Results for "mutual funds & ETFs"

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Regulators showing renewed interest in cracking down on investment fees

December 14, 2017

Regulators are putting increasing pressure on financial advisers who try to augment their income by putting clients in high-fee funds or ones that offer revenue sharing. Recently, the Securities and Exchange Commission and the Financial Industry...

Buybacks, CEO pay add up to big costs for shareholders

December 13, 2017

David Winters, manager of the Wintergreen Fund, says that buyback programs and CEO compensation are adding an enormous drag to investor returns, and that index funds are making the problem worse. Before you dismiss Mr. Winters as yet another...

Finra censures Investacorp for laxity on fund sales

December 7, 2017

The Financial Industry Regulatory Authority Inc. has censured Investacorp, a subsidiary of Ladenburg Thalmann Financial Services Inc., for its failure to have proper procedures in place to detect that its reps were selling high-priced funds...

You owe clients a better grasp on funds and SMAs

December 6, 2017

Meeting clients' investment needs today is challenging. Yet even experienced, sophisticated financial advisers are not taking full advantage of the right investment vehicle. The three most popular vehicles— mutual funds; active and passive...

Finra says BB&T overcharged retirement plans, charities

December 5, 2017

The Financial Industry Regulatory Authority Inc. has censured BB&T Investment Services for having overcharged retirement plans and charitable organizations in their purchases of mutual funds. The firm accepted the censure without admitting or...

ESG funds boosted by women and millennial investors

December 2, 2017

Women and millennials are responsible for the doubling of ESG assets to $8.1 trillion worldwide since 2014 — and you can expect that trend to continue. The obvious reason: They have more money, said Jordan Farris, head of ETF product development...

Take Five with Daniel Chung of the Alger funds

December 1, 2017

Daniel Chung has been chief investment officer of the Alger funds since 2001 and CEO since 2006. Before that, he graduated from Harvard Law School, served as editor of the Harvard Law Review and clerked for Supreme Court Justice Anthony Kennedy....

Morningstar-WSJ feud gives CFRA opening to challenge bigger rival's methodology

November 30, 2017

In the wake of the big public feud between Morningstar Inc. and the Wall Street Journal, advisers are looking for alternative sources of mutual fund analysis — and at least one firm is promoting its differences with the Chicago-based fund...

Not all smart-beta funds are smart

November 30, 2017

"Smart-beta" strategies are index funds that attempt to beat the market or achieve specific objectives, like higher income or lower risk, through security selection, alternative weighting or some combination of the two. They express active bets,...

Alternative beta raises the bar on hedge funds

November 30, 2017

Here's a paradox for financial advisers to consider: As it relates to traditional indexing, we would never invest in an active manager in long-only equity without benchmarking them to the relative index. But in the hedge fund world, we've accepted...

Vanguard rolls out actively managed factor ETFs

November 28, 2017

Vanguard announced Tuesday its entry into factor ETFs, a move that's a sharp departure from its index-based exchange-traded funds — and, quite possibly, one designed to appeal to advisers. Vanguard plans to roll out six new factor ETFs next...

Insiders may not have as much investing savvy as you think

November 22, 2017

If you were to make broad generalizations about CEOs based on their portraits in annual reports, you'd assume they were all wise titans of business who spend most of their time with their arms crossed, peering into the distance. You might also...

Wells Fargo sees big TDF outflows from mutual funds

November 20, 2017

Target-date funds are on track for a near-record year, but Wells Fargo & Co. doesn't seem to be participating in the boom. TDFs have catapulted to popularity over the past decade as 401(k) plan sponsors' preferred default investment, and flows...

TIAA subpoenaed over sales practices

November 10, 2017

The New York attorney general has subpoenaed insurance and pension giant TIAA, seeking information on its sales practices in the wake of a recent story in the New York Times. The TIAA practices drawing scrutiny also are the subject of a whistleblower...

Clayton: SEC targets 'complex, hidden fees'

November 8, 2017

Securities and Exchange Commission Chairman Jay Clayton said on Wednesday the agency is targeting complex and hidden fees that can harm investors — both through enforcement and by clarifying disclosure requirements. In a speech at a Practising...

Millennials, women drive assets to ESG strategies

November 7, 2017

Two groups of people – women and Millennials – are responsible for the doubling of ESG assets to $8.1 trillion worldwide since 2014, said panelists at the InvestmentNews Focus on Investing event on Monday. "Women now control up to 50% of...

Wells Fargo launches hybrid robo-adviser

November 6, 2017

Wells Fargo officially got into the digital advice market on Monday with the launch of Intuitive Investor, the bank's new hybrid robo-adviser. The offering combines digital access to a portfolio of ETFs designed by the Wells Fargo Investment...

Brace clients for a big capital gains season

November 2, 2017

Brace yourself – and your clients – for big capital gains distributions this year. The number of funds with estimated distributions of 10% or more of their share price have already passed the 2016 mark, says Mark Wilson, CEO of Mile Wealth...

SEC penalizes UBS $3.5 million for overcharging on funds

October 30, 2017

UBS Financial Services Inc. has agreed to a cease-and-desist order, a censure and a civil penalty of $3.5 million in connection with charges that it failed to provide certain clients with the lowest-cost fund choices to which they were entitled....

Advisers: Morningstar's star ratings not much use, but clients love them

October 26, 2017

Investment advisers reacted to the Wall Street Journal's attack on Morningstar's star ratings with a single question: Why would you use measures of past performance to choose a mutual fund? The Journal's piece, The Morningstar Mirage, looked...

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