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NEWS ARCHIVE
Stories Published Between 7/1/2005 And 10/1/2005
9/30/2005 Atkins Questions Hedge Fund Registration
9/30/2005 SEC Sends Bank of Hawaii Wells Notice
9/30/2005 Vanguard Grabs Gabinet from the SEC
9/30/2005 Fayez Sarofim Adds Subadvisory Mandate
9/29/2005 DTCC Taps Sales Leader
9/29/2005 OppFunds Offers International Fund of Its Funds
9/29/2005 Canadian Funds Adopt ProFunds Strategy
9/29/2005 Fidelity Reassigns Traders in SEC Probe
9/29/2005 Welsh Hands Over the Reins Oakmark
9/29/2005 Federated Offers S&P-Like Bond Fund
9/28/2005 SSgA Taps Barclays Vet to Boost ETF Sales
9/28/2005 Fido Matches Latest Schwab Fee Cuts
9/28/2005 Franklin Open to M&A in Canada
9/28/2005 Are You Missing The Big 401k Picture?
9/28/2005 Vanguard Extends a Helping Hand to Retirees
9/27/2005 Russell Woos Advisors With SMA Platform
9/27/2005 ProFunds Takes Bets Against Two Hot Sectors
9/27/2005 Schwab Joins FundsNet and Other Marts
9/27/2005 Ameriprise CEO Talks to the Press
9/27/2005 Media Adds to Mario's Headache
9/26/2005 Senators Intro Capital Gains Fix Bill
9/26/2005 Pioneer Wraps Up Amsouth Deal
9/26/2005 Nations Funds No More
9/26/2005 CPA Slams Funds for Proxy Votes
9/26/2005 Janus To Add Performance Fees
9/23/2005 SEC Hits Fido with Second Wells Notice
9/23/2005 Robison Takes Over at Van Kampen Funds
9/23/2005 Federated Completes Vintage Funds Deal
9/23/2005 Calvert Adds to Wolfsheimer’s Portfolio
9/23/2005 ICON Fills Legal Suite
9/23/2005 Mutual Fund Charity Honors John Dennis
9/23/2005 RiverSource Debut Set for Oct. 1
9/23/2005 Rydex Opens Hedge-Like Funds
9/23/2005 Vanguard Boots Subadvisor, Adds Fund
9/22/2005 Janus Adds to Institutional Sales Team
9/22/2005 What's a Soft Dollar Good For?
9/22/2005 New Fund Firm Eyes Target-Date Pie
9/22/2005 SEC Examines Citi's Dividend Policy
9/21/2005 Fund Closures Down, Openings Stabilize
9/21/2005 ING Waives Fees for Katrina-Hit
9/21/2005 Mellon Forms JV with German Money Manager
9/20/2005 SEC to Meet on Soft Dollar Issue
9/20/2005 Hancock to Go Retail with Lifestyle Funds
9/20/2005 Manager Swaps: Neuberger, AIM
9/20/2005 Dems Call for More Fund Oversight
9/20/2005 Aussie Bank Launches Infrastructure Fund
9/20/2005 Pru Broker Accepts Guilty Plea
9/19/2005 Ex-MLIM Exec Joins ING
9/19/2005 Hancock Launches Asset Allocation Funds
9/19/2005 Gastineau Makes Active ETF Bid
9/19/2005 Harbor Hires Wellington
9/16/2005 Eaton Vance Snaps up State Street Office
9/16/2005 Evergreen Hires Institutional Sales Execs
9/16/2005 WM Group Reduces Minimums
9/16/2005 Vanguard Revises Redemption Fees
9/16/2005 CSAM Cuts Money Fund Fees
9/16/2005 Mercurial Merrill
9/15/2005 Merrill Buys Boston Money Manager
9/15/2005 Fund Closings Triple After Rules Increase
9/15/2005 OppFunds Agrees to Revenue Sharing Settlement
9/15/2005 TIAA-CREF Could Lose MO
9/15/2005 Canadian Fund Sales Pro Banned
9/15/2005 Fido Opens Real Return Fund
9/15/2005 SEC O.K.s Putnam Payment Plan
9/15/2005 No Appeal for Chamber of Commerce
9/15/2005 MFS Sales Exec to Head Institutional Biz
9/15/2005 God Bless PowerShares
9/14/2005 Lord Abbett Bolsters Lifestyle Funds
9/14/2005 Fink Says BlackRock Remains a Buyer
9/14/2005 The Globe Sharpens its Axe
9/14/2005 Mack Dumps Merin
9/13/2005 ETF Provider Hires Two Execs
9/13/2005 A New Day is Dawning at TCW
9/13/2005 Gartmore Mulls IPO
9/13/2005 Oppenheimer Brings on Bond Team
9/13/2005 Citi Flips Legg Unit
9/12/2005 Gartmore Lands SMA Distribution
9/12/2005 Mellon Hires Institutional Head
9/12/2005 BlackRock Taps Fund Execs
9/12/2005 Domini Launches European SRI Fund
9/12/2005 Artisan Closes Mid Cap Fund
9/12/2005 Ex-AEFA Advisor Faces Prison Time
9/12/2005 Allianz Unit to Sell Funds
9/9/2005 Canadian Bank Eyes U.S. HNW Market
9/9/2005 SEC Provides Contact Info for Katrina-Hit RIAs
9/9/2005 Mellon Buys Other Half of Russell Joint Venture
9/9/2005 Amvescap Rises on New Deal Rumor
9/8/2005 JP Morgan Makes Main Street Bid
9/8/2005 New Engemann Targets HNW Investors with Funds
9/8/2005 Schwab Adds to Fund Lineup
9/8/2005 CSAM Hires Sales Head
9/8/2005 Fidelity Says Love Me Do
9/7/2005 Ameriprise Eyes Subadvisory Prize
9/7/2005 BlackRock Hires E&Y Partner as CFO
9/6/2005 Fees Continue Downward
9/6/2005 Federated Intros Fixed Income Fund
9/6/2005 Custodian Opens New York Office
9/6/2005 Closed-Enders Block Citi, Legg Deal
9/6/2005 Manager Swaps: Fidelity, CSAM
9/2/2005 Seeing Eye-to-Eye with the ICI
9/2/2005 Wachovia Signs Up for Fund Rules Service
9/2/2005 Little Known Funds Among Nation's Best
9/1/2005 Fidelity Tweaks Bond Index Fund
9/1/2005 AIG Hires Alternative Investment Exec
9/1/2005 TIAA-CREF’s Fee Hike Gets Rebuffed
9/1/2005 Calamos Equips Wholesalers
8/31/2005 Janus Debt Rating Near Junk
8/31/2005 State Street Prepares for ETF Comeback
8/31/2005 Dollar Costs of Indy Director Rules Not High
8/30/2005 STC Executives Plead Guilty
8/29/2005 IXIS Intros ETF Managed Account
8/29/2005 Allegiant Names International Subadvisor
8/29/2005 No More Dough for Janus Plaintiffs
8/29/2005 American Beacon Adds Subadvisors
8/29/2005 Putnam's Retail Head Honcho to Retire
8/26/2005 Head of Canada's Fund Industry Group Resigns Amid Probe
8/26/2005 Second Pru Broker Admits Crimes
8/26/2005 More Hedge Like Mutual Funds in the Offing
8/25/2005 Ex-Pru Wholesaler Joins Phoenix
8/25/2005 Bisys Probe Fallout Lands on Amsouth
8/25/2005 A "Private" SEC Letter Finds its Way into Litigation
8/25/2005 Amex Board O.K.'s Spin-Off
8/24/2005 Even Cheaper Trading for Fidelity?
8/24/2005 Fund Charity to Hold Wine Tasting Event
8/24/2005 Fifth Third Chooses SMA Administrator
8/23/2005 Phoenix Exec Joins Insurer
8/23/2005 Manager Swaps: Fidelity, American Century & John Hancock ...
8/23/2005 ICAP Shutters Fund
8/23/2005 One-Fund Shop Launches Another
8/22/2005 Fido Grows Institutional Biz
8/22/2005 Taking Fleites
8/22/2005 New Currency Fund Lands on OneSource
8/22/2005 Dreyfus Manager Leaps to Boston Firm
8/22/2005 Fund Firms Revise Redemption Fee Policies
8/22/2005 Mellon Eyes Stake in German Asset Manager
8/19/2005 Merrill's Gorman Takes Lead at Morgan
8/19/2005 Fund Servicer Branches out
8/18/2005 Asia Specialist Launches India Fund
8/18/2005 Managers Vie for Slots with Japan Post
8/18/2005 Ex-W&R Chief in Trouble with the Taxman
8/18/2005 Research Shop to Offer Investments
8/18/2005 Another Wholesaler Joins Phoenix
8/17/2005 Eaton Vance Meet Earnings Estimates
8/17/2005 ETF Providers Move into Microcaps
8/16/2005 Feds Give Nod to Citi, Legg Deal
8/16/2005 Fidelity Tweaks Spartan Funds
8/16/2005 Pru Names CEO at Institutional Manager
8/16/2005 UK Manager Eyes US Fund Market
8/15/2005 Merrill Fined for Prospectus Delivery
8/15/2005 JPMorgan Offers CCOs Help
8/15/2005 Fido Hires CIO, Plans to Add More
8/12/2005 Schwab Launches Ready-to-Go SMAs
8/12/2005 Cali Bank Hires Group Exec
8/12/2005 Wholesaler Joins Phoenix Funds
8/12/2005 Morgan Begins Firing Brokers
8/11/2005 Manager Swaps: Pru, OppenheimerFunds
8/11/2005 Appeals Court Stays Indy Rule
8/10/2005 Janus Wields the Axe
8/10/2005 Fee Adjustments Will Hit Putnam's Bottom Line
8/10/2005 NASD Warns BD Over Breakpoints
8/9/2005 PE Shop Acquires Fund Servicer
8/9/2005 E Trade Buys Fund Firm
8/9/2005 SEI Wins Fund Admin Contract
8/9/2005 ETF Providers Launch Specialized Funds
8/8/2005 Principal Sets up Chinese Fund Joint-Venture
8/8/2005 Beantown Firm Launches Absolute Return Fund
8/8/2005 Oppenheimer Plans Board Changes
8/8/2005 USAA Swaps Subadvisors
8/8/2005 Deal Time (At Last) for E Trade
8/8/2005 Fido Switches Managers
8/8/2005 Morningstar Explains Itself
8/5/2005 Fidelity Lets Off Marshall Funds After Error
8/5/2005 Utah 529 Settles With SEC
8/5/2005 DeSano Faces Civil Charges
8/4/2005 Super Mario Joins Blogger Ranks
8/4/2005 Van Kampen Covers More Funds with Redemption Fees
8/4/2005 Cohen & Steers' Earnings Disappoint, but AUM Jumps
8/3/2005 New Funds Seek to Mimic Hedges
8/3/2005 Cox Is In!
8/3/2005 Forward Notches Fees Down
8/3/2005 ProFunds Goes Short
8/2/2005 Phoenix Taps Subadvisors for New Funds
8/2/2005 Franklin Promotes Sales Execs
8/2/2005 Principal Adds Share Classes
8/2/2005 U.S. Bancorp Makes Sales Push
8/1/2005 Eaton Vance Buys Asset Manager
8/1/2005 Sun Life Explores Options for MFS
8/1/2005 Fido Expands in Ocean State
8/1/2005 Nuveen Buys Blue Chip Manager
7/29/2005 BGI Readies Commodities Fund
7/29/2005 Manager Swaps: WM Group, Van Kampen, Morgan Stanley
7/29/2005 Alliance Acquisition Boost Federated's AUM
7/29/2005 Dimensional Co-Founder to Retire
7/28/2005 Guardian Hires Park Avenue Manager
7/28/2005 Newsletter Editor Gets in Fund Game
7/28/2005 Franklin's Earnings Rise
7/28/2005 Janus' Earnings, AUM Drop
7/27/2005 Money Managers Consolidate 529 Plans
7/27/2005 T. Rowe, AMG Earnings Beat Street's Estimates
7/27/2005 Vanguard Vet Takes a Bow
7/27/2005 Morgan: Brokerage to the Ultra Wealthy?
7/27/2005 Vilar Faces More Charges
7/26/2005 Legg Mason, Calamos' Q2 Earnings Disappoint
7/26/2005 AEFA Close to WTC Move
7/26/2005 Franklin Forms Consultant Group
7/25/2005 Evergreen Splits Equity Team
7/25/2005 Munder to Absorb Amerindo Fund
7/25/2005 Ex-Putnam Manager to Join Wellington
7/25/2005 Nasdaq Eyes Direct Sales of ETFs
7/25/2005 Mellon's Fund Servicing Unit Hires Exec
7/25/2005 Vanguard Lands ETF Distribution
7/22/2005 Chip Gets Incentives
7/22/2005 Russell Hires Ex-Football Coach
7/22/2005 Pioneering in Portugal
7/22/2005 AUM, Earnings Tick Down at Gabelli
7/21/2005 Fidelity's Brokerage Keeps up Growth
7/21/2005 ADP Give Payroll Customers More 529 Options
7/21/2005 Japan Post to Sell Mutual Funds
7/21/2005 Citi Manager Joins NY Firm
7/21/2005 Japanese Fund Lands Slot on Fidelity
7/20/2005 SEI Beats Street's Estimates
7/20/2005 Ameriprise Hires Two Sales Execs
7/20/2005 Senators Will Consider SEC Nominees
7/20/2005 SEC May Act Soon on Soft Dollars
7/20/2005 Barclays Swaps ETF Exchanges
7/19/2005 BlackRock AUM, Earnings Up
7/19/2005 Fidelity Builds Pyramis
7/19/2005 Spitzer Says No to Gabelli Dough
7/18/2005 Legg Mason Taps Strategist
7/18/2005 BGI Promotes Institutional Exec
7/18/2005 Putnam's Former CIO Joins Fund of Fund Shop
7/18/2005 A Lifetime with MFS
7/15/2005 Amvescap Nabs Franklin's CEO
7/15/2005 EFAMA Seeks New Head
7/15/2005 Canadian Fund Salesman Stole From Shareholders
7/15/2005 Putnam's Marrkand Resigns
7/15/2005 Fido Names Chief for Euro Institutional Business
7/14/2005 What Are Auto 401k Plans About?
7/14/2005 Mansueto Talks About Morningstar's Future
7/14/2005 Web Site IDs Funds Most Vulnerable to Timers
7/14/2005 Vanguard Adds Rules to Thwart Timers
7/13/2005 Study: Don’t Sell that Fund
7/13/2005 TIAA-CREF's Fund Advisor Asks for a Raise
7/13/2005 Bad Models are at the Heart of AmEx's Settlement
7/12/2005 Ex-Schwab Honcho Takes Top Post at Visa USA
7/12/2005 Franklin Tries New Tactic on Fund Launch
7/12/2005 Contrafund Runs Neck and Neck to Magellan
7/11/2005 Fido Gives DeSano New Task
7/11/2005 ICON Names National Sales Manager
7/11/2005 Evergreen Launches Short Term Bond Fund for Institutions
7/11/2005 Ed Jones Slapped With Suit
7/8/2005 Hancock Funds Taps New Chief
7/8/2005 Chamber Sues to Block Indy Chair Rule
7/8/2005 Rumors Send Schwab Shares Up, Then Down Again
7/8/2005 Northern Trust Hires Equity Pro
7/6/2005 Phoenix Puts All Funds Under One Brand Umbrella
7/6/2005 Henlopen No More
7/6/2005 A SMID Fund for Munder
7/6/2005 Oak Plants an Acorn
7/6/2005 DST Focuses on Serving Funds, Unloads Two Subs
7/6/2005 Boston Co. Gets $5 Billion in Dreyfus Funds
7/6/2005 Amvescap Bigs Doubtful About Buyer's Capability
7/6/2005 John Hancock Execs: Few and Far Between
7/6/2005 Calamos Names Two to Executive Suite
7/6/2005 Whistleblower Sues for Share of Settlement
7/5/2005 Constellation Launches Two New Funds
7/5/2005 Placemark Hired for Canadian UMA Program
7/5/2005 Insurer Files for Fund-of-ETFs
7/5/2005 AIM Swaps Managers
7/5/2005 Indy Directors: Here to Stay
7/5/2005 Fund Supermarkets: The Next Fee Frontier?
7/1/2005 Thrivent Launches Asset-Allocation Funds
7/1/2005 Is the GOP Back on Top at the SEC?


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