Investment News

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Articles in October, 2006 issue of Investment News

• Panelists sing the praises of a fiduciary standard.(Conference Calls)(Discussion)
• Mutual fund investors may pay $20 billion in taxes this year; Estimate is based on expected jump in capital gains distributions.(News)
• Advisers may turn to software for 401(k) help; Pension act opens the door for providers.(News)
• Opinion poll.(Opinion)
• Strategies for avoiding the next pension crisis.(Other Views)
• Hybrid annuity/LTC products may be stymied by silos.(Short Interests)
• The five phases of delivering participant advice.(Fiduciary Corner)
• Some outreach efforts to rich women fall flat.(Short Interests)
• Jensen fund managers have the patience of Job.(Street Wise)
• Some wealth managers restructure fees; AUM model comes under pressure, though it has its defenders.(News)
• Podcast imparts planning lesson.(Short Interests)
• Overhaul of hedge fund regs proposed in Canada; Task force eyes framework similar to mutual funds'.(News)
• Tiburon to hold a custody jamboree.(At the Bell)
• Conn. creates unit to oversee hedge funds, to mixed reviews; Move seen as bypass around lack of regulation.(News)
• Guaranteed-income annuities may appear inside Lincoln 401(k)s; But costs could raise fiduciary concerns, one critic says.(News)
• Two firms seek to fill Domini's social-indexing void; Green Century Funds, Barclays Global are the first to step up.(News)
• Schroders expansion of fund lineup goes global; Firm tries to deliver to financial advisers what they want.(News)
• American Funds' donor fund worrisome to some; Leery of paying brokers to get clients to donate.(News)
• Yahoo! survey aims to quantify factors that influence advisers' online behavior; Its Finance site, Morningstar listed as top two sources.(News)
• Small-cap manager likes long-term commitments.(Street Wise)
• For the wholesaler, a wholesale change; They add advice, practice tips to new carpetbag.(News)
• With Rodney P. Wood of Wilmington Trust Wealth Advisory Services.(One on One)
• China temporarily freezes licensing for brokerage firms; Wants to give local firms chance to clean up acts, limit outside competition.(News)
• Evergreen fund gets top-to-bottom overhaul.(Street Wise)
• Fund kickback scandal has silver lining; BISYS probe shows need for board independence, rule's proponents say.(News)
• NASD response to campaign rhetoric infuriates some broker-dealer execs; But the SRO defends its online list of `assertions and facts'.(News)
• With Dan Taylor of AdvisorFreedom.(One on One)
• Banks and insurers continue to spend in war on terror; ABA concerned regulation is a financial burden.(News)
• Fidelity practically a 'no show' in ETF arena; Firm looks to be missing out on the boom.(News)
• Insurance agent not the best fit for wealth team.(Practice Management)
• Banc of America loses $3M claim; Three former brokers win arbitration on broken promises.(News)
• Cox gets so-so grade; advisers worried about overregulation.(Industry Attitudes)
• People.
• In Third World, high expense can mean high returns.(The Markets: Equity Fund Expenses)
• Personnel issues dominate conference held by the Wealth Management Forum.(Conference Call)
• Closing quote.(Reverse Spin)
• Emerging markets test socially conscious investors; Companies in developing countries can't be held to highest standards.(News)
• Bank oversight relief extended to S&L trust departments; SEC and federal bank regulators expected to reach consensus.(News)
• With Mark Casady of LPL Financial Services Inc.(One on One)
• Congress needs to restore fairness to the tax system.(Monday Morning)
• Wealth management growth spawns new associations, services; Proliferation of entities gets mixed reception; some question the need for them.(News)
• Royal Alliance shakes up management, adds clearing firm; New CEO puts own stamp on BD.(News)
• Decisions, decisions.(Short Interests)
• RIAs, asset custodians face off at Tiburon powwow.(Conference Call)
• FPA to replace website in '08.(Short Interests)
• Choosing Middle America over wealth management.(Conference Call)
• Closing quote.
• Whitman, raking in the green, isn't ready for pasture; Third Ave. Value trouncing its peers and the market.(News)
• Opinion poll.(Opinion)
• Wealth management in Chicago is a booming business; Banks dominate, but firms vie for fragmented market.(News)
• Boomers need to consider housing needs.(Short Interests)
• Congress gives retirement its own week.(Short Interests)
• SEC approval of Hancock VA funds seen as uncertain; It may reject proposal if prospectus is materially changed, observers say.(News)
• Resignation will not deter CFP Board's ethics proposal; CEO Teslik to leave at end of this month to take governance post.(News)
• Is strong junk bond performance nearing end? Run's sustainability is subject of debate.(News)
• Hoist a Guinness (fund) to alternative energy.(Street Wise)
• Sharpe rethinks the capital asset pricing model; Says he has found a better way to teach managers, students.(News)
• Overseas funds enjoy more wind in their sails.(The Markets)
• Adding an insurance agent to wealth preservation team.(Practice Management)
• Evergreen losing portfolio pros to boutiques, startups; Talent outflow follows changes in bond biz, comp.(News)
• New John Hancock, Prudential ads focus on retirees; Campaigns position investors in the driver's seat.(News)
• Chicken Little Growth Fund no turkey.(Short Interests)
• NASAA arbitration stance draws fire; Defense bar says regulators fail to give it a hearing in debate over industry panelists.(News)
• SEC reporting deadline is a big burden.(Monday Morning)
• Specter: Increase insider-trading prosecutions; Senator concerned about violations by hedge funds.(News)
• Damned if they do, damned if they don't.(Reverse Spin)
• Congress may look to reduce tax gap with cost basis reporting; Legislation seen as inevitable; advisers applaud idea.(News)
• ETFs not passive, Lord Abbett fund manager says; Claims they don't invest; `they participate'.(News)
• Rich like giving to non-profits.(Short Interests)
• Closing quote.(Reverse Spin)
• People.
• Wellness is critical for small businesses.(Practice Management)
• Fidelity adviser chief steps aside.(At the Bell)
• Socially conscious investors see their power growing; Shareholder proposals gain support, report finds.(News)
• Democrats put together 'wish list'; Agenda includes eliminating AMT, keeping tax credits.(News)
• Two failed cases add to woes of regulator; B.C. commission under fire again.(News)
• Linsco still beefing up services for its advisers; Firm is weighing addition of UMA offering.(News)
• Gorman calls for 'brutal' treatment of low-end brokers; Morgan Stanley executive's keynote address draws a strong response from the industry.(News)
• Some investors feeling the pinch of housing slump; `Creative financing' is concern for advisers.(News)
• SunGard's PlanningStation adds cash flow module.(Product Watch)

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