Global Investment Services Industry

  • January 2012
  • -
  • Global Industry Analysts

The global outlook series on the Investment Services Industry provides a collection of statistical anecdotes, market briefs, and concise summaries of research findings. Illustrated with 29 fact-rich market data tables, the report offers a rudimentary overview of the industry and highlights latest trends and demand drivers. Regional markets briefly abstracted include the United States, Canada, Japan, France, UK, and Russia among others. The report offers a compilation of recent mergers, acquisitions, and strategic corporate developments. Also included is an indexed, easy-to-refer, fact-finder directory listing the addresses, and contact details of 336 companies worldwide.

Table Of Contents




1. INDUSTRY OVERVIEW 1
Alternative Investments Witness Rapid Growth 1
Hedge Funds Sector Growing Fast 1
Globalization Drives Industry Growth 1
Technology Advancements Spurs Productivity 2
Companies Include Financial Planning in Employee Benefits 2
Demographics Propel Investment Markets 3

2. INDUSTRY STRUCTURE 4
Investment Management Industry 4
Table 1: World Sovereign Wealth Fund Market (2011):
Percentage Breakup by Region 4
Investment Banking and Brokerage Industry 4
Alternative Investments 5
Hedge Funds 5
Managed Futures 5
Exchange-Traded Funds 6
Separately-Managed Accounts 6
Private Equity 6
Table 2: Worldwide Private Equity Industry (2011):
Percentage Breakdown of Investment by Region - Europe, US
and Rest of World 6

3. A REVIEW OF INDUSTRY SEGMENTS 7
Asset Management Industry 7
Current Scenario 7
Table 3: Global Financial Services Market (2011): Percentage
Breakdown of Assets Under Management by Type -
Conventional Investment Management Assets, Non-Conventional
Investment Management Assets and Private Wealth 8
Sector Gains Momentum 8
Retail Investors to Drive the Asset Management Industry 9
Factors Governing the Market 9
New Regulatory Requirements 9
Relationship between Asset Management Firms and Third Party
Distributors 10
Governance Codes or Laws 10
Alternative Investments Drive Market Growth 10
Corporate Initiatives to Improve Performance 10
Expanding Operations 10
Mutual Funds Market - A Review 11
Net Assets of Mutual Funds Worldwide 11
Table 4: Global Mutual Funds Market (2011): Percentage
Breakdown of Net Asset Value by Region - US, Europe and
Rest of World 11
Market Drivers 11
Institutional Asset Management 12
Pension Funds Market 12
Financial Future Post Retirement - A Global Concern 12
Sector Gains Importance 12
Merger Funds 13
Investment Banking 13
Industry Overview 13
Sponsorships Drives Up the Investment Banking Sector 13
Table 5: Global Market for Leading Equity and Equity Linked
Rights Issuer Advisers (2011): Percentage Breakdown of
Market Share by Company 14
Underwriting - A Significant Contributor to Investment
Banking Industry 14
Debt Underwriting 14
Equity Underwriting 15
MandA Advisory Business 15
Securities Industry 15
Alternative Investments 15
Hedge Funds 15
Investors in Hedge Funds Industry 16
Regional Landscape 16
Hedging Strategies 16
Types of Hedge Funds 17
Single-manager Funds 17
Funds of Hedge Funds (FOHFs) 17
Problems Faced by the Hedge Fund Industry 18
Strategies Adopted by Hedge Fund Industry 18
Private Equity 19

4. MERGERS AND ACQUISITIONS 20

5. STRATEGIC CORPORATE DEVELOPMENTS 38

6. PRODUCT LAUNCHES 45


A REGIONAL PERSPECTIVE 52

1. THE UNITED STATES 52
Investment Management 52
Table 6: Financial Services Market in the US (2011):
Percentage Breakdown of Revenues by Sector - Bank, Insurance,
Diversified Financials, and Securities 52

Table 7: US Financial Planning Services Market (2011):
Percentage Breakdown of Number of Investors by Type of
Investment Advisor Frequented 52

Table 8: US Financial Planning Services Market (2011):
Percentage Breakdown of Equity and Bond Investors by Average
Age of Decision Maker 53

Table 9: Equity and Bond Ownership Patterns in the United
States (2011): Percentage Breakdown of Number of Households
by Type of Investments 53
Market Outlook 53
Table 10: Portfolio of US Investment Companies (2011):
Percentage Breakdown of Investment by Funds- Bond, Stock and
Hybrid Funds, Money market Funds, Exchange-Traded Funds,
Closed- End Funds and Unit Investment Trusts 54

Table 11: Mutual Funds Market in the US (2011): Percentage
Breakdown by Purchase Channel - Inside Employer-Sponsored
Retirement Plans; and Outside Employer-Sponsored Retirement
Plans (Sales Force and Direct Market) 55
Money Market Funds 55
Retail Money Market Funds 55
Institutional Money Market Funds 55
Individual Retirement Accounts (IRAs) 56
Retirement Assets Market 56
Table 12: US Retirement Assets Market (2010): Percentage
Breakdown of Assets by Plan Type 56
Motivation for an Extended Work Life 56
Effects of Departure from Work Life 57
Post Retirement Opportunities 57
Table 13: Asset Allocation of Pension Funds in the US
(2011): Percentage Breakdown by Type -Equities, Bonds and
Others 57
Investment Banking 57
US Regulators 58
Securities and Exchange Commission (SEC) 58
National Association of Securities Dealers (NASD) 58
US Securities Industry 58
Brokers/Dealers 58
Major Firms 58
Regional Brokers 58
New York City (NYC) Area Regionals 59
Discounters 59

2. CANADA 60
Table 14: Leading Mutual Fund Managers in Canada (2011):
Percentage Breakdown of Assets Under Management for RBC Asset
Management and Phillips Hager and North, TD Asset Management,
Fidelity Investments Canada ULC, CIBC Asset Management, BMO
Financial Group, Dynamic Mutual Funds, Scotia Asset
Management, Invesco Trimark, Franklin Templeton and Others 60
Rising Popularity of Pension Plans among Women 61
Canadian Securities Industry 61
Integrated Firms 61
Retail Firms 61
Access to Capital for Businesses and Governments 62
The Increasing Importance of the Canadian Securities Industry 62
Outlook 62

3. JAPAN 63
Mutual Funds Market in Japan 63
Table 15: Mutual Funds Market in Japan 2010): Percentage
Breakdown of Assets Under Management by Type of Parent
Company - Securities Firms, Banks, Foreign Firms, Insurance
Firms, and Independent Firms 63
Pension Funds Market 63
Corporate Pension Assets 63
Public Pension Assets 64

4. EUROPE 65
Investment Management 65
Cross-Border Funds and Increased Use of Internet Fuels Up the
Asset Management Sector 65
Organization of European Asset Management Industry 66
Insurance Companies and Pension Funds- Largest Institutional
Investors 66
Table 16: European Investment Fund Market (2011): Percentage
Breakdown of Assets by Type 66

Table 17: Asset Under Management in Europe (2011): Percentage
Breakdown of Market Share for UK, France, Germany, Italy,
Belgium, Netherlands and Rest of Europe 67

Table 18: Asset Allocation in the Asset Under Management
Market in Europe (2011): Percentage Breakdown by Category 67

Table 19: Asset Under Management Market in Europe (2011):
Percentage Breakdown by Type of Client - Institutional and
Retail 67

Table 20: Asset Management Companies in Europe (2011):
Breakdown of Number of Companies by Country 68
Table 21: European Investment Fund Assets Market by Region
(In US$ Billion) 68
Prospects 68
UCITS III Directive 69
Hedge Funds Review in Europe 69
Key Strategies 69
Table 22: Hedge Funds Market in Europe: Percentage
Breakdown by Strategy 70
Regional Landscape 70
Leading European Mutual Fund Managers (2011): Ranked by AUM 71

4a. FRANCE 72
Potential Investors 72
Aging Population Provides Opportunity 72

4b. UNITED KINGDOM 72
Declining Wealth Management Market 72

4c. RUSSIA 73
Market Scenario 73
IPOs of Russian Companies 73
Table 23: Leading Equity Capital Bookrunners in Russia
(2010): Breakdown of Deal Value in US$million 73

5. ASIA-PACIFIC 74
Asian Hedge Funds Industry 74
Table 24: Leading Investment Banking Firms in Asia-Pacific
(2009): Percentage Share Breakdown of Net Revenues of Leading
Players 74
Asian Money Managers by Non-Asian Equities 74

5a. AUSTRALIA 75
Hedge Funds 75
FOHFs - Play a Crucial Role 75

5b. CHINA 76
A Promising Investment Market 76
Table 25: Internet Banking Market in China (2011): Percentage
Share Breakdown of Trade Value by Corporate and Personal
Sectors 76
Guidelines for Investments in China 76
CEPA and Industry Development in China 76
Leading Asset Management Companies in China 77

5c. HONG KONG 78
Hong Kong Securities Industry 78
Service Providers 78
Table 26: Certified Financial Planner (CFP) Population in
Hong Kong (2011): Percentage Breakdown of Number of Certified
CFPs by Sector 78

5d. INDIA 79
Investment Market in India on a Growth Trajectory 79
Table 27: Indian Wealth Management Service Market (2011):
Percentage Share Breakdown of Organized and Unorganized
Sectors 79

Table 28: HNWI Wealth in India (2011): Percentage Breakdown
of HNWI Financial Assets by Type of Investment 79

Table 29: HNWI Population in India (2011): Percentage Share
Breakdown of Number of High-Net-Worth Individuals (HNWIs) by
Age 79

5e. TAIWAN 80
New Rules for Mutual Funds 80


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