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Deutsche Bank turmoil exposes ETN counter-party risk

October 4, 2016

Nearly two dozen exchange-traded notes have come into Deutsche Bank's troubled shadow. Counterparty risk assessments. Projecting the next move for stocks. Going down to go up. Dissecting the dividend-payer buzz. Is dividend payment mandatory?...

Alternative investments shop 361 Capital 'diversifies' into long-only management

October 4, 2016

In a move that goes against the grain of the broader asset management industry, alternative investments shop 361 Capital announced Tuesday plans to acquire long-only manager BRC Investment Management. 361 Capital has already filed to launch...

Janus Capital agrees to merge with London's Henderson Global

October 3, 2016

Janus Capital Group Inc. has announced an all-stock merger with London's Henderson Group Plc, creating a global active management complex with $320 billion under management. The combined market capitalization will be approximately $6 billion....

Advisers weigh pros and cons of Janus-Henderson merger

October 3, 2016

The announced merger between Janus Capital Group Inc. and London's Henderson Group is getting mostly good reviews from the industry, including the financial markets. In mid-day trading Monday, the day the all-stock deal was announced, Janus...

More dark clouds loom over Wells Fargo

September 29, 2016

Wells Fargo gets yet another black eye as California suspends business relationships with the bank. Criminal inquiries have been opened. The DOL fiduciary rule presents financial advisers with new challenges and opportunities when it comes to...

Morgan Stanley: DOL fiduciary rule turns brokerage business into a buy

September 28, 2016

Morgan Stanley believes the DOL rule is making the brokerage business a more interesting investment category. Something about a $22 trillion opportunity. “This opens up a larger addressable market than was possible in the past.” Would a...

Testing the limits of ETF tax efficiency

September 28, 2016

Investors in exchange-traded funds don't normally have to fret about tax bills, because tax efficiency is one of the main sales pitches right along with transparency, liquidity and lower fees. But thanks to recent adjustments in certain indexes...

Tonight's presidential debate puts the markets on edge

September 26, 2016

Tonight's presidential debate will be watched as a potential disruptor for the equity markets. It all depends on how well the candidates can execute their fight plans. “The markets may react to a perceived shift in momentum.” Taking a look...

SEC charges duo in defrauding seniors and others in $20 million penny-stock scam

September 26, 2016

The Securities and Exchange Commission has charged a former microcap CEO and a boiler room operator with pressuring senior citizens and other investors to buy penny stocks in a $20 million fraud. Craig V. Sizer was the CEO of Sanomedics, which...

DOL fiduciary rule expected to put new pressure on mutual fund expenses

September 23, 2016

The ripple effects of the Department of Labor's fiduciary rule is expected to put new pressure on mutual fund fees, and could even lead to fewer fund share classes, according to a report from S&P Global Market Intelligence. The DOL rule, which...

Smart beta complexity is hurting investors

September 19, 2016

The biggest risk of smart-beta investing might be that the strategies are becoming too complex for their own good. Timing smart-beta investing. The SEC's fuzzy rules on dodgy accounting violations. From a slap on the wrist to jail time. Does...

Old school fund companies Goldman, JPMorgan wade deeper into ETF market

September 16, 2016

Old-line asset management shops are continuing to wade deeper into the ETF market, seemingly embracing the notion that 'if you can't beat 'em, join 'em.' Over the past few weeks, Goldman Sachs Asset Management, JPMorgan Asset Management, and...

Investors pile in as REITs move closer to S&P 500 sector status

September 15, 2016

The establishment of real estate as an eleventh sector of the S&P 500 Index is morphing into a near-term investment strategy, according to some market watchers. The real estate play, ahead of REITs' elevation to sector status on Friday, is seen...

Hedge funder calls the bond market the mother of all bubbles

September 14, 2016

Hedge funder Paul Singer is describing the bond market as the “biggest bubble in the world.” Leaning hard on gold. Goldman Sachs dials down the chances of a September interest rate hike. Now pegging the chances of a hike at 25%. The falling...

The presidential election fear factor puts economy at risk

September 13, 2016

What the majority of Americans fear most about the upcoming presidential election is the election itself — and that might be the scariest part of all. A new survey by Bankrate.com found that 61% of Americans believe the election's outcome...

Time to embrace the idea of a nasty market correction

September 12, 2016

The upside of a serious market correction. It might be exactly what we need right now. A quick and nasty correction is best for bulls. The general sense is that the stock market volatility is just getting started. Buckling in for a bumpy ride....

Financial advisers navigate Federal Reserve comments and Hillary Clinton's health

September 12, 2016

Financial advisers are bracing for typical September stock market gyrations, that will likely include a few new twists related to the unorthodox presidential election. Stocks rebounded slightly on Monday, following a jarring 2.5% drop on Friday...

Time to start navigating that minefield of mutual fund capital gains

September 9, 2016

Heading into capital gains distribution season for mutual funds, there are some potential pitfalls worth noting for financial advisers. Don't assume a fund will always be tax friendly. The muni-bond lovefest continues. Investors are pouring...

Markets, financial advisers get nervous as Donald Trump closes in on Hillary Clinton

September 9, 2016

The 2016 presidential campaign is anything but ordinary, which is a big part of the reason financial advisers should not be banking on ordinary election-year stock market results. “I don't think the market is moving with any precision towards...

Fed finds more reasons to keep sitting on its hands

September 8, 2016

The Fed's latest reason for not raising interest rates is that only highly-skilled workers are getting raises. Also, U.S. job openings surged to a record high in July. There might be times when you want to curse during communications with clients,...

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