Investment News

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Articles in August, 2005 issue of Investment News

• Pay plans' aim: Align managers' goals with shareholders'; Emphasis shifts to performance over the long term.(News)
• Detour arrives for key HSA roadblock; Insurer allows waiving of deductible for listed preventive medications.(News)
• P&I conference to sift through shifting sands of 401(k) market.(News)
• People.
• Waterhouse lineup full of heavy hitters.(Short Interests)
• ING brings 'Simplicity' to VA process.(Short Interests)
• Contrarian view: High hopes for the long bond; Adviser sees opportunity to make great sums from zero coupons.(News)
• SIA draws fire for trying to delay the Merrill rule; Bureaucracy said to trump investor needs.(News)
• One on One With E. Thomas Foster Jr. of The Hartford.(One on One)
• Optimism about retirement linked to level of control.(Monday Morning)
• Getting in on the top floor.(Short Interests)
• Estate lawyers fear being cut out of will; Legislation could diminish their role in living wills.(News)
• Independent directors launch counterattack; Out to foil Chamber in its bid to stop SEC governance rule.(News)
• SEC must improve 12(b)-1 fee disclosure.(Editorial)
• SSgA eyes nine new funds, ETF wraps in catch-up bid; New co-heads of adviser strategies mounting a challenge to BGI.(News)
• Education group picks president.(Short Interests)
• Closing Quote.(Quotes)
• At the Bell; SF blast forces evacuation at Schwab.(Late News)
• Cohen & Steers broadens its reach, diversifies; Real estate specialist wants to lure more institutional money.(News)
• Merrill Lynch rule: shoe is on other foot.(Short Interests)
• Board's education policy riles CFPs; Would narrow scope of available courses, according to critics.(News)
• Retirement planning, insurance top issues.(Short Interests)
• Ventura highway to Social Security reform? Calif. FPA chapter tired of waiting for national to act.(News)
• Only 20% of pre-retirees understand LTC; Adviser puts costs of care in terms clients can fathom.(News)
• Industry is hopeful SEC chief will stem flood of regulations; But consumer units fear anti-investor bias.(News)
• Setting a new standard at the SEC.(Other Views)
• North American wirehouses and regionals ranked by retail reps.(Broker-Dealers)
• Calendar.(Calendar/Datebook)
• Apres moi le deluge, and get ready to bail.(News)
• Spitzer: Ax insurance antitrust exemptions; Industry opposes move, saying it would lead to chaos.(News)
• One on One With Mark M. Goldberg of Royal Alliance Associates.(One on One)
• Probe of Canadian hedge fund goes offshore; Financial advisers, pressed by suits, are anteing up.(News)
• Schwab launches referral boot camp; Some doubt that goal of doubling adviser asset growth is feasible.(News)
• Savvy sponsors drive emergence of specialists; Experts see shift from commissions, rise in collective trusts.(Special Report: Top 401(k) Managers)
• Value fund managers deliver mixed market outlooks.(Conference Calls)
• To: SEC chairman, re: Unfinished business.(Editorial)
• VA sales fuel strong 2Q for many life insurers; But CFOs worry about new biz, capital.(News)
• A shift for iShares.(Short Interests)
• Tax reform, long overdue, must deliver predictability.(Editorial)
• Separates managers may drag feet on performance reports; CFA Institute's authority on rules could be challenged.(News)
• Raymond James to stop battling with regulators; Concedes there are some fights it can't win.(News)
• Simon Cowell's 'Million Dollar' baby.(Short Interests)
• Advisers may lose free ride on software, investment research; SEC to propose tighter soft-dollar rules next month.(News)
• What makes an industry leader?(Short Interests)
• Startup community banks tap local investors; Self-directed IRAs provide them with rich source of funding.(News)
• A dynasty trust that requires a family chat; Shields assets, allows control of investing.(News)
• Funds of ETFs seen as growing alternative to funds of funds; Lower expenses give the new products an edge.(News)
• Fund-of-hedge-funds managers unscathed by closings; Most outflows occurred among single-strategy funds.(News)
• Surge expected in life insurer M&As; Back-office savings, better ratings sought.(News)
• Analysts question wirehouses' fee-based numbers; Some lump together all non-commission biz in calculating fee revenue.(News)
• Fraudsters pose as anti-fraud group.(Short Interests)
• FSI calls proposed NASD contest rule 'anti-competitive'; Trade group points to `unintended consequence'.(News)
• Boston Capital Corp. offers its first REIT; It can be used as a hedge against more volatile real estate investments.(News)
• 529 plan community unhappy with proposal to boost scrutiny; States, providers see regulations discouraging sales.(News)
• Smith Barney serves up attractive comp packages; Top reps to get bonuses of $1M+ in cash, stock.(News)
• One on One With Jane M. Young of Pinnacle Financial Concepts Inc.(One on One)
• Many firms face transition to new generation.(Monday Morning)
• ProFund Advisors poised for ETF push; SSgA veteran Fleites will lead the initiative.(News)
• Insurers join appeal of ruling questioning life insurance trusts; Say it has caused disruption in the marketplace.(News)
• Morgan makes room at top for hirings.(Reverse Spin)
• GunnAllen axes 65 brokers, several with black marks; Firm also fires exec who recruited many tainted reps.(News)
• ETFs and fiduciary best practices: A good fit.(Fiduciary Corner)
• CFA lets separates off the hook; Allows managers to isolate those assets from overall performance.(News)
• Conseco road show a bid to win back distributors; New products, attitude promised.(News)
• Russell's new index a beacon to micro-cap manager.(Street Wise)
• Owners setting up their furred and feathered friends for life; Pet trusts are a business opportunity that financial advisers may be missing.(News)
• Brokers must come to terms with the changing business; Industry now seeks wealthy clients while building fee business.(Broker-Dealers)
• High hopes for repealing sunset on 529 exemptions.(Conference Call)
• Advice to advisers: Don't give away insurance business; No-load execs say fee-based advisers can charge.(News)
• LTC holders could catch a Medicaid break; 2 bills in Congress would give states option on eligibility.(News)
• Indie broker-dealers got healthier in 2004; Average firm in the black after three years in the red.(News)
• Closing Quote.(Quotes)
• SEC: Weill played role in transfer agent hoopla involving Smith Barney; Citi chairman isn't likely to face charges.(News)
• Gabelli-run fund cautiously invests in M&A targets.(Street Wise)
• SIA wants NASD, NYSE to modify their analyst rules; Association says that reforms are `ineffective, unduly vague or burdensome'.(News)
• Merrill reps won't miss Gorman.(Short Interests)
• Raymond James swims in sea of legal woes; Top producer awarded 756G in arbitration.(News)
• U.S. to seek indictments in KPMG tax shelter case.(Tax Watch)
• Life agent group supports optional federal charter; Agents for Change looks to counterbalance push by P&C insurance group.(News)
• 45% cash out 401(k) balance upon leaving.(Short Interests)

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