Alternatives

Displaying 3870 results
London Stock Exchange's $1.1 billion deal could boost tech in the US
INVESTING ALTERNATIVES MAR 25, 2022
London Stock Exchange's $1.1 billion deal could boost tech in the US

Private equity firms Clearlake Capital Group and Motive Partners announced the acquisition of Beta+ this week and plan to use the tech to enhance wealth management firms they already own.

Fidelity launches business mimicking hedge-fund strategies
INVESTING ALTERNATIVES MAR 24, 2022
Fidelity launches business mimicking hedge-fund strategies

The asset manager is jumping into liquid alternatives, citing its clients' interest in diversifying.

BlackRock’s Larry Fink says war to speed shift to green energy, digital currencies
INVESTING ALTERNATIVES MAR 24, 2022
BlackRock’s Larry Fink says war to speed shift to green energy, digital currencies

The firm's CEO said the war will prompt countries to reconsider their reliance on traditional money and payment systems.

B-Ds flubbed sales of GPB private placements: Finra
INVESTING ALTERNATIVES MAR 23, 2022
B-Ds flubbed sales of GPB private placements: Finra

Dempsey Lord Smith and BD4RIA were negligent in 2018 when they failed to inform clients that GPB had missed a deadline for filing financial information, according to Finra.

Massachusetts slaps crypto firm with $1 million fine
INVESTING ALTERNATIVES MAR 23, 2022
Massachusetts slaps crypto firm with $1 million fine

The state claims U.S. Data Mining Group sold $4 million in unregistered securities to Massachusetts investors.

How we explain the crypto roller coaster to our clients
INVESTING OPINION MAR 21, 2022
How we explain the crypto roller coaster to our clients

We need to understand new technologies and combat the fear of missing out on the hottest investment category, which has been cryptocurrencies.

Geneos tagged with $400,000 penalty over alternatives sales
INVESTING ALTERNATIVES MAR 21, 2022
Geneos tagged with $400,000 penalty over alternatives sales

The fine and restitution to customers stem from sales of two alternative investments, the LJM Preservation & Growth Fund and private placements issued by GPB Capital Holdings.

Robinhood settles with Vermont for $640,000 over outages
INVESTING ALTERNATIVES MAR 18, 2022
Robinhood settles with Vermont for $640,000 over outages

The Vermont Department of Financial Regulation said at least 40 customers in the state complained.

Senate Banking Chair warns about private equity ownership of insurance companies
INVESTING RETIREMENT PLANNING MAR 17, 2022
Senate Banking Chair warns about private equity ownership of insurance companies

Sen. Sherrod Brown says PE has a track record of 'undermining pension and retirement programs.' The American Investment Council praises PE stewardship of insurance firms.

Should private equity be in 401(k) plans?
INVESTING OPINION MAR 17, 2022
Should private equity be in 401(k) plans?

The DOL has clarified its earlier advice on this topic, stressing the responsibility of fiduciaries whose plans offer private equity investments.

Want to buy a Banksy? This fintech has an answer
INVESTING ALTERNATIVES MAR 16, 2022
Want to buy a Banksy? This fintech has an answer

The digital alternative investment provider Yieldstreet launched a new art equity fund with exposure to contemporary international artists like Banksy and Takashi Murakami.

Cetera B-D on hook for $2.66 million arbitration claim stemming from REITs, annuities
INVESTING ALTERNATIVES MAR 14, 2022
Cetera B-D on hook for $2.66 million arbitration claim stemming from REITs, annuities

In an unusual aspect of the investors' claim and subsequent award against First Allied Securities, the $2.66 million in damages requested matched the amount the three arbitrators awarded.

DOL warns 401(k) plan fiduciaries against offering crypto investments
INVESTING RETIREMENT PLANNING MAR 10, 2022
DOL warns 401(k) plan fiduciaries against offering crypto investments

The agency 'has serious concerns about the prudence' of exposing plan participants' retirement savings to investments that carry 'significant risks of fraud, theft, and loss.'

Finra seeks comments on possible changes to oversight of complex products
INVESTING ALTERNATIVES MAR 10, 2022
Finra seeks comments on possible changes to oversight of complex products

The regulator is assessing the risks that may arise when retail investors purchase complicated investments without the help of a financial adviser.

ICapital tech platform acquires Stifel Financial's alts feeder funds
INVESTING ALTERNATIVES MAR 10, 2022
ICapital tech platform acquires Stifel Financial's alts feeder funds

The deal, which will close later this month, pushes the assets on iCapital's platform to more than $118 billion.

Biden’s digital assets directive fails to provide clarity for advisers
INVESTING ALTERNATIVES MAR 09, 2022
Biden’s digital assets directive fails to provide clarity for advisers

Advisers will have to wait a while longer before they get answers on issues such as custody, as regulators sort out crypto oversight.

Biden aims for coordinated approach to overseeing crypto
INVESTING ALTERNATIVES MAR 09, 2022
Biden aims for coordinated approach to overseeing crypto

The White House executive order is the first attempt at coordinating the government's strategy, although it falls short of providing a clear direction on regulation.

Onramp Invest regroups after layoffs
INVESTING ALTERNATIVES MAR 08, 2022
Onramp Invest regroups after layoffs

The San Diego-based firm reassured clients and investors about the viability of the company moving forward in a blog post Monday, and sent a heartfelt message to the 18 employees that were let go.

TCW partners with iCapital to improve access to its alts offerings
INVESTING ALTERNATIVES MAR 07, 2022
TCW partners with iCapital to improve access to its alts offerings

The asset manager will use customized technology from iCapital to facilitate its clients' use of its offerings of alternative investments.

SEC’s Crenshaw assures advisers agency doesn’t seek to punish cyberattack victims
INVESTING ALTERNATIVES MAR 03, 2022
SEC’s Crenshaw assures advisers agency doesn’t seek to punish cyberattack victims

The new director of the SEC Division of Investment Management, William Birdthistle, makes his public debut at the Investment Adviser Association conference.