Displaying 125 results
Target date funds: Adviser’s checklist
Target date funds should be a panacea for in-vestors and advisers. Professional management, coupled with a preprogrammed asset…
Fiduciary case law provides insight
Most of today's headlines about the fiduciary standard are about deadlines, not details. Will or won't the Securities…
Industry preparing for an adviser SRO
Self-regulation is a hot topic at many conferences for investment advisers. Most often, sessions on the subject center…
IRA rollovers offer a huge opportunity
IRA rollovers represent a huge and growing market, and there are many retirement plan participants seeking help with…
Prepare early for regulatory exams
Why should an ad- viser spend time preparing for a regulatory exam? Only about 60% of SEC-registered investment…
Finra’s call to arms to put clients first
Have you made a New Year's resolution for your business? Here's a suggestion: Worry less about what new…
Fiduciary Corner: The importance of the investment policy statement
The purpose of the investment policy statement is to document the investment plan and provide guidance for consistent,…
Considering money market reforms
For a harrowing three days in September 2008, financial advisers could only wonder, “What next?” after the Reserve…
Best execution a critical obligation
As fiduciaries, investment advisers are obligated to seek the best execution of securities transactions for clients. Like most…
A disturbing portrait of the industry
“Wall Street’s future leaders … have lost their moral compass, accept corporate wrongdoing as a necessary evil and…
‘Coordination’ is code for dilution
Regulatory “harmonization” has become a catchphrase for efforts to roll back investor protections to a universal, lowest-common-denominator standard…
SEC on a fiduciary fishing expedition
Its request for data is 'an amorphous exercise,' lacking clear purpose and core principles
Brokers need to rethink the IPS
The quintessential document governing investment decision making by fiduciaries is the investment policy statement. Brokers acting in a…
In volatile times, it pays to revisit the IPS
With financial markets careening up and down amid new financial, environmental and geopolitical crises, investors are justifiably nervous about whether seemingly desperate times call for desperate measures.
Manage conflicts or the regulators will
Conflicts of interest are the single greatest obstacle to fulfilling fiduciary duty. A conflict of interest is a…
Enforcement of securities laws a must
There is a crisis of investor confidence in the integrity of financial market participants and regulators. Although…
Are cost-benefit analyses exploited?
Cost-benefit analyses are either being productively used or abused in financial regulation, depending on your point of view.
When duty clashes with public policy
State and local public pensions are in the cross hairs. Collectively, they are underfunded by between $1 trillion…
Adviser SRO: It could be the SEC after all
Support for Bachus bill seems to be fading as Congress hears more about possible Finra oversight
Low rates flummox DB fiduciaries
Low interest rates have placed many named fiduciaries of defined-benefit plans in a particularly uncomfortable position. Poor investment…
