Thursday July 29, 2010

SEARCH

Advanced




Related Articles
Brave New World of Money Management
... On the heels of the worst financial crisis since the Great Depression — the US money
management industry lost nearly $5 trillion in assets from October 2007 ...
Top 100 Hedge Funds
... The HFRI composite index fell 19.02 percent in 2008, only its second annual loss
since 1990, as two out of every three hedge funds lost money. ...
News, Finally, From Antigua
... Relative to the amount of money Stanford was supposed to be running for ... a time when
Stanford was saying his firm had $3.1 billion under management, after being ...
Year of the U-Turn for Asia Hedge Fund 25
... Singapore-based Asia Genesis Asset Management and its Japan Macro Fund, which jump
to No. 16 from No. 25, promotes clients' access to their money: "There were ...
Asian Analysts Are Setting the Pace
... Team survey – which polls a broad cross-section of money managers – using only ... has
been recommending is New World Development Co., a manager of commercial ...

Research & Rankings

Latest Releases:
Brazil Flag Brazil 20
BB Gestão de Recursos retains its lead in the annual ranking of Brazil's 20 biggest money managers.
II 300
America's Biggest Money Managers
Coming in September:
Country Credit
Asia 100

 
Search by: Skip Navigation Links
RegionExpand Region
Skip Navigation Links
SubjectExpand Subject

SUBSCRIBE NOW to get instant, unrestricted access to current and archived research & rankings.

FREE TRIAL

Register today for a FREE 2 week trial including full online access and the latest issues of Institutional Investor magazine.

A Flurry of Money Management Fines in the Forecast

By Stephen Taub
July/August 2009

Keywords: money management, asset management, Financial Industry Regulatory Authority, broker-dealers, regulation, oversight


For all the rhetoric about beefing up oversight of the money management business, there are signs that enforcement may actually be sliding. The Financial Industry Regulatory Authority, which oversees U.S. broker-dealers, fined firms and individuals roughly $35 million in 2008, down 55 percent from $77.6 million...

Comments

| Add Comments

Login


For unrestricted online access you must be a subscriber. 


Subscribe to Institutional Investor for instant, unrestricted access to current & archived research & rankings. 

► Click here to subscribe to Institutional Investor magazine

For assistance and group rates please call 1-800-437-9997  (1-212-224-3570 outside of the US.)


Subscribers, please login below:


Username:
Password:
Forgot Password?





Please read our Term and Conditions and Privacy Policy before using the site.

All material subject to strictly enforced copyright laws. © 2008 Institutional Investor, Inc.