Investing

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MUTUAL FUNDS MAR 26, 2007
Labor Department weighs in on fee brouhaha

WASHINGTON — The Department of Labor has put the issue of enhanced 401(k) fee disclosure on its agenda, a move that could take some of the wind out of the sails of a legislative threat.

ALTERNATIVES MAR 21, 2007
Beacon Rock faces market timing charges

In the first criminal case against a hedge fund for market timing, Beacon Rock Capital LLC and a former broker were charged with defrauding mutual funds of $2.4 million.

MUTUAL FUNDS MAR 19, 2007
Funds hit by lenders’ problems

It’s unlikely that the crisis in the subprime-mortgage market is going unnoticed by some prominent mutual fund managers.

ETFS MAR 19, 2007
SSgA retools sales force in bid to boost ETF sales

As exchange traded funds proliferate, ETF producers are getting more aggressive when it comes to pitching product.

ETFS MAR 12, 2007
Index provider role may cross advice line

As indexes developed specifically for exchange traded funds proliferate, so do concerns about potential conflicts of interest that may exist when index providers reach for extra performance.

ALTERNATIVES MAR 12, 2007
OppenheimerFunds’ Rochester unit rakes in the cash

BOSTON — Municipal bonds — which finance projects such as roads and sewers — may not be the sexiest investments, but if investor inflows count for anything, OppenheimerFunds Inc.’s Rochester unit looks like Sophia Loren.

ALTERNATIVES MAR 12, 2007
SEC weighs raising bar on private-equity pools

The Securities and Exchange Commission is considering whether to raise the financial bar for investing in private-investment pools other than hedge funds.

ETFS MAR 12, 2007
ETF industry sees birth of more rating services

The number of companies that rate exchange traded funds — and the methods they use to rate them — is growing.

MUTUAL FUNDS MAR 05, 2007
American: Expect flows to slow

Buoyed by the firm’s popularity with financial advisers, net inflows at American Funds have dwarfed its competitors’ over the past five years.

MUTUAL FUNDS MAR 05, 2007
Advisers cool to Fidelity move to expand performance fees

Fidelity Investments’ plan to subject more of its adviser-sold mutual funds to performance-fee adjustments got a chilly response last week from some financial advisers who said such incentives could encourage funds to take on too much risk.

ETFS MAR 05, 2007
New ETFs highlight belief that simple is good

PHILADELPHIA — WisdomTree Investments Inc. of New York is betting that when it comes to fundamental indexing — indexes weighted not by market capitalization but by other factors — the simpler, the better.

ETFS FEB 26, 2007
ETFs seek appeal among hedge funds

The Vanguard Group Inc., which long has espoused the virtues of buy-and-hold investing, is encouraging hedge funds — which rank among the most frenetic of investors — to invest in its exchange traded funds.

MUTUAL FUNDS FEB 26, 2007
Waddell coy on prospects for a sale

Waddell & Reed Financial Inc., an asset management firm started by two World War I pilots, is winning its turnaround battle so far, but some observers say that the upshot ultimately will be to fix it or sell it.

MUTUAL FUNDS FEB 26, 2007
Early returns at Magellan, Janus Worldwide promising

BOSTON — Although it is too early to tell whether their winning streaks will continue, Fidelity Magellan Fund and Janus Worldwide Fund — two large mutual funds that have struggled to beat their benchmarks of late — are off to decent starts in 2007.

ALTERNATIVES FEB 19, 2007
200 have filed comments on SEC hedge fund plan

WASHINGTON — The SEC’s efforts to protect hedge fund investors have stirred up free market enthusiasts, who are making it clear they don’t want the government limiting their investment options.

ETFS FEB 19, 2007
Barclays targets REITs, but timing may not be right

PHILADELPHIA — Real estate investment trusts have outperformed the broad market for seven years, so it isn’t surprising that exchange traded fund providers want in on the action.

ETFS FEB 12, 2007
‘Empty voting’ ploy used by hedge funds is on SEC’s radar

The practice of borrowing company stock to manipulate the outcome of company votes has piqued the interest of the Securities and Exchange Commission and has rekindled a debate over stock lending.

MUTUAL FUNDS FEB 12, 2007
Growth of wrap assets tops that for separates

Baby boomers who are retiring and rolling over their 401(k) money favor mutual fund wrap programs even though many are wealthy enough to qualify for separately managed accounts, industry observers say.

ETFS FEB 12, 2007
Non-traditional indexes gaining ground in ETF world

PHILADELPHIA — When it comes to new indexes, those that eschew weightings based on market capitalization are all the rage.

MUTUAL FUNDS FEB 12, 2007
For fund investors, it pays to read the fine print

BOSTON — Just because the Enron Corp. and market-timing scandals have led to greater disclosure requirements doesn’t mean that some mutual fund companies aren’t still burying some doozies in their regulatory filings, according to Russel Kinnel, director of mutual fund research for Morningstar Inc.