Search for: "Morgan Asset Management"
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9 Mar 2017, 9:30 pm
Morgan to lose in excess of $6 billion. [read post]
30 Jan 2017, 9:18 am
At UBS, the team included 17 brokers who oversaw some $1.3 billion of client assets, according to Morgan Stanley’s webpage. [read post]
23 Jan 2017, 1:25 pm
I care a lot more about management of the country than I do about management of the Trump assets. [read post]
12 Jan 2017, 7:34 am
Sheri Dillon, a tax attorney with the law firm of Philadelphia-based Morgan Lewis, took to the stage to talk about the strategy to disengage Trump from his businesses. [read post]
4 Jan 2017, 3:55 pm
California-registered investment advisers (“CA RIAs”) that manage pooled investment vehicles and are deemed to have custody of client assets must, among other things, (i) provide notice of such custody on the Form ADV; (ii) maintain client assets with a qualified custodian; (iii) engage an independent party to act in the best interest of investors to review fees, expenses, and withdrawals; and (iv) retain an independent certified public accountant to… [read post]
22 Dec 2016, 6:24 am
Morgan accounts. [read post]
22 Dec 2016, 6:24 am
Morgan accounts. [read post]
21 Dec 2016, 9:30 pm
Until now, the courts have been reluctant to probe the actual decision-making of administrative leaders under the so-called presumption of regularity that emerged over time following Morgan v. [read post]
1 Sep 2016, 3:55 pm
His presentation was entitled Digital Assets, Pets, and Guns: Estate Planning Does Not Include Just Grandma’s Cameo Brooch Anymore. [read post]
25 Aug 2016, 1:55 pm
-Between 2011 and 2014, no account opening document or marketing materials disclosed to Indiana Investment Management account clients or Indiana JP Morgan Investment clients that JPMB preferred to invest client assets in Proprietary Mutual funds and between 2008 and 2014 JPMB did not disclose its preference for investing certain investment management account assets in certain proprietary hedge funds to Indiana… [read post]
1 Aug 2016, 6:38 am
As of September 2015, the largest asset manager oversaw 5.1% of the total equity assets in SEC 13F filings, and the largest 10 managers managed 23.4% of these assets, which represents about 35% of overall institution ownership. [read post]
22 Jul 2016, 11:01 am
This is the SEC’s latest effort to encourage proper risk management in the asset management industry and minimize any potential client harm from material service disruptions. [read post]
20 Jul 2016, 4:03 pm
Morgan or Oliver Wyman, July 2016. [read post]
29 Jun 2016, 4:27 pm
Qualitative factors include the strength of the firm’s capital planning process, which incorporate the risk management, internal controls, and governance practices that support the process. [read post]
16 Jun 2016, 2:48 pm
BACKGROUND Last week the SEC issued a settled administrative order finding that Morgan Stanley Smith Barney (now rebranded as Morgan Stanley Wealth Management) failed to adopt written policies and procedures reasonably designed to protect customer data. [read post]
8 Jun 2016, 1:18 pm
The SEC has received an asset freeze for all three. [read post]
4 May 2016, 12:48 pm
While Lynch signed an agreement detailing that he could only retain contact information pertaining to clients for whom he was labeled a “designated joint producer,” which would have amounted to $40 million in client assets, he retained records for the team’s entire book of clients, representing $1.2 billion in assets, Morgan Stanley alleges.Morgan Stanley’s first argument that the employing firm’s protocol status supersedes that of the firm of… [read post]
14 Apr 2016, 7:45 am
In an article published here in January we addressed some of the more significant Internet of Things (IoT) -specific standards and initiatives and emphasized the importance of interoperability as central to the growth and success of the products and services that leverage the IoT. [read post]
11 Apr 2016, 11:28 am
“Marshall has served as a thoughtful, creative, and driven co-chief of the Asset Management Unit,” said Andrew J. [read post]
31 Mar 2016, 5:15 am
Stifel hired a team from Morgan Stanley that oversaw more than $200 million in client assets, according to a person familiar with the move. [read post]
