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News Stories Archives - Since 1998
A Fund-Selector-Focused Startup Comes A-Knockin'
This European tool could provide an upgrade to how fund selectors in the U.S. perform due diligence...
MutualFundWire.com - Friday, March 17, 2017 Views
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
Is Smart Beta Overcrowded?
Bloomberg ponders the rise of quantitative factor investing, especially in ETFs...
MutualFundWire.com - Wednesday, February 08, 2017 Views
The SEC Opens the Door to a Share Class Revolution
Even as the DoL rule's fate is unclear, a new kind of mutual fund share class gets another regulatory agency's blessing...
MutualFundWire.com - Tuesday, January 24, 2017 Views - Reader Rating: 5
Morgan Stanley Plans End-of-Year Fund Cuts
The wirehouse plans to make cuts to its fund offerings by January 1...
MutualFundWire.com - Friday, December 16, 2016 Views
That Big Revised Retirement Reg Arrives
Fundsters outside the retirement plan industry may not pay much attention to the modified fiduciary regulation proposal from the Department of Labor, but their B-D allies are bracing for big changes...
MutualFundWire.com - Wednesday, April 06, 2016 Views
Uh-Oh! Are Robos No-Go In MA?
Galvin fires again, but this time at would-be disrupters of the wealth management industry...
MutualFundWire.com - Monday, April 04, 2016 Views
The 2016 Mutual Funds and Investment Management Conference in pictures
The conference wraps up in the sunshine state...
MutualFundWire.com - Wednesday, March 16, 2016 Views
Healey Downplays Third Avenue's Class-Action Woes
The AMG chief tells analysts that the stumbling value shop has "really no impact" on AMG's financials, doesn't have "any legal exposure" around the infamous collapse of the Focused Credit Fund, and that AMG doesn't have any legal exposure to Third Avenue's legal battles, either...
MutualFundWire.com - Thursday, February 04, 2016 Views
A Crowd-Sourced Investing Info Hub Starts Tracking Mutual Funds
Your shareholders and advisors may soon be turning to this website for information on your products...
MutualFundWire.com - Monday, March 30, 2015 Views
"The Most Dominant Fund Company In History"
M* guru John Rekenthaler ponders Vanguard versus the shops that previously held the crown in the mutual fund biz...
MutualFundWire.com - Thursday, March 26, 2015 Views
Virtus Faces Class-Action Flak Over F-Squared
The performance-reporting scandal surrounding a key subadvisor is now pulling in the Connecticut mutual fund shop itself...
MutualFundWire.com - Wednesday, February 25, 2015 Views
Mary Jo White Is Still Fixated On All of You
The SEC chair again targets asset managers in a speech, this time at the annual SEC Speaks conference...
MutualFundWire.com - Friday, February 20, 2015 Views
Institutional Investor Sells Two Fundster Pubs
Another British company buys four newsletters from financial services trade publisher...
MutualFundWire.com - Thursday, November 06, 2014 Views
Spotlight On Abby
Yesterday news broke that the scion of the East Coast Johnson is taking over from her father as CEO of the Boston Behemoth...
MutualFundWire.com - Tuesday, October 14, 2014 Views
For Neil Hennessy, It's Grow, Buy, or Be Bought
CEO of Hennessy Advisors talks about distribution, the advantages of being on NASDAQ, and the food chain in mutual fund deals...
MutualFundWire.com - Thursday, September 25, 2014 Views
Has Kraus Dug Out AllianceBernstein?
Pensions & Investments writer James Comtois makes a case that the worst may be over for AB...
MutualFundWire.com - Tuesday, August 19, 2014 Views
Over 16 Percent of Equity Funds Have Had a PM Change Recently
Barron's Brendan Conway writes about the turnover in equity PMs. The question is whether the investing public pays attention...
MutualFundWire.com - Tuesday, May 27, 2014 Views
Cue In The Regulators
What impact will all this regulator interest have on the sales and distribution of your alts?..
MutualFundWire.com - Wednesday, February 05, 2014 Views
Fido's O'Hanley to Leave at February's End
Once seen as Ned's possible successor, Ron is now packing his bags. Does that leave Abby home alone?..
MutualFundWire.com - Wednesday, January 22, 2014 Views
Crying Foul Over "Excessive Mutual Fund Switches" and More, Finra Orders a B-D to Return More than $700K
The regulatory agency also attacked the Peach State B-D over its use of leveraged and inverse ETFs...
MutualFundWire.com - Thursday, December 05, 2013 Views
Hartford's Reiss Hires in the West
He lures a salesperson from Fido to reach out to non-wire house advisors...
MutualFundWire.com - Tuesday, November 19, 2013 Views
A Former Fundster Journalist Dies in a Cycling Accident
A onetime editorial director of MME died over the weekend...
MutualFundWire.com - Thursday, October 24, 2013 Views
Hartford Funds Lures BlackRock's Global Brand Head
The hiring is the latest move in firm's ongoing sales evolution...
MutualFundWire.com - Wednesday, October 16, 2013 Views
OpFunds Kicks Up Advisor Internet Presence
Fund firm launches new advisor portal. ..
MutualFundWire.com - Thursday, September 26, 2013 Views
Expect Fundsters to Stay in a Flurry over Fair Valuation
Deloitte's new survey shows that fair valuation is top of mind for fund groups of all sizes. ..
MutualFundWire.com - Monday, September 23, 2013 Views
F-Squared Has a New Sales Honcho For Three Channels
Investment veteran comes from MFS...
MutualFundWire.com - Thursday, September 12, 2013 Views - Reader Rating: 5
INews: 2003 Scandals Changed Industry Forever
InvestmentNews wrote a reflective piece on how the industry has or hasn't changed since 2003. ..
MutualFundWire.com - Monday, September 09, 2013 Views
U.S. Global Investors Delays Institutional Shares of Two Funds
U.S. Global Investors Funds [profile] has filed a notice that says the institutional class shares of the Gold and Precious Metals and Emerging Europe Funds have not commenced operations and a subsequent notice will alert potential investors when they open. [SEC Filing]...
MutualFundWire.com - Monday, August 12, 2013 Views
FINRA Warns Alternative Mutual Fund Investors
Watchdog FINRA released an alert about alternative mutual funds, concerned that investors don't understand all of the risks and strategies inherent in more exotic funds...
MutualFundWire.com - Wednesday, June 12, 2013 Views
Three Things to Know from the Earnings of U.S. Global Investors
Management outlines plans for rebounding from the perfect storm..
MutualFundWire.com - Tuesday, May 14, 2013 Views
Did Fidelity Blow the Insider Trading Whistle?
A defense attorney says the Boston Behemoth "probably alerted the SEC" in an insider trading case involving a KPMG partner...
MutualFundWire.com - Wednesday, May 08, 2013 Views
Stork and Reaper for the Week of May 10, 2013
Read up on the latest mutual fund product news!..
MutualFundWire.com - Tuesday, May 07, 2013 Views
Stork and Reaper for the Week of May 3, 2013
Read up on all of the latest mutual fund product changes!..
MutualFundWire.com - Friday, May 03, 2013 Views
The Next Gig for the Week of May 1, 2013
Looking for your next job? Here are all the latest openings in the mutual fund industry...
MutualFundWire.com - Wednesday, May 01, 2013 Views
Boston Fundsters Keep Calm and Carry On
Most mutual fund firms have employees work from home as they try to go on with their business...
MutualFundWire.com - Monday, April 22, 2013 Views
Boston Fundsters Weather The Lockdown
Many have employees work from home. One firm made use of its company-wide alert system...
MutualFundWire.com - Friday, April 19, 2013 Views
The Game is On for iShares Fund Frenzy!
Rotisserie fund contest for institutional investors starts in 11 days and counting...
MutualFundWire.com - Monday, March 11, 2013 Views
Artio Faces Its First Lawsuit Over the Aberdeen Deal
The complaint alleges breach of fiduciary duty on the part of Artio's board...
MutualFundWire.com - Wednesday, March 06, 2013 Views
More Lawyers Jump on the Artio Bandwagon
UPDATED | Seven more firms investigate sale to Aberdeen. That means nine firms are now on the case...
MutualFundWire.com - Friday, February 15, 2013 Views
Fund Industry Blocks and Tackles Threats to 401ks
Reuters shows how ICI is playing defense...
MutualFundWire.com - Thursday, February 07, 2013 Views
An Alt Shop Preps 10-City Education Initiative
DoubleLine CEO Jeffrey Gundlach will be among the speakers...
MutualFundWire.com - Thursday, January 24, 2013 Views - Reader Rating: 3
Where Did Bhagat Go?
UPDATED | We all knew that Vanguard’s Sauter was going, but who knew equity head Bhagat would also leave?..
MutualFundWire.com - Thursday, January 03, 2013 Views
The Markets Will Stay Closed Tuesday
Hurricane Sandy continues wreaking havoc on financial markets...
MutualFundWire.com - Monday, October 29, 2012 Views
DTCC Remains Open Despite Hurricane
Check back with MFWire for continuing storm coverage...
MutualFundWire.com - Monday, October 29, 2012 Views
Altegris Nabs a Guggenheim Sales Vet
The La Jolla-based alternatives manager has hired a new head of distribution strategy...
MutualFundWire.com - Thursday, September 27, 2012 Views - Reader Rating: 5
Reports of a Fund's Death Are Greatly Exaggerated
A Well's Fargo fund, reported dead in a Stork And Reaper story, was actually restructured due to a PM's move to Singapore...
MutualFundWire.com - Monday, September 10, 2012 Views
This ETF Message Is Brought to You by the SEC
ETFs are not mutual funds, stresses a recently published SEC bulletin. ..
MutualFundWire.com - Thursday, August 16, 2012 Views
Vanguard Boots AllianceBernstein
Alliance Bernstein has been removed from PMing three of Vanguard's funds ..
MutualFundWire.com - Thursday, August 02, 2012 Views
More Volatility Coming for Bank Stocks
Signs show that a withdrawal could be coming...
MutualFundWire.com - Tuesday, July 31, 2012 Views
Did CDR and Warburg Drop Out of TCW's Auction?
More details emerge on the sale process for the SoCal fixed income shop...
MutualFundWire.com - Monday, June 25, 2012 Views
Altegris Taps Three Subadvisors for Newest Fund
The alternatives specialist signs on three subadvisors for its fourth mutual fund family member...
MutualFundWire.com - Thursday, May 17, 2012 Views
Butch, Dorsey, Gatch and Rice Win Big
Fund Industry Intelligence announced the winners of its 2012 Mutual Industry Awards...
MutualFundWire.com - Tuesday, April 10, 2012 Views
An Appeals Court Upholds Ameriprise's Fee Suit Victory
An appellate count has upheld a district court ruling in the case of Gallus v. Ameriprise Financial, Inc...
MutualFundWire.com - Tuesday, April 03, 2012 Views
Two Fido Whistleblowers Are Left Hanging
The 1st Circuit sides with Fidelity in a whistleblowing case...
MutualFundWire.com - Monday, February 06, 2012 Views - Reader Rating: 5
Morningstar's Analyst Ratings Debut on Tuesday
If they catch on the new ratings will bring the institutional consultants view to retail investors...
MutualFundWire.com - Friday, November 11, 2011 Views
Putnam Amps Up Online Again
Bob Reynolds and his team launch a new advisor website...
MutualFundWire.com - Thursday, September 22, 2011 Views
Fund Firms Brace for Hurricane Irene
The MFWire checks in with fund firms on how they are preparing for Irene...
MutualFundWire.com - Friday, August 26, 2011 Views
An Industry Scribe Switches Firms
The mutual fund reporter is now with Reuters...
MutualFundWire.com - Monday, August 22, 2011 Views
Wells Fargo Takes a $1M Hit from FINRA
For supplying its customers with late prospectuses...
MutualFundWire.com - Friday, May 06, 2011 Views
Which are the Best Mutual Funds on the Street?
Financial media company TheStreet reveals its list of the best mutual funds and ETFs...
MutualFundWire.com - Monday, April 25, 2011 Views - Reader Rating: 4
Forbes is Boggled by a Boglehead
An article on Forbes.com declares actively managed funds "obsolete."..
MutualFundWire.com - Friday, March 26, 2010 Views
U.S. Global Investors Launches Institutional Shares
The Texas-based firm this week began offering Institutional shares in three of its 13 funds...
MutualFundWire.com - Wednesday, March 03, 2010 Views
Surge in Activity Around a PowerShares ETF Draws the WSJ's Notice
An exchange traded fund that tracks the U.S. dollar saw a significant jump in activity Wednesday...
MutualFundWire.com - Thursday, November 05, 2009 Views
Ex-Fund Action Editor Takes on the Retirement Beat
A former Fund Action managing editor is now covering the retirement industry for InvestmentNews...
MutualFundWire.com - Friday, October 16, 2009 Views
Finra and the SEC Hang a 'Use With Extreme Caution' Sign on Leveraged ETFs
Updated | Niche exchange-traded funds come under more regulatory fire...
MutualFundWire.com - Tuesday, August 18, 2009 Views
An ETF Firm Brings in a Marketer
The Bethesda, Maryland-based firm, which filed last month to launch an actively managed ETF-of-ETFs, has appointed a marketing director...
MutualFundWire.com - Friday, April 17, 2009 Views - Reader Rating: 1
Waddell & Reed Adopts a New Rights Agreement
The Overland Park, Kansas City-based firm said its board adopted a new rights agreement to deter 'abusive takeover tactics.'..
MutualFundWire.com - Thursday, April 09, 2009 Views
Eaton Vance Hunts for a Marketer after a Now-Former Exec's Arrest
The Boston fund firm is searching for a new marketing chief...
MutualFundWire.com - Thursday, April 02, 2009 Views
Brokers, ARS Fill Special WSJ Section
Some articles featured in the monthly section in the Journal on the mutual fund industry feature stray a bit from the world of open and closed-end funds...
MutualFundWire.com - Monday, September 08, 2008 Views
New SEC Site Takes Out the Dirty Laundry
The government agency has designed a new website to assist fund companies in their anti-money laundering compliance efforts...
MutualFundWire.com - Friday, August 08, 2008 Views
Fido Suits Could Bring SOX Whistleblower Rules to Funds
Do the whistleblower rules in the Sarbanes-Oxley Act of 2002 extend to mutual fund workers? They may, reports Boston Globe, depending on the outcome of two recent whistleblowers suits filed by ex-workers against Fidelity...
MutualFundWire.com - Thursday, May 08, 2008 Views - Reader Rating: 2
Dechert Adds an M&A Vet to its Roster
Dechert has tapped Drake Tempest as partner in the corporate and securities group...
MutualFundWire.com - Monday, January 28, 2008 Views
PNC Adds an Analytics Firm to its Repertoire of Acquisitions
PNC has acquired Chadds Ford, Pa.-based Coates Analytics Group LP...
MutualFundWire.com - Monday, December 10, 2007 Views - Reader Rating: 3.33
State Street Enhances Institutional Offerings
State Street has launched an enhancements to its product and technology offerings...
MutualFundWire.com - Thursday, October 25, 2007 Views
SEI: The Compliance Bar Will be Raised
SEI tells fund shops that they should be prepared for new compliance regulations...
MutualFundWire.com - Tuesday, October 09, 2007 Views - Reader Rating: 3
MediaWatch: An Ignites Reporter Heads to Bloomberg
Ignites loses it last senior reporter to Bloomberg Asia, while a DC&SPA vet walks out from II News...
MutualFundWire.com - Monday, October 08, 2007 Views - Reader Rating: 2.65
Citi Sells Bisys Fund Distributors
In a quiet side deal, Citi sends some twenty mutual fund complexes with $125 billion of AUM to a new distributor...
MutualFundWire.com - Tuesday, August 14, 2007 Views - Reader Rating: 3.9
NASD Slaps Four Companies with Fines
The NASD has fined four companies a total of $1.2 million over allegedly improper sales...
MutualFundWire.com - Thursday, June 28, 2007 Views - Reader Rating: 4
NASD Cracks Down on CDSC Waiver Ploy at Citi
Up to 100 brokers at Citigroup Global Markets may have been ripping off mutual funds by claiming that their clients qualified for disability waivers on CDSC charges when they did not...
MutualFundWire.com - Friday, August 11, 2006 Views
Do You Know What an RSS Feed Can Do For You?
Forward-looking mutual fund wholesalers will soon be able to tout a web-based communication product that could replace old school methods of communication between fund firms, advisors and clients...
MutualFundWire.com - Thursday, June 29, 2006 Views - Reader Rating: 3
State Street Wants Credit for Its ETFs
It looks like State Street Global Advisors wants in on more of the market's ETF spoils: the firm has awarded a multimillion dollar advertising contract to a New York advertising company in hopes of linking its name more closely to signature products. If successful, the campaign may boost SSgA's visibility in the ETF sphere towards the level of high-profile players like Vanguard and Barclays Global Investors...
MutualFundWire.com - Friday, May 26, 2006 Views
Fund Firms Leak Account Numbers
Be prepared, the recent discoveries that ChoicePoint, LexisNexis and others have released consumer information have alerted investigative to a new potential goldmine of stories. Today Wall Street's paper of record follows that lead and calls out eight fund firms for placing sensitive data on the Web...
MutualFundWire.com - Wednesday, March 23, 2005 Views
Fund Websites Get Customized
Fidelity and The Hartford have added customization features to their websites...
MutualFundWire.com - Wednesday, August 25, 2004 Views
Boston Fund Firms on High Alert for Convention
Putnam, Fidelity and others buckle down as the Dems come to town...
MutualFundWire.com - Wednesday, July 28, 2004 Views
DTCC Implements Breakpoint Changes
The DTCC announced changes to Fund/SERV and Mutual Fund Profile Service and a new service offered with NewRiver...
MutualFundWire.com - Thursday, April 22, 2004 Views
Hotchkis Ends B-Class Shares
Firm's SEC filing announces B Class shares no longer available to new investors; names insider to co-manage large cap fund...
MutualFundWire.com - Tuesday, April 06, 2004 Views
SEC Task Force Seeks Better Answers for Fund Oversight
What kind of information do regulators need to best oversee funds? An SEC task force takes up the challenge...
MutualFundWire.com - Tuesday, March 23, 2004 Views
UK Completes Initial Market Timing Probe
The problems it found were on an entirely different scale than what has been uncovered in the United States...
MutualFundWire.com - Thursday, March 18, 2004 Views - Reader Rating: 4
NASD Prescribes More Sunlight
Broker-dealers would be required to disclose any payment for shelf space from fund firms and much more...
MutualFundWire.com - Thursday, August 07, 2003 Views
AdvisorCentral Adds Aquila
The municipal bond fund specialist has signed on with the broker portal...
MutualFundWire.com - Tuesday, August 05, 2003 Views
NASD Fines B-D Over B Share Sales
While the broker-dealer faces a fine, a principal at the firm is also suspended for 30 days...
MutualFundWire.com - Wednesday, June 25, 2003 Views
The NASD Cracks Down on VA Sales
The regulatory body hits one issuer with a $125,000 fine and charges three reps with making unsuitable sales...
MutualFundWire.com - Tuesday, May 27, 2003 Views
Nationwide Builds Advisor Tools
The Web tools promise to provide advisors a better handle on their book of business...
MutualFundWire.com - Wednesday, February 26, 2003 Views - Reader Rating: 4.33
Asset Management Firms to Triple Spending on e-Mail Efforts
A kasina Study highlights best practices for subscription e-Mails, marketing, and wholesaler involvement...
MutualFundWire.com - Monday, February 10, 2003 Views - Reader Rating: 2.33
Mantas Technology IDs Fund Breakpoints
This behavior detection technology analyzes investments over time, across family member accounts, and over fund purchases...
MutualFundWire.com - Wednesday, February 05, 2003 Views
NASD Warns Investors on Breakpoints
The trade group has taken the step of warning investors they may be taken advantage of...
MutualFundWire.com - Thursday, January 16, 2003 Views
New Biotech Fund Trades
Diversified Biotech makes fund debut; will target small- to mid-cap biotech investments...
MutualFundWire.com - Wednesday, November 13, 2002 Views - Reader Rating: 3
Getting Ready for OFAC
The US Treasury Department is preparing new regulations for the mutual fund industry, and Fund Resource has a tool to meet those requirements...
MutualFundWire.com - Thursday, September 05, 2002 Views
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