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News Stories Archives - Since 1998
McDonough Builds Out a New OpFunds Institute
The Gotham mutual fund shop's distribution and marketing chief is also hiring in several areas and looking at artificial intelligence...
MutualFundWire.com - Monday, June 19, 2017
Dave Reich Plans His Next Move
The largest independent broker-dealer is making big changes internally...
401kWire.com - Monday, June 19, 2017
Zhang Divides a Top Am Century Exec's Role
One of Zhang's CIOs will be leaving American Century at the end of the month and two PMs at the firm will divide up and take over his duties. ..
MutualFundWire.com - Monday, June 19, 2017
Filings for Fundsters - June 19, 2017
A compilation of the latest SEC filings!..
MutualFundWire.com - Monday, June 19, 2017
Capital Management Group Hires an Advisor
A new appointment was made at Capital Management Group!..
401kWire.com - Monday, June 19, 2017
Ray Jay Recruits a $500MM Shop
Two former Merrill advisors have recently changed B-Ds.....
401kWire.com - Monday, June 19, 2017
Week In Preview, June 19-25
A host of industry events will bring fundsters and FAs to Gotham this week...
MutualFundWire.com - Monday, June 19, 2017
LPL to Host Conference In July
The largest independent broker-dealer is hosting a conference at the end of July!..
401kWire.com - Monday, June 19, 2017
Salient and Forward Integrate: Which Brand Will Prevail?
The Texas-based alts shop confirmed the close of the deal last week. A key exec talks about what's next...
MutualFundWire.com - Friday, June 19, 2015 Views
A Goldman Vet Starts His Own Fund Firm
He's teaming up with Harborside and Value Line to do it...
MutualFundWire.com - Friday, June 19, 2015 Views
Gwinnett County in Georgia Seeking Financial Service Providers
The largest school district in Georgia is requesting proposals for financial services...
401kWire.com - Friday, June 19, 2015
J.P. Morgan Tells Plan Sponsors to Do Re-Enrollments
A survey and white paper released by J.P. Morgan Asset Management highlights a plan to bridge the gap between plan sponsor goals for their participants and ways of reaching those goals. ..
401kWire.com - Friday, June 19, 2015
Plan Sponsors, Automatic Plan Features Are a Good Thing...
New research from DCIIA finds that....
401kWire.com - Friday, June 19, 2015
Beacon Group Welcomes VP of Retirement Sales
A Pennsylvania-based financial services provider brings on a new vice president of retirement sales...
401kWire.com - Friday, June 19, 2015
Seven Months In, This New Fund Can HACK It With a Cool $1B
An ETF startup's latest offering has sold like hotcakes...
MutualFundWire.com - Friday, June 19, 2015 Views - Reader Rating: 4
RayJay Brings On a $317MM KPA Team
Broker-dealer Raymond James just welcomed a KPA team.....
401kWire.com - Friday, June 19, 2015
Borzi Wants to Rewrite Fiduciary. Should You Be Cheering Her On?
Perhaps the EBSA chief's battle with B-Ds is a good thing for elite retirement plan advisors like yourself...
401kWire.com - Thursday, June 19, 2014
Did Bill Gross Need More Red Queens?
In a speech outlining his reasons for believing in the importance of the "new neutral" Gross tries reconnect with the investing community at the 2014 Morningstar Conference...
MutualFundWire.com - Thursday, June 19, 2014 Views - Reader Rating: 5
Morningstar Analysts Shine Light on Their Process
Three star fund analysts explain what they look for when analyzing a fund firm, and how they get these insights...
MutualFundWire.com - Thursday, June 19, 2014 Views
Callahan Combines Two Transamerica Units
Transamerica's retirement unit's parent just merged with another piece of the insurer...
401kWire.com - Thursday, June 19, 2014 - Reader Rating: 5
Yoerger Rejigs and Expands OneAmerica's Sales Team. And He's Hiring.
OneAmerica restructured its sales and distro for the retirement business, promoting and hiring a few in the process. And it's still on the lookout for a regional sales VP. ..
401kWire.com - Thursday, June 19, 2014 - Reader Rating: 1
Bluff Point Makes an "Instividual" 403b Play
A Sunshine State TPA teams up with the private equity shop for a new venture...
401kWire.com - Thursday, June 19, 2014 - Reader Rating: 5
BMO Likes Into-Plan Rollovers, and Wants Sponsors to Know Why
In a new white paper, the bundled provider points to benefits for sponsors of having participants roll over their previous 401k balances. ..
401kWire.com - Thursday, June 19, 2014 - Reader Rating: 3
Hasenstab Shares His Contrarian Tips at M*
Franklin Templeton's bond chief shared his views on how to target specific investments in the emerging markets at the Morningstar Investment Conference's opening remarks...
MutualFundWire.com - Thursday, June 19, 2014 Views
It Pays to Run Vanguard, But How Much?
Brendan Conway ponders the partnership plan at the world's largest mutual fund company...
MutualFundWire.com - Thursday, June 19, 2014 Views
A Provider Invests $38 Million in Its Retirement Biz HQ
A bundled provider just revamped its facilities in the main location for the company’s retirement services business. ..
401kWire.com - Thursday, June 19, 2014
Mutual Fund Grab Bags Disappoint Rekenthaler
Morningstar's John Rekenthaler argues that companies could give investors more information on what percentage of their portfolio is fair value. ..
MutualFundWire.com - Wednesday, June 19, 2013 Views
Savage Explains Schwab's Fundamental ETF Gambit
IndexUniverse's Cinthia Murphy asked Charles Schwab's Mike Savage why the company registered six fundamental ETFs...
MutualFundWire.com - Wednesday, June 19, 2013 Views
A SPDR Wins the Week
Forbes summed up this week's ETF winners and losers...
MutualFundWire.com - Wednesday, June 19, 2013 Views
Kremenstein Boosts Deutsche's ETF Biz
Deutsche Bank continues to expand its line of passive investment strategies, which are performing well...
MutualFundWire.com - Wednesday, June 19, 2013 Views
Sentinel Names a Temporary Chief
Following the departure of Christian Thwaites, the fund shop has an interim CEO...
MutualFundWire.com - Wednesday, June 19, 2013 Views
Sentinel Makes Changes at the Top
The insurer-backed mutual fund shop changes up its C-suite...
MutualFundWire.com - Wednesday, June 19, 2013 Views - Reader Rating: 2
The Standard Scoops Up a Reliance Trust Vet
StanCorp Equities, a subsidiary of StanCorp Financial Group hired Robert Kumming as regional sales director for its eastern sales region. ..
401kWire.com - Wednesday, June 19, 2013
Eaton Vance Tweaks a Muni Fund
Effective August 19, the Eaton Vance [profile] AMT-Free Limited Maturity Municipal Income Fund will implement changes to the fund. It will be renamed the Eaton Vance Floating-Rate Municipal Income Fund. The fund's objective will be to provide current income exempt from regular federal income tax. It also will invest at least 80 percent of its total assets in municipal floating-rate obligations and fixed-rate municipal obligations with respect to which the fund enters into agreements to swap the fixed rate for a floating rate. The fund has also eliminated the prohibition on investing in obligations with interest subject to alternative minimum tax and the limit on portfolio duration. The fund expects that these changes will be fully implemented by September 30. [SEC Filing]...
MutualFundWire.com - Wednesday, June 19, 2013 Views
Aspirant Global Equity Trust Replaces Its President
On May 31, Jason Thomas resigned his positions as president and as a trustee of the Aspirant Global Equity Trust and no longer serves as a PM for the Aspiriant Risk-Managed Global Equity Fund. As of June 3, Robert J. Francais serves as president of trust. [SEC Filing]...
MutualFundWire.com - Wednesday, June 19, 2013 Views
Highland Says Goodbye to a Fund Trustee
At a meeting held on June 7, the board of trustees of Highland Funds I and Highland Funds II accepted, in accordance with the funds’ retirement policy, the resignation of James F. Leary as a trustee of the Highland Funds [profile]. [SEC Filing:Highland Funds I] [SEC Filing:Highland Funds II]...
MutualFundWire.com - Wednesday, June 19, 2013 Views
Equinox Changes Strategy's Strategy
Equinox [profile] is revising the Equinox Abraham Strategy Fund's strategy with respect to fixed income securities. They have been advised that the fund’s investment strategy can be more efficiently implemented by investing predominantly in cash, cash equivalents, securities issued by the U.S. government with one year or less term to maturity and money market funds rather than fixed-income exchange traded funds. [SEC Filing]...
MutualFundWire.com - Wednesday, June 19, 2013
An Indie Trustee Joins an AllianceBernstein Fund Board
On May 8, the board of trustees of the Clark Fork Trust of Alliance Bernstein [profile] appointed Michael Munsey as a new independent trustee. [SEC Filing]...
MutualFundWire.com - Wednesday, June 19, 2013 Views
Great West Hires on the West Coast
 Great West Financial has hired Henry Giano as regional sales director for markets in northern and central California and northern Nevada. ..
401kWire.com - Wednesday, June 19, 2013 - Reader Rating: 3
Delaware Charges Less For a Cash Fund
Yesterday the Delaware [profile] Cash Reserve Fund's expense ratio decreased by five basis points so that the fund’s “total annual operating expenses” after waivers will not exceed 14 basis points for Class A, Class B, Class C and Consultant Class shares. [SEC Filing]...
MutualFundWire.com - Wednesday, June 19, 2013 Views
SunAmerica Replaces One BlackRock PM With Another
Peter Stournaras from BlackRock [profile] is replacing Chris Leavy as PM to the SunAmerica Focused Alpha Large-Cap Fund [profile]. [SEC Filing]...
MutualFundWire.com - Wednesday, June 19, 2013 Views
A PM Joins Two Currency Funds
Iain Stealey has been added as PM to J.P. Morgan's [profile] Ex-G4 Currency Strategies Fund and the International Currency Income Fund. [SEC Filing]...
MutualFundWire.com - Wednesday, June 19, 2013 Views
MainStay Embraces TV
New York Life and Mainstay Funds renew their sponsorship of TV show, Consuelo Mack WealthTrack..
MutualFundWire.com - Wednesday, June 19, 2013 Views
HighMark Adds a PM to Three Funds
Derek Izuel from HighMark Capital Management [profile] has been added as PM to the HighMark Balanced Fund, the HighMark Large Cap Growth Fund and the HighMark Value Fund. [SEC Filing]...
MutualFundWire.com - Wednesday, June 19, 2013
SSgA Puts Two Funds on the Chopping Block
The SSgA Funds' [profile] board of trustees has approved a plan for liquidating and terminating the SSgA Bond Market Fund and the SSgA Intermediate Fund on or prior to August 29, 2013. [SEC Filing]...
MutualFundWire.com - Wednesday, June 19, 2013 Views
SSGA Embarks on a Season of Change
State Street Global Advisors is changing up its strategy and work force. ..
MutualFundWire.com - Wednesday, June 19, 2013 Views
MarketWatch Creates Mock Fund Ads
The publication created 7 parody mutual fund ads to highlight some deceptive practices...
MutualFundWire.com - Wednesday, June 19, 2013 Views
Rupert and Greg Take Charlie's Fund Board Seats
Effective June 13, 2013, Charles B. Johnson retired as chairman, director/trustee and officer of certain US-registered Franklin Templeton [profile] funds. Charlie's brother, Rupert H. Johnson Jr., was appointed to the boards of the Franklin and Templeton funds for which he was not already a director/trustee, and was also appointed as chairman of the board for the Franklin and Templeton funds. Charlie's son, Gregory E. Johnson, was appointed to the boards of the Franklin and Templeton funds for which he was not already a director/trustee. [SEC Filing]...
MutualFundWire.com - Wednesday, June 19, 2013 Views
USA Mutuals Tweaks Generation Wave
On May 29, 2013, the board of trustees of USA Mutuals [profile] approved changes to the investment objective and principal investment strategies of the Generation Wave Growth Fund. The investment objective of the fund is capital appreciation over the long term with low volatility and low correlation to the equity markets. [SEC Filing]...
MutualFundWire.com - Wednesday, June 19, 2013
When a Bond Fund Is Not a Bond Fund
Investors may be completely unaware that their bond fund has a significant percentage of its assets invested in stocks...
MutualFundWire.com - Wednesday, June 19, 2013 Views
Advisers Investment Trust Adds a Trustee
As of May 22, 2013, the shareholders of Advisers Investment Trust elected Peter B. Cherecwich to the board of trustees. They also reelected Michael M. Van Buskirk, D’Ray Moore Rice, Steven R. Sutermeister and Dina A. Tantra and [SEC Filing]...
MutualFundWire.com - Wednesday, June 19, 2013
An SSgA Product Wins the New ETF Race, So Far
IndexUniverse listed which new ETFs have the most assets under management starting in the beginning of this year. ..
MutualFundWire.com - Wednesday, June 19, 2013 Views
Forum Launches Trust for Active ETFs
The trust will use an investment manager–investment adviser instead of adviser–sub adviser structure. ..
MutualFundWire.com - Wednesday, June 19, 2013 Views
Seen and Heard at the SPARK National Conference
Defined contribution industry insiders gathered in DC this week...
401kWire.com - Wednesday, June 19, 2013 - Reader Rating: 3.67
Seen and Heard at the First (k)onvergence Conference
DC I-Os and other industry insiders filled us in on trends, concerns, and factors in the 401(k) space, and they did so with style and wit. ..
401kWire.com - Wednesday, June 19, 2013 - Reader Rating: 2
Vanguard Wins Again
Can no one stop Lord Nelson's fleet? Did anyone come close?..
MutualFundWire.com - Wednesday, June 19, 2013 Views
INews Sees Plan Sponsors Demanding Design Optimization
Now that employers know how unprepared their participants are for retirement, they are demanding more automatic enrollment...
401kWire.com - Wednesday, June 19, 2013
Will Congress Stall DoL's Fiduciary Redefinition?
The proposal of a controversial DOL rule may be put on the back burner for a while...
401kWire.com - Wednesday, June 19, 2013 - Reader Rating: 5
Vanguard Raises Its Crew's Cut
The mutual fund giant doles out some of the savings it generated this year to all its "partners." That amount climbed handsomely in 2012...
MutualFundWire.com - Wednesday, June 19, 2013 Views
Target-Date Funds Soar
New research from BrightScope shows that target-date funds saw 20 percent growth in assets last year and held more than $503 billion at the end of 2012. ..
MutualFundWire.com - Wednesday, June 19, 2013 Views - Reader Rating: 5
Pozen and Hamacher Wax on Money Fund Reform
The WSJ has the editorial...
MutualFundWire.com - Wednesday, June 19, 2013 Views
A Wamco Team Leader Resigns
The head of structured products at Western Management, a unit of Legg Mason, is leaving the company...
MutualFundWire.com - Wednesday, June 19, 2013 Views
Southeastern Deals With Icahn
Asset manager declares Icahn is in “best position to lead the development of an alternative transaction.”..
MutualFundWire.com - Wednesday, June 19, 2013 Views
Dougherty Hands Off the Reins to Pyxis
The new chief plans to refocus the business on alternative investments...
MutualFundWire.com - Tuesday, June 19, 2012 Views
Sapir's Latest Plan Emerges, With Active Management
ProShares files to launch an active ETF...
MutualFundWire.com - Tuesday, June 19, 2012 Views
Thomasson Hires an Insurance Brokerage Vet
The new hire will join a Kansas subsidiary of DailyAccess...
401kWire.com - Tuesday, June 19, 2012 - Reader Rating: 5
ShareBuilder Calculates Fees
The ING subsidiary pushes its low-cost management model..
401kWire.com - Tuesday, June 19, 2012 - Reader Rating: 1
Brenner Hires an Advisory Sales Chief at Schroders
The new exec joins from DWS...
MutualFundWire.com - Tuesday, June 19, 2012 Views - Reader Rating: 1
Pru's Grier Promotes Sleyster
The former retirement-services head and 25-year Pru vet moves up...
401kWire.com - Tuesday, June 19, 2012
DoL Restores $0.5MM to a Defunct Government Contractor's 401k
SoCal electrical contractor did not deposit employee benefits that its contracts required..
401kWire.com - Tuesday, June 19, 2012 - Reader Rating: 3
A $74MM J.P. Morgan Plan Chooses Wells
A life insurer switches RKers...
401kWire.com - Tuesday, June 19, 2012 - Reader Rating: 4
NYTimes asks: How Much Risk Should a TDF Take?
Columnist Rob Lieber compares strategies of T. Rowe Price and Wells Fargo..
MutualFundWire.com - Tuesday, June 19, 2012 Views
Faust Buys in Canada
The acquisition is expected to bolster Eaton Vance's capability to offer non-U.S. equities..
MutualFundWire.com - Tuesday, June 19, 2012 Views
Which ETFs Flew Off the Shelves Fastest in Their Day?
Seeking Alpha lists the new ETFs that have attracted the most AUM...
MutualFundWire.com - Tuesday, June 19, 2012 Views
A Georgetown Prof Predicts the Elimination of Money Funds
The academic attacks the SEC's proposed money market mutual fund regs...
MutualFundWire.com - Tuesday, June 19, 2012 Views
401k Execs Ponder the Industry's Future
Some 200 industry insiders converged in Washington, D.C. for the Spark National Conference...
401kWire.com - Friday, June 19, 2009 - Reader Rating: 3
Fidelity Axes its Private Equity Unit
The Boston Behemoth is closing down the unit next month...
MutualFundWire.com - Friday, June 19, 2009 Views
Great-West Banks a $590 Million Plan
A Midwestern plan sponsors taps the Colorado recordkeeper...
401kWire.com - Friday, June 19, 2009 - Reader Rating: 4
Schwartz Wins a $160 Million DB-DC Combo
A Michigan sponsor hires an advisor for its retirement plans...
401kWire.com - Friday, June 19, 2009 - Reader Rating: 5
Wespac Expands Into SoCal
The recordkeeping TPA hires an advisory team to launch a new branch...
401kWire.com - Friday, June 19, 2009
A Vanguard Fund Completes its Transition
Vanguard has completed a change in one of its index funds...
MutualFundWire.com - Friday, June 19, 2009 Views
A Boston Fund Firm Bucks the Downsizing Trend
A Beantown firm appears to be immune from the cutbacks that have swept the industry...
MutualFundWire.com - Friday, June 19, 2009 Views - Reader Rating: 3
2009 Has So Far Claimed 208 Fund Casualties
USA Today's John Waggoner picks up on Lipper data which show that so far this year, fund firms have eliminated 208 funds...
MutualFundWire.com - Friday, June 19, 2009 Views
WSJ Highlights Big Pullback from Money Funds
The Journal picks up on numbers from the ICI showing the largest pullback from money funds since September...
MutualFundWire.com - Friday, June 19, 2009 Views
Expense Ratios Rise at AllianceBernstein
Morningstar's Ryan Leggio takes note of the increase in expense ratios at six AllianceBernstein growth funds...
MutualFundWire.com - Friday, June 19, 2009 Views
Where Does the Target Date Debate Stand?
The WSJ takes note of an all-day hearing before two regulatory agencies...
MutualFundWire.com - Friday, June 19, 2009 Views
MassMutual Tells Plan Sponsors How to Get Value from Plan Data
MassMutual's Center for Behavioral Research has a new white paper out on how plan sponsors and advisors can generate value from retirement plan data...
401kWire.com - Thursday, June 19, 2008
EBSA Goes Online to Talk QDIA
The DoL unit unveils another webcast for participants and plan sponsors alike. ..
401kWire.com - Thursday, June 19, 2008
Hartford Gets a 403b Distribution Boost from Within
The wholesaling arm of the Connecticut firm has started marketing its 403b offerings...
401kWire.com - Thursday, June 19, 2008 - Reader Rating: 5
Another Pru Vet Joins Up With Fido
The Boston company again looks to Pru to fill a top spot...
MutualFundWire.com - Thursday, June 19, 2008 Views - Reader Rating: 3.33
There Will Be No NEXT Time for Bad Recruiting Practices
NEXT Financial Group was slapped with a $125,000 penalty for errant recruiting practices...
MutualFundWire.com - Thursday, June 19, 2008
5500 Relief Follows Brutal Weather
The DoL gives a bit more filing time to employers and administrators in disaster areas in seven states. ..
401kWire.com - Thursday, June 19, 2008
First Eagle Distributors Creates a Presidential Position
First Eagle Distributors has tapped an insider to head up its distribution arm...
MutualFundWire.com - Thursday, June 19, 2008 Views - Reader Rating: 1
Boston Asset Manager Appoints Institutional VP
The company has added to its institutional services team...
401kWire.com - Thursday, June 19, 2008
Producing TPA Snags ISO Badge
An NRP member firm celebrates its 50th birthday and gets recognition for its quality management system...
401kWire.com - Thursday, June 19, 2008
TIAA-CREF Partners Up for 403b Plan Documents
The 403b giant has introduced a service to help plan sponsors prepare a written plan document...
401kWire.com - Thursday, June 19, 2008
Federal Prosecution Recovers $650K for a Michigan Plan
An EBSA investigation leads money back to participants...
401kWire.com - Thursday, June 19, 2008
Natixis Taps Columbia Vet for Institutional Role
Natixis Global Asset Management has picked a new vice president of its institutional services division...
MutualFundWire.com - Thursday, June 19, 2008 Views - Reader Rating: 3
Midwestern TPA Names B-D Liaison Chief
A firm with more than 3,000 sponsor clients promotes from within to fill a key relationship management role...
401kWire.com - Thursday, June 19, 2008 - Reader Rating: 3
Top ICI Lobbyist is Out
A prominent ICI lobbyist with ties to the K-Street project has resigned...
MutualFundWire.com - Thursday, June 19, 2008 Views - Reader Rating: 1
Shareholders of Fido Funds Cast Last Genocide Votes
Shareholders of two more Fidelity Funds have voted on a proposal by activist group, but they will be the last...
MutualFundWire.com - Thursday, June 19, 2008 Views
Pension Funds are Miffed by Speculator Tag
Are pension funds index speculators? In the Thursday edition of the WSJ Fund Track, Ian Salisbury writes about the debate spurred by the rise in commodity prices...
MutualFundWire.com - Thursday, June 19, 2008 Views
American Century Names CIO for US Growth Equity
Stephen J. Lurito has been named chief investment officer (CIO) for U.S. Growth Equity at American Century Investments...
MutualFundWire.com - Tuesday, June 19, 2007 Views - Reader Rating: 3.17
NIPA Taps Kaplan For Education Program
The Chicago-based organization has turned to Kaplan to administer its APA program...
401kWire.com - Tuesday, June 19, 2007 - Reader Rating: 1
Ex-Hewitt Consulting Exec Moves On
A Big Apple giant hires a new leader for its retirement consulting practice. ..
401kWire.com - Tuesday, June 19, 2007
Midwest TPA Spruces Up Web Sites
The Great Bend, Kansas-based TPA has made enhancements to its plan sponsor, participant and financial advisor Web sites...
401kWire.com - Tuesday, June 19, 2007
NPC Promotes Two
National Planning Corporation has promoted Kirsten Bosch to first vice president of branch development and Craig Lewis to vice president of marketing...
MutualFundWire.com - Tuesday, June 19, 2007 - Reader Rating: 2.85
Study: Emerging Crop of Pro Buyers Gains Influence
A new study from Greenwich Associates finds that changing investor needs and the shift to open architecture are changing relationships between asset management organizations and investment fund distribution platforms...
MutualFundWire.com - Tuesday, June 19, 2007 Views - Reader Rating: 3
John Hancock Funds Names COO
John Hancock Funds has tapped on of its own to fill the newly created role of chief operating officer...
MutualFundWire.com - Tuesday, June 19, 2007 Views - Reader Rating: 3
ExpertPlan Goes Upmarket
The Garden State outsourced recordkeeper has brought in an executive from USI to lead the push into the mid to large markets...
401kWire.com - Tuesday, June 19, 2007 - Reader Rating: 1
Schwab Partners with CRM Software
Schwab Performance Technologies has entered into a partnership with CRM Software to transition existing PortfolioCenter Relationship Manager clients to CRM Software's Junxure...
MutualFundWire.com - Tuesday, June 19, 2007 - Reader Rating: 3.06
SEC Says Fund Firms Dealt Well with Disaster
In the debut issue of the SEC's ComplianceAlert, the commission laid out the disaster recovery plans that worked for investment advisers following Hurricane Katrina in 2005...
MutualFundWire.com - Tuesday, June 19, 2007 Views - Reader Rating: 3
Can a Participant Sue if Instructions Weren't Followed?
Thanks to an atypical case from the Palmetto State, the Supreme Court is set to hear arguments on whether or not an individual participant can sue his plan administrator for not directing his funds where he told the administrator to. ..
401kWire.com - Tuesday, June 19, 2007 - Reader Rating: 5
PowerShares Adds Four ETFs
The Wheaton, Illinois-based firm is having quite a month. After launching five new ETFs at the beginning of this month, the ETF shop is set to launch four more today...
MutualFundWire.com - Tuesday, June 19, 2007 Views - Reader Rating: 3
NASD, NYSE Invite Comments on New Proposal
The NASD and NYSE want to know what you think about a proposed joint guidance regarding the review and supervision of electronic communications...
MutualFundWire.com - Tuesday, June 19, 2007 Views - Reader Rating: 3
WSJ Teaches 12b-101
The SEC starts its roundtable on 12b-1 fees at 9:30am...
MutualFundWire.com - Tuesday, June 19, 2007 Views - Reader Rating: 2.75
A Mutual Fund for Democrats?
Tired of investing in companies that give money to your sworn political enemies? The Blue Fund Group may have the answer in its first mutual fund, called simply The Blue Fund...
MutualFundWire.com - Monday, June 19, 2006 Views - Reader Rating: 3
T. Rowe Unveils Annual Reenrollment
The Baltimore firm is betting on a simple initiative to sweep inertia-plagued workers into its 401k net...
401kWire.com - Monday, June 19, 2006 - Reader Rating: 2
Green Mountain State May Sponsor Small Business DC Plans
The plan would not take effect until 2007 at the earliest...
401kWire.com - Monday, June 19, 2006
Garden State Non-Profit Expands Board, Website
An organization "dedicated to the retirement adequacy of all Americans" adds an insurance advisor to its board while updating its informational website...
401kWire.com - Monday, June 19, 2006
More Participant Data Stolen with Laptop
ING finds itself under fire again for the third time in two weeks...
401kWire.com - Monday, June 19, 2006
Hancock Continues Sales Push
A year ago, John Hancock Financial Services signaled commitment to its mutual fund business when it announced it would adopt several funds from Boston-based institutional asset manager Grantham, Mayo, Van Otterloo & Co. With that process now completed, and GMO in place as sub-advisor to the seven, the firm is looking back on twelve months of sales growth and ahead to more strategic moves...
MutualFundWire.com - Monday, June 19, 2006 Views
Bisys Offers Entree to RIA Market
Bisys Fund Services has launched an outsourced marketing service to help fund ocmpanies tap into RIA channels via third-party platforms, and on Friday named a director for the service...
MutualFundWire.com - Monday, June 19, 2006 Views - Reader Rating: 2.85
Janus Chooses Data Reporting System
Janus Capital Group is in the thick of implementing a wide-ranging data reporting system, its chosen provider announced Monday...
MutualFundWire.com - Monday, June 19, 2006 Views - Reader Rating: 2.33
Fund Company Upgrades to Save Advisors Time
How can today's busy advisors handle accounts more efficiently?..
MutualFundWire.com - Monday, June 19, 2006 Views
Merrill Remains Party to Worldcom Suit
The trustee role is the tar baby keeping Merrill Lynch stuck in the MCI company stock suit...
401kWire.com - Thursday, June 19, 2003 - Reader Rating: 5
Ex-SVA President Takes President Post
Cynthia Hargadon has joined a startup offering plan tools to sponsors and providers...
401kWire.com - Thursday, June 19, 2003
Bay State Software Firm Moves to Pru
The Massachusetts-based sponsor had been a client of American Express...
401kWire.com - Thursday, June 19, 2003 - Reader Rating: 2.25
Gremlins Infest New TSP System
It only took hours for the new Federal TSP Web site to find its first bugs and lock out most participants...
401kWire.com - Thursday, June 19, 2003 - Reader Rating: 5
Whiston Finds New Help
He convinces a CEO to resign to become chief operating officer at the new Janus but is still seeking a CIO and President. The Asian unit gets a new sales director...
MutualFundWire.com - Thursday, June 19, 2003 Views
AXP Funds Adds Three Funds
American Express continues to build around its new hires...
MutualFundWire.com - Thursday, June 19, 2003 Views - Reader Rating: 4
Steal These Proxy Voting Guidelines
A socially-conscious fund house wants others to follow its lead...
MutualFundWire.com - Thursday, June 19, 2003 Views
Bonds are In
So much for buying low and selling high, now that the stock market has been mauled bonds are pulling the assets...
401kWire.com - Wednesday, June 19, 2002
Is EGTRRA the 401k Savior?
A major researcher sees the law pumping up to $1 trillion of added flows into plans during the next decade. But it may come too late to help many providers...
401kWire.com - Wednesday, June 19, 2002
Vendor Adds to Consultant Team
The firm adds a former Putnam exec to oversee its consultant relations in the Northeast...
401kWire.com - Wednesday, June 19, 2002
And a Little Off the Top
Morgan Stanley gets a name change...
MutualFundWire.com - Wednesday, June 19, 2002 Views - Reader Rating: 3
Wachovia Names New Marketing Head
There will be a new face on the East Coast high-net-worth circuit...
MutualFundWire.com - Wednesday, June 19, 2002
Luck Be a 529
A state is looking for 529 services...
MutualFundWire.com - Wednesday, June 19, 2002 Views
Schwab Shuffle
There is a new head of the retail enterprise and the institutional business at the California Colossus...
MutualFundWire.com - Wednesday, June 19, 2002 Views
Whither Robertson Stephens?
What will Fleet do now that there are no buyers for the SF investment bank?..
MutualFundWire.com - Wednesday, June 19, 2002 Views
Pru Man at Securian
There is a new head of distribution in St. Paul...
MutualFundWire.com - Wednesday, June 19, 2002 Views
Web Tool for SRI
A firm looks to break socially responsible investing further into the mainstream...
MutualFundWire.com - Wednesday, June 19, 2002
American Express Plates up Small-Cap Sandwich
Two large-cap plus one small-cap value equal sub-advisory deals for four firms...
MutualFundWire.com - Tuesday, June 19, 2001 Views - Reader Rating: 3
Citistreet Names New Head Cheese
The firm's Florida based outsourcing division gets a new cio...
401kWire.com - Tuesday, June 19, 2001 - Reader Rating: 3
Grow Fido, Grow!
The behemoth breaks into wealth management circles...
MutualFundWire.com - Tuesday, June 19, 2001 - Reader Rating: 3
GoldMine
GoldK ups the ante on its distribution tactics with the addition of a new program...
401kWire.com - Tuesday, June 19, 2001 - Reader Rating: 3
Magic Carpet Ride to Vendor
A manufacturer of rugs and carpets has selected a vendor for its 401k plan...
401kWire.com - Tuesday, June 19, 2001 - Reader Rating: 3
Brokat's New Launch
The release of M-Investor ... AIM reorganization ... Tokyo allies with AMEX ... Hager to contribute .... SunGard's tech ... Earnings at Goldman Sachs ... ETF delays...
MutualFundWire.com - Tuesday, June 19, 2001 - Reader Rating: 3
Brokat's New Launch
The release of M-Investor ... AIM reorganization ... Tokyo allies with AMEX ... Hager to contribute .... SunGard's tech ... Earnings at Goldman Sachs ... ETF delays...
401kWire.com - Tuesday, June 19, 2001 - Reader Rating: 3
Quality, not Quantity
Emplanet teams up with advisor for service...
401kWire.com - Tuesday, June 19, 2001 - Reader Rating: 3
Pioneer Chief Resigns
David Tripple will leave in September; a search to fill his position is underway...
MutualFundWire.com - Tuesday, June 19, 2001 - Reader Rating: 3
CSAM President To Leave
Internal memo from CEO states that Cochran's "talents can best be applied elsewhere."..
MutualFundWire.com - Tuesday, June 19, 2001 - Reader Rating: 3
Hot Stuff
Principal Financial and Frank Russell Company have a new deal...
401kWire.com - Tuesday, June 19, 2001 - Reader Rating: 3
Sponsor Takes Shot at Combining DB/DC Admin
When Remington Arms finished shopping to replace a sub-standard vendor it came home with both its retirement programs under one roof...
401kWire.com - Monday, June 19, 2000 - Reader Rating: 3
OppFunds Targets Micro Market
The New York-based company may be adding outside funds for its new bundled product targeted at the sub-50 life market...
401kWire.com - Monday, June 19, 2000 - Reader Rating: 3
IAI Funds Latest to Go
The blue light special looks like it is just getting under way as IAI Funds are sold. ..
MutualFundWire.com - Monday, June 19, 2000 - Reader Rating: 3
Europeans Grab Two
More than $550 billion of assets change hands as French and U.K. firms snap up Nvest and UAM. ..
401kWire.com - Monday, June 19, 2000 - Reader Rating: 3
Nvest Sold!
CDC Asset Management snaps up the owner of Harris Associates, Jurika & Voyles, Kobrick Funds, Loomis, Sayles & Co. and Reich & Tang funds for $2.2 billion...
MutualFundWire.com - Monday, June 19, 2000 Views - Reader Rating: 3
Are You Chasing the Head or the Tail?
It's not just about money, but are too many big-game hunting advisors going for elephants? What about smaller clients?..
MutualFundWire.com - Monday, June 19, 2000 - Reader Rating: 3
UAM Sold in $2.2 Billion Deal
Going, going, gone! The winning bidder is Old Mutual. ..
MutualFundWire.com - Monday, June 19, 2000 - Reader Rating: 3
June 19, 2000
Ex-Founders chief settles with SEC ... Undue profits from transfers? ... ING lowers bid, Aetna walks ... Measure us against money markets ... Is Janus headed for a fall?..
MutualFundWire.com - Monday, June 19, 2000 - Reader Rating: 3
June 19, 2000
Ex-Founders chief settles with SEC ... Undue profits from transfers? ... ING lowers bid, Aetna walks ... Measure us against money markets ... Is Janus headed for a fall?..
401kWire.com - Monday, June 19, 2000 - Reader Rating: 3
Think Twice About Allowing 401k to DB Transfers
An article in today's Wall Street Journal raises questions about sponsors profiting from the practice of letting workers transfer funds from a 401k program to a defined benefit plan. ..
401kWire.com - Monday, June 19, 2000 - Reader Rating: 3
KeyCorp
Client Services Representative...
401kWire.com - Saturday, June 19, 1999 - Reader Rating: 3
Will Sponsors Institute Negative Elections?
Under IRS Ruling 98-30, the federal government has decided to allow sponsors to institute negative elections for 401(k) plans. Under such a system, participants will be automatically enrolled in their company's 401(k) plan and will have to opt out of that plan. In February, the 401kWire reported that Hewlitt-Packard (NYSE: HWP) has designed such a structure for its employees...
401kWire.com - Friday, June 19, 1998 - Reader Rating: 3
Week of June 14, 1998: RFP Roundup
Here's another one for the 1999 calendar. West Bend, WI-located Serigraph, Inc. may be looking to change its 401(k) plan in January of that year. According to The Money Market Directory, 1998, the plan has approximately $24 million in assets with close to 1,000 participants. The plan's recordkeeping is done internally, and the consultant is Dain Bosworth Investment Management Group of Minneapolis, MN...
401kWire.com - Friday, June 19, 1998 - Reader Rating: 3
Equity Funds Lost Favor in May
401(k) plan participants transferred assets away from equity options to fixed income options in May. Also in May, the Investment Company Institute estimated that total new cash flows to mutual funds dipped 7.6%...
401kWire.com - Friday, June 19, 1998 - Reader Rating: 3
Spectrem Releases Data on Rollovers
It is the contention of the Spectrem Group that the 401(k) marketplace has arrived at the dawn of a new age. No longer are there the large numbers of new plans being created. The consultant claims that the way for providers to achieve and maintain profitability is through rollovers...
401kWire.com - Friday, June 19, 1998 - Reader Rating: 3
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