at 401(k) plans, has been in the works for over three years, reports IndexUniverse..
MutualFundWire.com -
Monday, October 7, 2013
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The Doors of an Oakmark Fund Are Shut
Fund will stay open to all retirement plans and certain intermediaries...
MutualFundWire.com -
Monday, October 7, 2013
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A Mutual Fund Reporter Moves On
Dan Jamieson, a former senior reporter at InvestmentNews, is moving on to become an editor-at-large at another publication...
MutualFundWire.com -
Monday, October 7, 2013
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Wagner Warns of a 401k Inflection Point
The ERISA legal eagle takes the stage in the first keynote of CFDD 2013...
401kWire.com -
Monday, October 7, 2013
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Reader Rating: 4.67
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Gross and Fink Chat it Up at UCLA
The fund royals are both alums of the school...
MutualFundWire.com -
Monday, October 7, 2013
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Barron's Looks at Capital Group
Pub says that chairman James Rothenberg makes a case for active management...
MutualFundWire.com -
Monday, October 7, 2013
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Jaffe Pokes Fun at Stupid Fund Ideas, Twice
Columnist is on a tear mocking mutual fund madness...
MutualFundWire.com -
Monday, October 7, 2013
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Bogle Speaks His Mind, Again, on ETFs
Saint Jack tells it like it is about ETFs and bond indexes, among other things...
MutualFundWire.com -
Monday, October 7, 2013
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Financial Times Agrees with MFWire Regarding JPMorgan
After MFWire broke a story about rumors of Dimon looking to sell, the Financial Times runs an Oped in support of the idea, and another story on what the firm will do with many of their funds...
MutualFundWire.com -
Monday, October 7, 2013
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CFDD Rounds up Nearly 1,000 in San Antonio
Phil Chiricotti brings advisors, providers and other 401k industry insiders back to the Southwest...
401kWire.com -
Monday, October 7, 2013
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Reader Rating: 1
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Seen & Heard at the MFWire 2011 Influencers' Summit
Bob Reynolds and Joe Mansueto take the stage in Beantown...
MutualFundWire.com -
Friday, October 7, 2011
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BlackRock Offers a Trio of Alternative Mutual Funds
They're geared at retail and high net-worth investors...
MutualFundWire.com -
Friday, October 7, 2011
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Seattle Concludes One RFP, Preps Another
It's looking for a new investment consultant...
401kWire.com -
Friday, October 7, 2011
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Aberdeen Takes Over a Pair of Funds
The U.S. arm of the Scottish asset manager wins over two mutual funds...
MutualFundWire.com -
Friday, October 7, 2011
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Diversified Adds Another Pair of Higher-Ed Wins
The plan provider is making some noise in the higher education space...
401kWire.com -
Friday, October 7, 2011
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Reader Rating: 2.5
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Forex Flak Fuels 401k Fuss for a DC I-O Parent
At least two law firms unveil investigations of a beleaguered financial giant's defined contribution plan...
401kWire.com -
Friday, October 7, 2011
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Reader Rating: 1
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Larry Fink Speaks Up for the Wall Street Protesters
BlackRock's chief worries that Americans are 'losing hope.'..
MutualFundWire.com -
Friday, October 7, 2011
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Franklin CEO Takes the Chairman's Seat at the ICI
Franklin CEO Greg Johnson is the new chairman of the ICI board...
MutualFundWire.com -
Friday, October 7, 2011
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Morningstar Names its Tech Chief
The Chicago firm appoints a Nielsen veteran as chief technology officer...
MutualFundWire.com -
Friday, October 7, 2011
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RidgeWorth Shifts Execs into New Roles
RidgeWorth quietly crowns a second CEO...
MutualFundWire.com -
Thursday, October 7, 2010
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Newkirk Offers a QDIA Notice Service
Newkirk's new service also supports QACA, EACA, AND ACA plan notices.
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401kWire.com -
Thursday, October 7, 2010
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A New Study Turns the Heat on Plan Sponsors
A EBRI/DCIIA study says simply having auto features available to participnats is not enough...
401kWire.com -
Thursday, October 7, 2010
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Reader Rating: 3
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Northern Trust Lands a $3 Billion Fund Family
The fund family's previous vendor was State Street...
MutualFundWire.com -
Thursday, October 7, 2010
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A Chitown Advisor Joins RPAG
A former NRP advisor also switches to a new B-D...
401kWire.com -
Thursday, October 7, 2010
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RPAG and Financial Telesis Lure a Midwestern NRP Shop
Two retirement plan advisors switch B-Ds and networks...
401kWire.com -
Thursday, October 7, 2010
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Vanguard Drops AllianceBernstein in Favor of Two Sub-advisors
In an attempt to bring back some of the U.S. Growth Fund's lost shine, Vanguard bid adieu to AllianceBernstein and welcomed two sub-advisors...
MutualFundWire.com -
Thursday, October 7, 2010
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Mutual of Omaha Takes Advisors to Boot Camp
The plan provider links up with Charlie Epstein's The 401k Coach Program...
401kWire.com -
Thursday, October 7, 2010
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Reader Rating: 5
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UNIFI Makes a Pair of Senior-Level Hires
The Lincoln, Nebraska firm has two new faces on its team...
401kWire.com -
Thursday, October 7, 2010
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Reader Rating: 5
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Hartford Names its 403b Chief
Don MacQuattie is now tasked with growing the insurer's nonprofit retirement market...
401kWire.com -
Thursday, October 7, 2010
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Vanguard Sets a Lower Bar
Not surprisingly, Vanguard's decision has attracted plenty of buzz and media coverage...
MutualFundWire.com -
Thursday, October 7, 2010
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S&P Names Mutual Fund Award Finalists
The Standard & Poor's has shortlisted a few mutual fund firms for its award program. ..
MutualFundWire.com -
Thursday, October 7, 2010
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'Flash Crash' PM Opens Up to WSJ
The Wall Street Journal puts the spotlight on the "flash crash" fund...
MutualFundWire.com -
Thursday, October 7, 2010
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As 401k Fees Make Headlines, Advisors Focus on Value
Fee compression drives DC intermediaries to focus on participant success in the wake of market turmoil...
401kWire.com -
Wednesday, October 7, 2009
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Reader Rating: 3
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ING Tweaks Pricing for Plans Under $1 Million
The plan provider rolls out a slew of initiatives for TPA partners...
401kWire.com -
Wednesday, October 7, 2009
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Asset Management Deal Value is Up, Volume Down in Q3
Jefferies & Co.'s financial institutions group releases data on global asset management M&A for the third quarter...
MutualFundWire.com -
Wednesday, October 7, 2009
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An Allianz Exec Discusses Retirement Income Efforts
Allianz' Bruce Wolfe updates RIIA conference attendees on the firm's efforts in the retirement income space...
401kWire.com -
Wednesday, October 7, 2009
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Salama Doubles Down on Tech
The New York Life retirement chief plans to nearly double his technology staff by the end of 2010...
401kWire.com -
Wednesday, October 7, 2009
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Reader Rating: 3
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Putnam Moves to Lure More RIA Business
The Boston fund firm has created an RIA-centric group and tapped a company veteran to run it...
MutualFundWire.com -
Wednesday, October 7, 2009
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Reader Rating: 5
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Franklin, MFS Score Distribution Deals
The two fund firms have secured spots on a no-transaction-fee mutual fund platform...
MutualFundWire.com -
Wednesday, October 7, 2009
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Vanguard Hangs a Warning Sign
The Valley Forge, Pennsylvania-based firm cautions investors not to get swept up in the market rally...
MutualFundWire.com -
Wednesday, October 7, 2009
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Reader Rating: 3
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Ruling on Mutual Fund Ads is Not Effective, Study Finds
A university research team has studied the effectiveness of two year old FINRA guidelines concerning mutual fund print ads...
MutualFundWire.com -
Wednesday, October 7, 2009
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For Consistent Savers, 401k Balances Shrunk 24 Percent in '08
The average 401k balance for those who consistently participated in the plan from 2003-2008 fell 24.3 percent last year, EBRI and ICI data show...
MutualFundWire.com -
Wednesday, October 7, 2009
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Reader Rating: 5
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Another Fund Company Opts for a Guarantee
With the deadline looming, another company signs on the dotted line...
MutualFundWire.com -
Tuesday, October 7, 2008
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JPMorgan Reportedly Had a Hand in Merrill's Demise
Did JPMorgan Chase push Merrill down the financial stairs that led to its demise?..
MutualFundWire.com -
Tuesday, October 7, 2008
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Witnesses Tell House Committee of 401k Trouble and Auto-IRAs
Fee disclosure, the DB-DC shift and several alternatives to 401ks all came up at the latest retirement-focused hearing before Congressman Miller and his colleagues...
401kWire.com -
Tuesday, October 7, 2008
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Reader Rating: 3
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DST Forms a New DC-Focused Subsidiary
The Kansas City-based firm creates a new unit that combines its TRAC technology with the administration and recordkeeping unit of Boston Financial...
401kWire.com -
Tuesday, October 7, 2008
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Barclays Absorbs Lehman's Foreign Exchange and Commodities Ops
Barclays just put the finishing touches on the integration of
Lehman Brothers' US foreign exchange and commodities businesses...
MutualFundWire.com -
Tuesday, October 7, 2008
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An Available Portfolio Manager Can Give Sales Teams an Edge
Keeping the lines of communication open when things get rough is important for portfolio managers...
MutualFundWire.com -
Tuesday, October 7, 2008
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Reader Rating: 4
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Nachmany Has Soothing News for Fund Execs
Avi Nachmany continued with his positive message Tuesday...
MutualFundWire.com -
Tuesday, October 7, 2008
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Reader Rating: 3
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Software Specialists Help Advisors Wise Up On Distribution
A West Coast-based firm unveils a new strategy for intermediaries working with retirees...
401kWire.com -
Tuesday, October 7, 2008
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Vanguard Opts into the Guarantee Program
Vanguard on Tuesday morning became the latest fund firm to sign up for the Treasury Department's guarantee program for money market funds.
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MutualFundWire.com -
Tuesday, October 7, 2008
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Lehman Wants to Fast-Track the Neuberger Sale
Lehman is pushing for a quick sale of its investemnt management unit...
MutualFundWire.com -
Tuesday, October 7, 2008
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Fixed-Income Fund Shops are First in Line for Bailout Mandate
Some fixed-income fund shops may have a chance to help manage the government bailout fund...
MutualFundWire.com -
Tuesday, October 7, 2008
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Atlanta Law Firm Files Arbitration Claim Against
Morgan Keegan
The law firm has filed an arbitration claim with FINRA's Office of Dispute Resolution against Morgan Keegan on behalf of investors who suffered losses in its bond funds...
MutualFundWire.com -
Tuesday, October 7, 2008
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Great-West Names New Wholesalers
UPDATED| The Colorado-based plan provider now has a total of 38 401k wholesalers and could end the year with as many as 48, according to a company executive...
401kWire.com -
Tuesday, October 7, 2008
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Reader Rating: 3.6
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Canadian Insurer Sells Off its Share in a Fund Company
Canada's fund industry is also seeing more M&A...
MutualFundWire.com -
Tuesday, October 7, 2008
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Neuberger Execs Get a Peek at the Retention Package
Court filing reveal some details of the offer...
MutualFundWire.com -
Tuesday, October 7, 2008
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Gross Wants the Fed to Do More
In Tuesday's WSJ Fund Track, David Benoit features snippets from Bill Gross' commentary on further action the Fed should be taking...
MutualFundWire.com -
Tuesday, October 7, 2008
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Nationwide Adds LifeCycle Portfolios to SMAs
Nationwide Financial has paired with Ibbotson Associates to develop a set of multi-style investment portfolios for advisors. The portfolios will be a part of the insurer's Best of America Advisory Services Program, the Nationwide's fee-based managed account platform...
MutualFundWire.com -
Friday, October 7, 2005
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Alger Returnee Departs Again
Teresa McRoberts has resigned from Fred Alger. The portfolio manager of the Alger Health Sciences Fund and co-manager of Alger Capital Appreciation Fund and Alger Socially Responsible Fund, said that she stepped down to pursue personal goals that she put on hold after the September 11, 2001 attacks...
MutualFundWire.com -
Friday, October 7, 2005
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Oberweiss Sees Opportunity in China
Oberweis Asset Management has launched a mutual fund to take advantage of opportunities in China. The China Opportunities Fund will invest in companies that do half their business in China and that are based in China, Hong Kong or Taiwan...
MutualFundWire.com -
Friday, October 7, 2005
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Two New Managers for Neuberger Fund
Neuberger Berman has new portfolio managers for its Income Opportunity fund. The two new managers -- Ann Benjamin and Thomas O'Reilly -- are taking over the junk bond (or high yield debt) portion of the funds portfolio.
..
MutualFundWire.com -
Friday, October 7, 2005
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Reader Rating: 4
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Morgan's Financial Empire Reunited?
There is talk on the street about a possible merger of JP Morgan and Morgan Stanley...
401kWire.com -
Friday, October 7, 2005
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Reader Rating: 4
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Morgan's Financial Empire Reunited?
There is talk on the street about a possible merger of JP Morgan and Morgan Stanley...
MutualFundWire.com -
Friday, October 7, 2005
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Schwab Big Winner at PSCA Awards
Which plan provider offers the tops in participant communications? The PSCA Signature Awards provide a clue...
401kWire.com -
Friday, October 7, 2005
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Reader Rating: 2
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Halliburton Re-Ups with State Street
State Street keeps a fifteen-year-old relationship with the oil services company...
401kWire.com -
Friday, October 7, 2005
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Plan Mixes 401k and Disability Insurance
Self-employed savers can now practice one-stop shopping by combining their solo-k and disability plans...
401kWire.com -
Friday, October 7, 2005
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NASD Gets in on the Action, Fines Sentinel Funds
The NASD is now also on the hunt for fund families that allow improper market-timing trades in their funds. On Thursday, the National Association of Securities Dealers (NASD) slapped Sentinel Financial Services of Montpelier, Vermont with a $700,000 for failing to prevent timing trades between October 2000 and October 2003.
..
MutualFundWire.com -
Thursday, October 7, 2004
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CDC IXIS Reorgs Businesses
Boston-based CDC IXIS Asset Management North America is combining legal, compliance, and fund administration functions within its Asset Management Services group with its sales and distribution unit from the company’s Advisors Group. The company's transfer agency, investor services and publishing unit will remain within Asset Management Services...
MutualFundWire.com -
Thursday, October 7, 2004
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Reader Rating: 1.5
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Nationwide Loses LA DC Plan
Incumbent Great-West and others will likely have another opportunity to bid for the contract...
401kWire.com -
Thursday, October 7, 2004
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US Bank Hires for its Central Region
The retirement plan provider lassos an executive from Pension Solutions to oversee a dozen regional offices.
..
401kWire.com -
Thursday, October 7, 2004
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Diversified Plans Webinars
The future is upon us. Plan participants will no longer have to wait for the next in-person seminar to educate themselves about retirement plans...
401kWire.com -
Thursday, October 7, 2004
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DC Plan Will Get Portion of Worldcom Settlement
The majority of the settlement will go to the defined benefit plans...
401kWire.com -
Thursday, October 7, 2004
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Reader Rating: 3
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Money Managers Ready Q3 Earnings
Earnings season has come around again. Several publicly-held money managers have already announced their release (and conference call) dates: BlackRock will announce on October 18, Amvescap on October 28, Federated Investors on October 29, and Eaton Vance on November 23...
MutualFundWire.com -
Thursday, October 7, 2004
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SEC Backs Off Redemption Fee Rule
The SEC is backing away from imposing mandatory redemption fees on shortly-held fund shares reports the WSJ. The proposal was designed to combat market timers who exploit short term pricing discrepancies in funds. As was with the case with the hard 4 p.m. close proposal, a large number of negative comments appear to have caused the SEC staff to take another look at the issue.
..
MutualFundWire.com -
Thursday, October 7, 2004
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Schwab Gives Charitable Tool to Advisors
The broker is letting advisors manage the assets in donor-advised funds...
MutualFundWire.com -
Tuesday, October 7, 2003
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Bisys Names BizDev VP for Private Equity
The business development vice president will play a key role in growing the division says Bisys...
MutualFundWire.com -
Tuesday, October 7, 2003
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Banco Popular Focusing on Advisors
The Puerto Rican bank has tapped an ABN AMRO and LaSalle Bank vet to build advisor distribution...
401kWire.com -
Tuesday, October 7, 2003
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Publisher Wins $20 Million from Legg Mason
Jury decides the asset manager had been illegally distributing copies to 1,300 workers after only buying one subscription...
401kWire.com -
Tuesday, October 7, 2003
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Lord Abbett Emphasizes Low Cost
The provider has a new product for the small plan market. Message focuses on costs rather than features...
401kWire.com -
Tuesday, October 7, 2003
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Reader Rating: 4
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Fidelity Gets Subpoena
No signs of wrongdoing by Fidelity though. Frankin Resources gets one too...
MutualFundWire.com -
Tuesday, October 7, 2003
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BofA Brings in Big Guns
The firm has hired a trio of outsiders to set things right in its fund group...
MutualFundWire.com -
Tuesday, October 7, 2003
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Reader Rating: 4
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Seeger Out at STC
The Security Trust CEO resigned over the weekend. Firm names interim chief...
401kWire.com -
Tuesday, October 7, 2003
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Reader Rating: 3.67
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McDonald Picks Placemark for Next Generation Service
New service combines flexibility and rapid deployment with unique tax optimization capabilities...
MutualFundWire.com -
Monday, October 7, 2002
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GoldK Continues Cutting
The venture-backed firm has given control over one TPA back to its founders, consolidated service sites and sliced its sales and marketing staff.
..
401kWire.com -
Monday, October 7, 2002
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Reader Rating: 4
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One In, One Out
Transamerica RS has a new advice vendor. The service is a free add-on feature intended for small plan sponsors...
401kWire.com -
Monday, October 7, 2002
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TIAA-CREF Names New Chairman and CEO
A former Merrill Lynch president to debut November 1 at the helm of the group of companies...
MutualFundWire.com -
Monday, October 7, 2002
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Diamond Hill Rolls Out Sixth Fund
The Ohio firm launches second bond fund under Kent Rinker, as stock mutual funds continue to suffer...
MutualFundWire.com -
Monday, October 7, 2002
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Web Site is Retrofitted
A bank fund family overhauls its Web site and plots a course towards retail and institutional clients, and investment pros...
MutualFundWire.com -
Monday, October 7, 2002
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Merrill Confirms Sales Head Identity
The wirehouse has named its replacement for John Rowe...
401kWire.com -
Monday, October 7, 2002
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CNA Upgrades Web Tools
The new toolset is intended to bring data together for clients and partners of the recordkeeper...
401kWire.com -
Monday, October 7, 2002
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Portman-Cardin Go to Markup
Ways and Means is set to markup HR 5553 this evening...
401kWire.com -
Monday, October 7, 2002
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Seligman Team Additions
Seligman has created four new positions for its venture capital investments and small-cap teams...
MutualFundWire.com -
Thursday, October 7, 1999
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Reader Rating: 3
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Amex Plans Online Brokerage
American Express has announced the launch of its own Internet brokerage for later in the Fall, including access to over 2000 funds...
MutualFundWire.com -
Thursday, October 7, 1999
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Reader Rating: 3
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Fund Company Hires New Educator
JP Morgan|American Century will develop new participant education materials with the help of a new hire from Watson Wyatt...
401kWire.com -
Thursday, October 7, 1999
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Reader Rating: 3
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What's PowerStreet?
Catch the ads for PowerStreet recently? Fidelity's throwing money to build a new brand for its brokerage business...
MutualFundWire.com -
Thursday, October 7, 1999
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Reader Rating: 3
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Odd Lots, October 7, 1999
Schwab morphing into a traditional broker? ... Quarterly update of the SuperStars...
MutualFundWire.com -
Thursday, October 7, 1999
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Reader Rating: 3
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Ezier On The Web?
Is setting up a 401k plan easier on the Web? At least one TPA firm thinks that it is...
401kWire.com -
Thursday, October 7, 1999
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Reader Rating: 3
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Eastbridge Antes Into Retirement Consulting Game
Eastbridge Consulting is building a consulting practice specializing in the retirement industry. To head the practice the Avon, Connecticut-based consulting firm has hired Ronald L. Bush as vice president, retirement and investment practice.
..
401kWire.com -
Wednesday, October 7, 1998
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Reader Rating: 3
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KPMG Client Left Before the Sale
Port Washington, New York-located NPD Group, Inc. has changed its recordkeeper from KPMG Peat Marwick to J.P. Morgan/American Century this summer, according to an official with the sponsor. The official declined further comment. The conversion occured prior to the sale of KPMG's 401(k) business to Reliastar this month. According to the Judy Diamond Directory, 1998, the plan has over 400 participants and $7 million in assets...
401kWire.com -
Wednesday, October 7, 1998
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Reader Rating: 3
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What Participants Should be Looking For
The market goes up. The market goes down. Fed Chairman Alan Greenspan promises a interest rate cut. Then he doesn't. Then he goes through with it. But it's not as big as Wall Street wanted. Investors are upset. The market goes down. It goes down another day. It's back up, then down again. What's a 401(k) plan participant to do?..
401kWire.com -
Wednesday, October 7, 1998
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Reader Rating: 3
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American Airlines Taps State Street
Fort Worth, TX-based American Airlines is going with State Street Bank & Trust as Trustee for its 401(k) plan, according to a report in P&I Daily. State Street will also serve as Trustee for the airline's defined benefit plan...
401kWire.com -
Tuesday, October 7, 1997
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Reader Rating: 3
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