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News Stories Archives - Since 1998
Pre-Deal, a Southeastern AM Debuts Its 4th ETP
The new fund launched on February 21, and the deal closed this week...
MutualFundWire.com - Friday, March 15, 2024
A Florida Provider Preps a March PEP Venture
The new PEP's launch date was March 1, according to a recent filing...
401kWire.com - Friday, March 15, 2024
Total 401k AUA Passes $7T, Again
A mutual fund industry trade group releases data on U.S. retirement markets, including 401(k)s and other DC plans...
401kWire.com - Friday, March 15, 2024
With a Securian Ally, Standard's Pros Target New Clients
A recordkeeper is rolling out an acquiree's offering, complete with a familiar partner. Stay tuned for word on when on the new offering will be available to existing...
401kWire.com - Friday, March 15, 2024
After a Deal and 2 MFs, a Gotham AM Reaches $10B
The team at an institutional asset manager trumpets a 40-percent AUM rise since 2021...
MutualFundWire.com - Friday, March 15, 2024
Two Ascensus Alumni Join T. Rowe
The new hires have both signed on with the provider's core market sales team...
401kWire.com - Friday, March 15, 2024
A $196B-AUMS Firm Adds an Inflation Sensitive Fund
The new, passively managed ETF is PMed by a seven-person investment committee...
MutualFundWire.com - Wednesday, March 15, 2023 Views
Plan Access Has Climbed Five Percent Since 2013
The biggest change has been among workers with small employers...
401kWire.com - Wednesday, March 15, 2023
37 Years In, a Voya Leader Exits
The executive once led the recordkeeper's corporate markets business...
401kWire.com - Wednesday, March 15, 2023
Littlejohn Reflects on IRALogix's Latest Alliance
The IRALogix co-founder talks to 401kWire about a new partnership and more...
401kWire.com - Wednesday, March 15, 2023 - Reader Rating: 5
For Cap Group, Is the Fifth Time the Charm?
The team at an investment research giant reveals nominees (three PMs and three fund firms) for its annual awards...
MutualFundWire.com - Wednesday, March 15, 2023 Views
An EGPS Alum Joins a NJ RIA
The new hire now serves as director of retirement plans at the Garden State firm...
401kWire.com - Wednesday, March 15, 2023
Schwab's Five-Month-Old Lead Widens
The M* team updates U.S. flows data for February 2022 for ETFs and long-term, open-end mutual funds...
MutualFundWire.com - Tuesday, March 15, 2022 Views
In the Midwest, a $1B-AUA Plan Renews
The plan covers 9,300 participating members and will stick with its current RKer...
401kWire.com - Tuesday, March 15, 2022 - Reader Rating: 1
A $99B-AUA RKer's Chief Exits
The retirement plan provider's publicly traded parent is bringing back a group benefits chief to lead the segment that includes both benefits and retirement..
401kWire.com - Tuesday, March 15, 2022 - Reader Rating: 5
2022's Five Most Ethical RKers
An organization focused on ethical business practices recognizes 136 companies, including several that should be familiar to defined contribution industry insiders...
401kWire.com - Tuesday, March 15, 2022
2022's Six Most Ethical Fund Firms
An organization focused on ethical business practices recognizes 136 companies, including several that should be familiar to fundsters...
MutualFundWire.com - Tuesday, March 15, 2022 Views - Reader Rating: 4
How Do KPAs Diagnose Disaster Plans?
A former KPA unveils his latest offering for the retirement plan industry...
401kWire.com - Tuesday, March 15, 2022
MF and ETF Inflows Quintuple
The M* team updates U.S. flows data for February 2021 for ETFs and long-term, open-end mutual funds...
MutualFundWire.com - Monday, March 15, 2021 Views
13 RKers Now Partner With a Giant B-D
The publicly traded firm rebranded the program last year...
401kWire.com - Monday, March 15, 2021 - Reader Rating: 1
$100B AUA, 120 CITs, and Counting
An ally to asset managers added $17.3 billion in collective trust assets last year...
401kWire.com - Monday, March 15, 2021 - Reader Rating: 5
Hancock Helps KPAs and Sponsors Ponder What-Ifs
The retirement plan provider arm at the insurer releases a new dashboard for its clients and their allies...
401kWire.com - Monday, March 15, 2021
Week In Preview, March 15 - March 21
This week, the teams at Advisor2X, Congruent, DoL, and FIS are hosting online events...
401kWire.com - Monday, March 15, 2021
Week In Preview, March 15 - March 21
This week, the teams at High Water Women, ICI, McKinsey, and MMI are hosting online events...
MutualFundWire.com - Monday, March 15, 2021 Views
A 15-Year FIS Vet Dies
There is no official word yet on how his duties are being handled...
401kWire.com - Friday, March 15, 2019 - Reader Rating: 1
Micro Fund Firms' Inflows Plummet 89 Percent
The M* team updates flows data for February 2019 for ETFs and long-term, open-end mutual funds...
MutualFundWire.com - Friday, March 15, 2019 Views
Crane Welcomes a Midwestern Transamerica Alum to Ascensus
The new VP will be part of the company’s Illinois retirement plan sales team...
401kWire.com - Friday, March 15, 2019 - Reader Rating: 5
The Fundster 401k Roundup, March 9-15
A private equity-backed RKer buys again...
MutualFundWire.com - Friday, March 15, 2019 Views
A Financial Institutions Litigation Team Gains an 18th Member
The practice's latest litigator is another Carlton Fields alum...
401kWire.com - Friday, March 15, 2019
Macquarie IM Keeps M&A Hunting Amid Thoughtful Expansion in the U.S.
Shawn Lytle talks about what's next after the multinational asset manager's latest acquisition...
MutualFundWire.com - Thursday, March 15, 2018 Views
In Portland, a 30K-Employee Company Switches RKers
The move includes the launch of a new set of model portfolios...
401kWire.com - Thursday, March 15, 2018 - Reader Rating: 5
Ackerley Urges "Re-Tooling" of TDFs
Armed with a new study from the company's research arm, BlackRock's DC chief and her team call on plan sponsors and providers to consider TDFs as "end-to-end" solutions...
401kWire.com - Thursday, March 15, 2018
As Securian Hires, Another Transamerica Wholesaler's Role Expands
Tom Briggs adds more territory to the duties of a retirement plan consultant in the Southwest...
401kWire.com - Thursday, March 15, 2018
Gamco Sues One of Its Own Distro Execs
A fight over mutual fund distribution commissions spills over into federal court...
MutualFundWire.com - Thursday, March 15, 2018 Views
Trade Groups Call for an Extended Fiduciary Rule Delay
401kWire talks to Eric Henon from the Retirement Advisor Council about the fiduciary rule and pending delay. ..
401kWire.com - Wednesday, March 15, 2017
JPMAM's Lester and Roy Unveil New Retirement Resources
J.P. Morgan Asset Management brass release fresh resources at a press event. ..
401kWire.com - Wednesday, March 15, 2017
Is This the Biggest Threat to the Mutual Fund Industry?
Fundsters vote on what keeps them up at night, both industry issues and world ones...
MutualFundWire.com - Wednesday, March 15, 2017 Views
Follow the Fundsters - March 15, 2017
Hires, fires, and the like!..
MutualFundWire.com - Wednesday, March 15, 2017 Views
No More Pru? It's PGIM!
Prudential Investments will rebrand at the beginning of next month...
MutualFundWire.com - Wednesday, March 15, 2017 Views
This OneAmerica Regional Director Has Departed
An institutional markets regional director has left after less than a year with the firm ..
401kWire.com - Wednesday, March 15, 2017 - Reader Rating: 3.5
PwC and Northern Trust Help Fundsters Say Goodbye to Palm Desert
The final day of the 2017 ICI MFIM conference begins, after a final night of industry networking events at what will be the last such conference here, at least for a few years...
MutualFundWire.com - Wednesday, March 15, 2017 Views
Bracing For the Fiduciary Reg: Mutual Fund Board Edition
Top ERISA legal eagle talk to fundsters about the to-be-revealed-any-day-now re-proposed regulation from the DoL...
MutualFundWire.com - Tuesday, March 15, 2016 Views
Anderson Rolls Out Cetera's KPA-Support Suite
As the B-D group moves in a new direction, its retirement solutions team unveils a comprehensive offering for retirement plan advisors of all stripes...
401kWire.com - Tuesday, March 15, 2016
Remember What Happened to First Eagle? The SEC's Top Cop Definitely Does
The director of the regulatory agency's enforcement division talks about what he thinks are the most important recent enforcement actions in the mutual fund space...
MutualFundWire.com - Tuesday, March 15, 2016 Views
Penske Truck Leasing Renews $662MM Plan with RKer
A Penske Corporation subsidiary renews its retirement savings plans with its existing recordkeeper...
401kWire.com - Tuesday, March 15, 2016 - Reader Rating: 3
KPA and SARPs Lobbyist Adds $150MM in AUM
Opposing State Administered Retirement Plans does not stop this KPA from growing his business. ..
401kWire.com - Tuesday, March 15, 2016 - Reader Rating: 4.44
Goldman Sachs Acquires an Austin, Texas 401(k) Platform
Revolutionary ideals has designs to benefit Americans who lack access to a retirement savings plan. ..
401kWire.com - Tuesday, March 15, 2016 - Reader Rating: 4
PSCA Will Host A Local Workshop Near You
The Plan Sponsor Council of America (PSCA) will host a workshop symposium in local cities across the country. PSCA will host New York City in April...
401kWire.com - Tuesday, March 15, 2016 - Reader Rating: 4
Pimco, BlackRock, and Janus vs ... Everybody Else?
Bloomberg chimes in, twice, on the great mutual fund flow debate...
MutualFundWire.com - Tuesday, March 15, 2016 Views
1205 ICIers Gather in the Desert
Fundsters celebrate 75 years of the trade group and of the modern U.S. mutual fund industry...
MutualFundWire.com - Sunday, March 15, 2015 Views
SEC Offers Social Media Reassurance to Fundsters
The update aims to clarify the obligations of mutual funds regarding their social media postings...
MutualFundWire.com - Friday, March 15, 2013 Views
There's a New Daily Source For Retirement Plan Advisors
An industry trade publisher launches a newsletter geared towards retirement plan advisors...
401kWire.com - Friday, March 15, 2013 - Reader Rating: 1
OneAmerica Had a Record 2012
Sales were up yet again for the RKer...
401kWire.com - Friday, March 15, 2013
A Relius Alum Lands a New Gig
Chip Moore has joined a new tech company...
401kWire.com - Friday, March 15, 2013
Knock Knock. Orange You Going to Save More?
ING launches a new advertising campaign around retirement savings...
401kWire.com - Friday, March 15, 2013 - Reader Rating: 5
Who Cleaned Up At the 2013 Lipper Awards?
Which asset managers won the most out of the more than 300 awards handed out Thursday? ..
MutualFundWire.com - Friday, March 15, 2013 Views
Lockton Adds a Mile-High Retirement Advisor
Updated | The insurance brokerage welcomes a DC industry veteran...
401kWire.com - Friday, March 15, 2013
Stork and Reaper for the Week of March 11, 2013
Read up on the latest mutual fund product changes...
MutualFundWire.com - Friday, March 15, 2013 Views
Fundsters Look Into Farming
A shop is starting a farm research group...
MutualFundWire.com - Friday, March 15, 2013 Views
An RKer Sows New Research Seeds
A bundled provider teams up with a Midwestern university...
401kWire.com - Friday, March 15, 2013
Asset Managers Open Their Social Wallets
Cerulli Associates reports a boom in social media staffing...
MutualFundWire.com - Friday, March 15, 2013 Views
Great-West Hires an IRA Leader
The fresh recruit will seek to boost rollover sales...
401kWire.com - Friday, March 15, 2013
The AP Tackles Mutual Fund Trading Costs
The wire service weighs in on research from last month...
MutualFundWire.com - Friday, March 15, 2013 Views
Not Everybody Loves Fidelity's New ETF Play
The WSJ reports that new fee arrangements have led to advisor backlash...
MutualFundWire.com - Friday, March 15, 2013 Views
Waggoner Touts Global Funds
What global fund's is the columnist recommending to investors?..
MutualFundWire.com - Friday, March 15, 2013 Views
Weil Promotes a Smooth Ride at Janus
Janus CEO pitches new line of products that address market volatility...
MutualFundWire.com - Friday, March 15, 2013 Views
Picture This: A Fidelity ETF Targeting State Street
S&P Capital IQ director tells Barron's what such a product might look like...
MutualFundWire.com - Friday, March 15, 2013 Views
Asset Manager Growth Slows
Revenue is still up, but the growth is less than in previous years...
MutualFundWire.com - Friday, March 15, 2013 Views - Reader Rating: 1
Mutual of Omaha Selects its Online Ed Tool
The plan provider has tapped a tool for video-based plan communications...
401kWire.com - Thursday, March 15, 2012
MassMutual Review Boosts Participants' Readiness 40 Percent
Showing plan sponsors and advisors a holistic view of participant's preparedness allows for a boost...
401kWire.com - Thursday, March 15, 2012 - Reader Rating: 2.33
UMB's Series Trust Hits the $2 Billion Mark
Net assets in UMB Fund Services' series trust now total more than $2 billion...
MutualFundWire.com - Thursday, March 15, 2012 Views
Pru Serves Up a Global Opps Fund
The New Jersey-based fund firm expands its mutual fund roster...
MutualFundWire.com - Thursday, March 15, 2012 Views
Raytheon Renews Ties with its Recordkeeper
The jumbo plan sponsor extends its relationship with the recordkeeper of its $12 billion 401k plan...
401kWire.com - Thursday, March 15, 2012
US Commodity Funds Unveils an Agricultural ETF
The Alameda, California-based firm launches its 11th commodity ETF...
MutualFundWire.com - Thursday, March 15, 2012 Views
Ariel CEO to Bid Adieu to Aon's Board
John Rogers will step down as Aon board member this spring...
MutualFundWire.com - Thursday, March 15, 2012 Views
Ned and Abby to be Honored as Distinguished Bostonians
The Johnson family will be honored by the Greater Boston Chamber of Commerce at a dinner next month...
MutualFundWire.com - Thursday, March 15, 2012 Views
Is Wells About to Create the Biggest Wirehouse?
A trade pub wonders if the bank will buy another wirehouse...
MutualFundWire.com - Tuesday, March 15, 2011 Views
Van Eck Brings the Andes to ETF Investors
The New York-based mutual fund firm launches its newest offering...
MutualFundWire.com - Tuesday, March 15, 2011 Views
Rainier Names its New CEO
It also promoted an insider to a new position...
MutualFundWire.com - Tuesday, March 15, 2011 Views
Industry Insiders Laud the Rise of Specialist Advisors
Advisors and RKers talk about what the 401k market will look like in 2020...
401kWire.com - Tuesday, March 15, 2011 - Reader Rating: 3
Ridgeworth Targets Advisors with Podcasts
Advisors on the go can now get access to updates on diffferent asset classes via podcasts from RidgeWorth Investments...
MutualFundWire.com - Tuesday, March 15, 2011 Views
Two 403b Plans Reup With VALIC
VALIC is trumpeting its retention of two healthcare retirement plans...
401kWire.com - Tuesday, March 15, 2011
TIAA Makes a Splash in the Sunshine State
The education market giant welcomes another plan into its fold...
401kWire.com - Tuesday, March 15, 2011
Cafaro Suggests Using Stable Value to 'Differentiate' Yourself
Industry insiders on a panel at the ASPPA 401k Summit discuss the changing capital preservation side of the defined contribution marketplace...
401kWire.com - Tuesday, March 15, 2011 - Reader Rating: 3
Participants Show Apathy to Retirement Readiness
A new survey says participants may not be aware that they need to be concerned about their retirement readiness...
401kWire.com - Tuesday, March 15, 2011 - Reader Rating: 1
Wells Fargo Adds 65 New Plans
Wells Fargo is starting Q1 where it left off in 2010...
401kWire.com - Tuesday, March 15, 2011
Managers Rant About Quality, Imbalances and Bailouts
Fund managers are paying lip service to issues affecting capital markets...
MutualFundWire.com - Tuesday, March 15, 2011 Views
Pimco Plans a $60M HQ
The bond mutual fund titan will move into a new home by the end of 2013...
MutualFundWire.com - Tuesday, March 15, 2011 Views
Japan's Quake Doesn't Shake U.S. Managers
Post earthquake, U.S. managers remain bullish on the ravaged Japanese economy...
MutualFundWire.com - Tuesday, March 15, 2011 Views
A Veteran Sales Executive Leaves Fidelity
The former VP of retirement plan sales heads to Black Diamond..
401kWire.com - Monday, March 15, 2010 - Reader Rating: 2
401k Fee Disclosure Moves Forward on Two Fronts
The DC industry may be hearing more on disclosure soon from both Congress and the DoL...
401kWire.com - Monday, March 15, 2010 - Reader Rating: 4
Kohl Might Unveil His Target-Date Bill Next Month
The chairman of the Senate Special Committee on Aging might release his target-date fund bill sometime in April, according to a panelist at the ICI conference...
401kWire.com - Monday, March 15, 2010 - Reader Rating: 4
Tolve Brings His Project Online
Coming off of the success of its latest project, Mercer is looking at boosting participant contributions electronically..
401kWire.com - Monday, March 15, 2010
Top 40 Advisor: Michael Coelho
This Anaheim-based LPL advisor lands in the top 40 DC advisors for 2009 as one of the ten finalists in the micro market...
401kWire.com - Monday, March 15, 2010 - Reader Rating: 5
Paychex Opens its 401k Doors to Fee-Only Advisors
The payroll provider reaches out to more DC intermediaries...
401kWire.com - Monday, March 15, 2010
ASPPA and MStar Splash Accolades on an Advisor Out West
And the winner of the 2010 401k Advisor Leadership Award is .....
401kWire.com - Monday, March 15, 2010 - Reader Rating: 5
Aguilar Gives ICI Attendees a Window into an SEC Commissioner's Thinking
SEC Commissioner Luis Aguilar spoke to attendees at the ICI Mutual Funds and Investment Management Conference in Phoenix Monday morning...
MutualFundWire.com - Monday, March 15, 2010 Views - Reader Rating: 1
Two Firms Lever Their ETF Position
With one launching funds and the other preparing to do the same, both firms focus their efforts on emerging market countries..
MutualFundWire.com - Monday, March 15, 2010 Views
DOL Files a 401k Suit Against a Bankrupt Piping Company
The DOL is taking a man to court after he neglected to administer the company's 401(k) plan..
401kWire.com - Monday, March 15, 2010
What Does Vanguarding Mean?
A new ad campaign from the fund company hits the print, online and broadcast media today..
MutualFundWire.com - Monday, March 15, 2010 Views - Reader Rating: 5
Stevens Reiterates His Push to Sink the Floating NAV Proposal
ICI's president kicked off the first full day of sessions at the ICI Mutual Funds and Investment Management Conference in Phoenix with a talk on money funds...
MutualFundWire.com - Monday, March 15, 2010 Views - Reader Rating: 1
State Street Strengthens its Emerging Market Menu
The ETF powerhouse is making another push into BRIC countries with a new fund..
MutualFundWire.com - Monday, March 15, 2010 Views
Hancock's Parent Names New President
The fund arm of John Hancock's foreign parent company finds a new senior executive from within its ranks...
MutualFundWire.com - Monday, March 15, 2010 Views
Morningstar Highlights Four Fidelity Funds
A columnist names the managers he trusts the most..
MutualFundWire.com - Monday, March 15, 2010 Views
Future of Closed-End Funds is Uncertain
The Journal' Daisy Maxey suggests that increasing dividends may not last..
MutualFundWire.com - Monday, March 15, 2010 Views
Moving in at Morgan
Morgan Stanley has named a new chief marketing officer for the global wealth-management group. WSJ tells you what Elizabeth Pasciucco will do for them. ..
MutualFundWire.com - Thursday, March 15, 2007 - Reader Rating: 3.33
SEC Enforces Rule
The SEC has decided to enforce settlement proceedings against three former financial officers of Raytheon Company and one of its subsidiaries as the result of improper accounting practices...
MutualFundWire.com - Thursday, March 15, 2007
Crimson Blush for CapGroup Director
Want to know more about Capital Group director James Rothenberg? A revealing profile in the Harvard Review explains why Shakespeare and Hemingway are important to the fund business...
MutualFundWire.com - Thursday, March 15, 2007 Views - Reader Rating: 3
Educating the Executive
Ever wondered how top fund executives learned everything they know? Investment News, talks to Susan Wyderco about her job as teacher to those who already think they know everything...
MutualFundWire.com - Thursday, March 15, 2007 Views - Reader Rating: 3
ICI Adds Speaker to Roundtable
Richard Bennett is a late addition to the SEC's panel on the use of interactive data by mutual funds...
MutualFundWire.com - Thursday, March 15, 2007 Views - Reader Rating: 3
Cogent Finds Brand Recognition Low Among Funds
Cogent research found that consistency is the key to growing brand recognition among high-net-worth clients...
MutualFundWire.com - Thursday, March 15, 2007 Views - Reader Rating: 3.29
MassMutual Makes Key Hire
The Bay State insurer brings in a fund industry veteran. ..
401kWire.com - Thursday, March 15, 2007 - Reader Rating: 2.33
ISS Recommends Vote "FOR" FEAOX's Sustainability Shareholder Proposal
Action Fund Management, investment advisor to the Free Enterprise Action Fund announced today that proxy adviser Institutional Shareholder Services recommended its socially responsible investor clients to vote "FOR" the FEAOX's sustainability shareholder proposal...
MutualFundWire.com - Thursday, March 15, 2007 Views - Reader Rating: 3
Hedge Fund Or Mutual Fund - Do You Have to Pick Just One?
The Absolute Strategies Fund, a fund of hedge funds-like mutual funds (Apparently this really does exist) adds new managers in an effort ot increase returns. Mohican Financial Management, a convertible arbitrage shop, and Kovitz Investment Group, an equity long/short shop are the two new managers. Click here if you just can't wait to learn more...
MutualFundWire.com - Thursday, March 15, 2007 Views - Reader Rating: 3
Wealthy Fund Investors Find Your Branding Less Than Cogent
Despite their high profits, fund firms are doing a poor job of building a lasting relationship with customers. Today, the WSJ's Fund Track column picks up research from Cogent Research which found that only one-third of top fund firms have "meaningful customer loyalty." That short list, says Cogent's Chris Brown, includes Vanguard, American Funds and a handul of other firms selling through intermediaries...
MutualFundWire.com - Thursday, March 15, 2007 Views - Reader Rating: 3
Independent Advisors Looking to Internally Manage Growth, SEI Forum Finds
The SEI Advisor Network's Advisor Growth Forum brings together 25 of the company's fastest-growing advisor clients to discuss challenges and share best practices as in efforts to grow businesses...
MutualFundWire.com - Thursday, March 15, 2007 Views - Reader Rating: 3
Exceptional Returns by NPH Boost Jacksons' 2006 Performance
NPH posts record revenue of nearly $493 million in 2006, lifting it's affiliate Jackson National Life Insurance Company to record GAAP revenues...
MutualFundWire.com - Thursday, March 15, 2007
Bear Stearns Releases First Quarter Report
Bear Stearns released their report today for the first quarter of 2007.Net income for the first quarter of 2007 was $554 million, up 8% from $514 million for the first quarter of 2006...
MutualFundWire.com - Thursday, March 15, 2007 - Reader Rating: 4
Schwab Releases Monthly Activity Report
Charles Schwab releases monthly activity report for February 2007...
MutualFundWire.com - Thursday, March 15, 2007 - Reader Rating: 3.29
MFS Retirement Morphs into Sun Life RSI
The Canadian parent company to Boston-based MFS is taking the reins of the MFS 401k business...
401kWire.com - Wednesday, March 15, 2006 - Reader Rating: 3
Spitzer Strikes Again: Sues H&R Block
The New York AG says the tax preparer hawked high-fee, low-interest IRAs to vulnerable investors...
MutualFundWire.com - Wednesday, March 15, 2006 - Reader Rating: 4
Perspective Partners Offers Data Mining Made Easy
The software company aims to make information simple for investment professionals and their individual clients...
401kWire.com - Wednesday, March 15, 2006 - Reader Rating: 1
EBSA Recovers $1.1 Million for Former Employees of MI Firm
A federal district court has determined that Ronald Retsema should hand over misappropriated funds to his former employees...
401kWire.com - Wednesday, March 15, 2006
CPI Brings Alger Funds to Platform
The Midwest TPA sticks to its more-is-more philosophy, adding another choice to its lineup...
401kWire.com - Wednesday, March 15, 2006 - Reader Rating: 5
NASD Fines Merrill Lynch
The NASD has slapped a $5 million fine on Merrill Lynch for its failure to put in place an adequate supervisory system at its financial advisory centers (FAC) in Hopewell, New Jersey and Jacksonville, Florida...
MutualFundWire.com - Wednesday, March 15, 2006 Views
Reserve Uncovers Glitches
The advisor to the Reserve Funds and Hallmark Funds wants shareholders to restore order, after faulty advice from "outside counsel" resulted in null and void contracts. But a look over the past year at Reserve suggests a pattern of technical difficulties...
MutualFundWire.com - Wednesday, March 15, 2006 Views
First Trust To Add More ETFs
First Trust Advisors is looking to broaden its lineup of exchange traded funds. The Lisle, Illinois-based firm, which on Wednesday launched its second ETF on the American Stock Exchange, aims to add over 10 ETFs in the coming months, according to a company official...
MutualFundWire.com - Wednesday, March 15, 2006 Views - Reader Rating: 4
PlanSponsor Bets on Professional Training
The publisher is signing on provider sponsors for a retirement certification program aimed at sales professionals...
401kWire.com - Tuesday, March 15, 2005
Provider Updates Taft-Hartley Materials
Times are a' changin for union members...
401kWire.com - Tuesday, March 15, 2005
Financial Firms Support for Social Security Debate Feeling Heat
Schwab is not alone on the union's list of targets as the AFL-CIO targets Wachovia also. Financial services group pulls out of Social Security reform group...
401kWire.com - Tuesday, March 15, 2005
Schwab Targets Commission-Based Biz
Why is the provider making an about-face and courting old-fashioned brokers?..
401kWire.com - Tuesday, March 15, 2005 - Reader Rating: 3
Xerox Shifting to 401k from DB
The upstate New York giant is the latest employer to close its defined benefit plan in favor of a 401k...
401kWire.com - Tuesday, March 15, 2005
Inside the WSJ's 401(k)
A former Dow Jones employee takes a hard look at the kingpin's own plan, and intends to expand the search...
401kWire.com - Tuesday, March 15, 2005
ExpertPlan Tool Lets RIA Put their Mark onto Plans
The new tool allows registered investment advisors to create their own mixes for plan clients...
401kWire.com - Tuesday, March 15, 2005 - Reader Rating: 3
The City of Angels is Feeling Forgiving
Los Angeles' Board of Deferred Compensation gives its incumbent consultant a short-term renewal, but other consultants have the perfect opportunity to step up...
401kWire.com - Tuesday, March 15, 2005
DoL Takes North Carolina Sponsor to Court
Another sponsor has failed to properly terminate a plan...
401kWire.com - Tuesday, March 15, 2005
Fidelity International Goes Live in India
Fidelity International Limited's Indian arm, Fidelity Fund Management Private Limited, is readying to launch its first fund in India, several Indian newspapers have reported...
MutualFundWire.com - Tuesday, March 15, 2005 Views - Reader Rating: 3.29
Fido Names Co-Manager on Asset-Allocation Funds
Fidelity's Freedom Funds will now be managed by Jonathan Shelon, as well as current manager Ren Cheng. Shelon also co-manages the Advisor Fidelity Freedom Funds and several states' 529 plans...
MutualFundWire.com - Tuesday, March 15, 2005 Views
Alliance: NASD Settlement is Imminent
Officials at Alliance Capital Management are in negotiations with regulators from the NASD. The fund firm executives believe a settlement is imminent, and in anticipation of a final deal, recorded a $5 million charge against 2004 earnings .....
MutualFundWire.com - Tuesday, March 15, 2005 Views
BofA Directors Agree to Resign. Settlement is Record
Bank of America and FleetBoston agree to pay $675 million to settle improper-trading charges in largest payment to date...
MutualFundWire.com - Monday, March 15, 2004 - Reader Rating: 5
401k Searches Roundup
A Phoenix sponsor and a grocery store chain are reportedly on the hunt for new providers...
401kWire.com - Monday, March 15, 2004 - Reader Rating: 1
Sitting In On DC 101
What gets said when a group of small and mid-sized plan sponsors gather to hear a talk on the basics of defined contribution plans?..
401kWire.com - Monday, March 15, 2004 - Reader Rating: 4
BofA and Fleet Reported Near Settlement
The two banks may pay more than half a billion dollars to settle improper trading allegations...
MutualFundWire.com - Monday, March 15, 2004
Investigators Asked KeyCorp for Info
The bank was among the financial services firms from which the SEC and NYAG asked for documents...
MutualFundWire.com - Monday, March 15, 2004 Views
Fidelity Wants More Brokerage Disclosure
No more bundled commissions, says the fund giant in a letter to the SEC...
MutualFundWire.com - Monday, March 15, 2004 Views
Janus Hires Top Investment Officer
The search for a replacement for Helen Young Hayes at the Denver fund firm is over...
MutualFundWire.com - Monday, March 15, 2004 Views
Fido Snubs Amex
GE to Shutter Fund ... Skandia Seeks Sales Chief. ..
401kWire.com - Friday, March 15, 2002 - Reader Rating: 3
Fido Snubs Amex
GE to Shutter Fund ... Skandia Seeks Sales Chief. ..
MutualFundWire.com - Friday, March 15, 2002 Views - Reader Rating: 3
Morningstar Winning Wrap Biz
The fund tracker is on track with its managed account platform. ..
MutualFundWire.com - Friday, March 15, 2002 Views - Reader Rating: 3
STI Adds Fund Wrap
The bank has tapped FundQuest for the product...
MutualFundWire.com - Friday, March 15, 2002 Views - Reader Rating: 3
Ameritrade Joins the Fray
The broker thinks it has a solution to the brokerage puzzle in defined contribution plans...
401kWire.com - Friday, March 15, 2002 - Reader Rating: 3
Participants Are Trading Less
New released numbers reveal that brokerage account activity fell by nearly half in 2002...
401kWire.com - Friday, March 15, 2002 - Reader Rating: 3
SSgA Lands Enron Gig
The firm will collect $1.5 million annually to serve as a special independent fiduciary...
401kWire.com - Friday, March 15, 2002 - Reader Rating: 3
What's Wrong with the Bank Channel
Bank and wirehouse broker/dealers play the same game on different fields. ..
MutualFundWire.com - Thursday, March 15, 2001 Views - Reader Rating: 3
Conference Clamor
Text and subtext at the IBF's DC/401k conference...
401kWire.com - Thursday, March 15, 2001 - Reader Rating: 3
Insurer Sticks to Fund Planting Schedule
Midwest insurance giant's funds come to market...
MutualFundWire.com - Thursday, March 15, 2001 Views - Reader Rating: 3
CIGNA Picks More Funds
The Nutmeg State firm does it again with another trio of retail-level commingled accounts...
401kWire.com - Thursday, March 15, 2001 - Reader Rating: 3
The Perfect Storm
Schwab is battening down the hatches for a blustery long-range forecast...
401kWire.com - Thursday, March 15, 2001 - Reader Rating: 3
The Perfect Storm
Schwab is battening down the hatches for a blustery long-range forecast...
MutualFundWire.com - Thursday, March 15, 2001 - Reader Rating: 3
Tally-Ho, Morningstar Is Online
Pru to De-Mu ... Tally-Ho, Morningstar Is Online..
401kWire.com - Thursday, March 15, 2001 - Reader Rating: 3
Pru to De-Mu
Pru to De-Mu ... Tally-Ho, Morningstar Is Online..
MutualFundWire.com - Thursday, March 15, 2001 - Reader Rating: 3
American Century Launches New Ad Campaign
American Century Funds will be debuting a new advertising campaign tonight during the political drama, "The West Wing."..
MutualFundWire.com - Wednesday, March 15, 2000 Views - Reader Rating: 3
Palladium Worth More Than Gold
The metal markets have fallen on hard times. As a result Franklin is changing the name and scope of its of its gold fund...
MutualFundWire.com - Wednesday, March 15, 2000 - Reader Rating: 3
BISYS Expands Servicing to Tech Fund
The Little Falls fund servicer is expanding its relationship to Oregon's Willamette Funds' for its new technology fund...
MutualFundWire.com - Wednesday, March 15, 2000 - Reader Rating: 3
New DC Sales Head at Pru
The 401kWire.com has learned that Kerry Giles has been named head of defined contribution sales for Prudential Investments. She replaces Marge Doane...
401kWire.com - Wednesday, March 15, 2000 - Reader Rating: 3
Going For Brokerage
Manulife Financial is adding to its product line and giving participants many more choices...
401kWire.com - Wednesday, March 15, 2000 - Reader Rating: 3
KPMG Settles
KPMG Peat Marwick has agreed to settle a class action by the investors in Piper Funds Institutional Government Income Portfolio for $13.9 million...
401kWire.com - Wednesday, March 15, 2000 - Reader Rating: 3
KPMG Settles
KPMG has agreed to pay $13.9 million to settle a class action by fund investors, marking the first time an independent auditor has taken the fall for investor losses...
MutualFundWire.com - Wednesday, March 15, 2000 - Reader Rating: 3
Massachusetts Sponsor On The Lookout
The company is seeking to replace ManuLife and Sentinel as its DC plan providers...
401kWire.com - Wednesday, March 15, 2000 - Reader Rating: 3
Odd Lots, March 15, 2000
Van Kampen looks for closure ... Mellon's misery ... Protest filed against Schwab/US Trust acquisition...
401kWire.com - Wednesday, March 15, 2000 - Reader Rating: 3
Odd Lots, March 15, 2000
Van Kampen looks for closure ... Mellon's misery ... Protest filed against Schwab/US Trust acquisition...
MutualFundWire.com - Wednesday, March 15, 2000 Views - Reader Rating: 3
Strong Funds' Retirement Sales Head Resigns
Phil Stambaugh has resigned from Strong Funds, where he was national sales manager, to pursue other interests. Stambaugh led the Menomonee Falls, Wisconsin-based fund company's sales efforts in the 401(k) and qualifed plan area...
MutualFundWire.com - Monday, March 15, 1999 Views - Reader Rating: 3
Strong's Stambaugh Resigns
Phil Stambaugh has resigned from Strong Funds, where he was national sales manager, to pursue other interests. ..
401kWire.com - Monday, March 15, 1999 - Reader Rating: 3
Fidelity Picks Citibank as Muni Fund Custodian
Fidelity Investments selects Citibank Worldwide Securities Services to provide custody for muni bond and money market funds...
MutualFundWire.com - Monday, March 15, 1999 - Reader Rating: 3
MetLife Intros Multi-Manager Stable Value Product
MetLife is acting as a "manager-of-managers" for its new actively managed stable value product...
401kWire.com - Monday, March 15, 1999 - Reader Rating: 3
American Century Rebuilds Website Around the Individual
American Century upgrades its website to focus on personalized web pages and multiple account access, with the promise of 401(k) access soon...
MutualFundWire.com - Monday, March 15, 1999 - Reader Rating: 3
Jones & Babson Appoints New Director of Institutional Sales
Kansas City mutual fund products and service provider expands their institutional sales force with the hire of Michael J. Dailey as head of institutional sales...
MutualFundWire.com - Monday, March 15, 1999 Views - Reader Rating: 3
Odd Lots, March 15, 1999
Fleet Gobbles BankBoston ... Dow 10000 by Wednesday ... Magellen still tops Vanguard's Index 500 ... Schwab provides updates by email...
MutualFundWire.com - Monday, March 15, 1999 - Reader Rating: 3
Dartmouth Printing Makes a Change
The New Hampshire sponsor has changed bundled providers for its 401k plan...
401kWire.com - Monday, March 15, 1999 - Reader Rating: 3
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