However, as securities companies gain more experience in wealth management, they could pose a threat.
In October, the China Securities Regulatory Commission introduced new rules relaxing restrictions on securities companies offering wealth-management services.
But insurance companies and securities companies, which operate under different laws and guidelines in most countries, have not been subject to the same scrutiny.
"With banks, funds, securities companies and third party managers successively entering the wealth management space, wealth management competition is becoming white hot, " said Beijing-based National Trust Ltd.
Many states have pension funds that could benefit if several pending claims against securities companies are settled rather than being thrown out of court under a higher standard.
Women make up less than 20 percent of executive officers in the finance and insurance industries and just 15 percent of executive or senior-level officials in investment banking and securities companies, according to analysis by Catalyst.
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News out of the subprime mortgage sector continues to worsen, as New Century Finance, already teetering toward bankruptcy, announced new regulatory probes and Massachusetts-issued subpoenas to two big securities companies for information on their research into the business.
In its second pro-business decision in a week, the U.S. Supreme Court made it more difficult for investors to sue securities companies for alleged fraud, saying that before a case can initially go forward, shareholders must show substantial evidence that a company intended to commit wrongdoing.
That's a sign investors have dwindling confidence in the companies, and that's for the best securities the companies sell, those guaranteed by the federal government.
Whither Japan has as a particular interest in Japanese financial institutions and companies banks, securities firms, insurance companies, asset managers, consumer finance, and leasing companies.
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Disclosure: Securities issued by companies mentioned in this article were held by funds and portfolios managed by T.
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The big accounting, law, securities and insurance companies aim mainly at the wealthy.
In recent years, banks have been held accountable for preparing securities issues for companies that were later found to have engaged in fraud.
Look for securities of financially strong companies trading at discounted valuations. (Value beats growth over the long term, but some securities are cheap for a reason.) Also, hold a variety of stocks and bonds, including international securities.
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With less analysts covering companies, on average, there is more opportunity to find undiscovered securities and under-covered companies.
Hicks tried to satisfy the rest of the award with securities issued by two companies, including Fonix Corp.
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We've got to look at more liberalization in the securities industry, so companies can raise capital more easily.
Our data sources include voluntary disclosures by companies, Securities and Exchange Commission filing, and estimates from Forbes researchers and outside sources.
Last week, however, the shareholder threshold was increased to 2, 000 under a new law aimed at relaxing some securities rules for smaller companies.
Most of the selling last week was focused on shares of companies and securities that stand to face headwinds in a rising interest rate environment.
He demonstrated that SROs were disadvantaged by their close ties to the securities industry and public companies, which were supposed to be their rule-making and enforcement strengths.
In 2011, SEBI said that two Sahara real estate companies broke securities rules by issuing bonds to individuals between 2008 and 2011, but masking them as private placements.
After much delay, the SEC has finally issued new rules mandated by Congress to open up the marketing of shares and other securities issued by private companies seeking capital.
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You know, when banks and insurance companies and securities firms all do a lot of the same things, it just gets harder to say when one company deserves to get bailed out and another doesn't.
Correlations between asset classes are appearing in unexpected ways, but are unlikely to reach holders of catastrophe bonds, the securities issued by insurance companies that pay tempting yields but can lose their value in the event of floods, earthquakes and the like.
One measure of how effectively the incoming president and his crisis-management team have taken charge was their refusal to accept the Grand National Party's plan to place a new watchdog agency for supervising banks, securities firms and insurance companies under the Ministry of Finance.
Regrettably, CalPERS, and its sister organization, the California State Teachers Retirement System (CalSTRS), have to this point largely resisted efforts to ensure that the foreign companies' securities purchased for their respective international portfolios are engaged in "good practices" with respect to national security, political and press freedoms and other human rights issues.
These factors make fixed maturity securities and ideal choice for insurance companies, which typically invest 50-70% of their total invested assets in fixed maturity securities.
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Workers interviewed at such companies as Nomura Securities said then "of course" they would comply.
My preference: Take a pass on the commodity securities and invest in the companies that sell them.
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