October 2001
Journal of Financial Planning;Oct2001, Vol. 14 Issue 10, p26
Academic Journal
Reports developments related to finance in the United States. Elimination of audit/examination fee by the Bureau of Securities Regulation for investment advisers in New Hampshire; Reduction of fees by the Iowa Securities Bureau on initial and renewal registration for investment advisers; Details on the license requirement for solicitors as investment adviser representative.


Related Articles

  • Report Reveals Progress on Recommendations to the SEC. Moore, Rebecca // Plan Advisor News;7/6/2016, p1 

    The article offers information on the U.S. Securities and Exchange Commission's (SEC's) Officer of Investor Advocate report about objectives for Fiscal Year 2017, which reveals Investor Advocate Committee's (IAC's) recommendation for SEC to impose user fees on SEC-registered investment advisers.

  • 'Professionals prefer impartial fee-based advice'  // Money Marketing;9/11/2003, p13 

    Cites the result of a survey pertaining to commission-based financial adviser's advice in Great Britain. Preference of advisers for a financial planning service rather than financial advice service; Implication on adviser fees.

  • The coming investor revolt. Fierman, Jaclyn; Smyth, Kathleen C. // Fortune;10/31/1994, Vol. 130 Issue 9, p66 

    Discusses how investors, fed up with poor returns, are contemplating a new payment system for their money managers that is based on the manager's performance. How money managers are among the most overpaid professionals in the United States; Why most managers dread performance-based fees...

  • Asset-manager investor expects prices to drop. Fraser, Katharine; Garmhausen, Stephen // American Banker;7/14/1997, Vol. 162 Issue 133, p17 

    Reports on the projected decline in the prices of institutional money managers in the United States as of July 14, 1997.

  • Pressure on fees mounts. Cardona, Mercedes M. // Pensions & Investments;4/29/1996, Vol. 24 Issue 9, p2 

    Reports that money managers are under pressure to hold down investment management fees, according to findings of a survey on money management fees. Survey by `Pension & Investments' magazine; Disparities in fees; Median's fee for a $5 million international equity account and a $20 million one; ...

  • Vintage profits. Gray, Malcolm; Brown, Steve // Public Finance;03/14/97, p22 

    Discusses the fees paid to investment managers. Cost structure; Lack of increase in cost in managing an additional account; Charging of fees on the value of the funds managed; Absence of pressure to reduce costs; Implication of performance-related fees; Focus on results in the evaluation of...

  • Revealing manager fees.  // Pensions & Investments;1/6/2003, Vol. 31 Issue 1, p10 

    Editorial. Comments on fees and charges of money managers in the U.S. Ignorance of money management fees by plan sponsors; Need for proper fees analysis.

  • Managers willing to negotiate.  // Pensions & Investments;1/24/1994, Vol. 22 Issue 2, p69 

    Reports on the results of a survey by William M. Mercer Inc. on the willingness of investment managers to negotiate their investment management fees. Common threshold cited for beginning to negotiate fees; Median active equity investment management fees; Fees for fixed-income portfolios; Fees...

  • Know What Fees You’re Charging? Probably Not.  // Journal of Financial Planning;Aug2014, Vol. 27 Issue 8, p10 

    The article discusses results of a survey among financial advisors conducted by research firm Cerulli Associates and advisory outfit Peak Advisor Alliance that found almost 63% of advisors underestimated the fees they charge their clients.


Read the Article


Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics