Displaying 125 results
Collective investment trusts rise in popularity as attractive alternatives to mutual funds
Fiduciaries need to be well versed in these low-cost investment vehicles and how to assess them.
Socially-conscious investing gets a boost from the DOL fiduciary rule
Labor Department acknowledges fiduciaries can apply environmental, societal and governance factors when investing
7 actions to demonstrate compliance following the DOL fiduciary rule
These moves will help structure your firm to meet Department of Labor's conflict-of-interest regulations.
Are you applying the standard of care required for your clients?
It pays to understand any governance structures already in place to ensure they meet expectations for every type of client.
12 predictions about what the Labor Department’s fiduciary rule will look like when implemented
Predictions on what the Labor Department's fiduciary rule will look like when implemented, and when that implementation might occur.
The three biggest fiduciary stories of 2015
Plus, what to expect in 2016 from the SEC on a fiduciary rule and the Labor Department regarding a conflicts rule.
Redefining an accredited investor
For more than three decades, the Securities and Exchange Commission has measured the ability to bear the risk…
Duty of due care and robo-advisers
Investment advisers have a fiduciary duty to act in the clients’ best interests. As it applies to the…
In times of turmoil, investment policy statement is key
Showing in writing that you're following prudent processes will allay clients' fears.
Prepare clients now for an extended period of abnormally low portfolio returns
The expectations many investors have baked into their financial plans for the future are based upon recent or historic gains.
Ramifications of Supreme Court decision on 401(k) fee lawsuit run deep
The court underscored the critical importance that persons entrusted with the assets of others cannot simply make the initial investment decision and walk away.
Digital services must adhere to core fiduciary principles
Advisers should step back from the current industry fixation on digital portfolio management capabilities to think about what investors may find most useful.
Conflicts aren’t all bad for investors
DOL, swayed by more flexible "best interests' standard, would allow variable compensation
Due diligence in the age of flash crashes
The dominance of algorithms in trading means advisers need to re-evaluate their processes
Monitoring investments doesn’t end
Supreme Court is reviewing a decision on the responsibility of plans to continually watch costs
Regulators can’t keep up with change
Cheers to the new year and another chance for us to get it right.” That quote, while attributable…
What the Pimco saga can teach advisers
Due diligence on funds requires blending performance data with professional judgment
Finra’s CARDS plan is likely to be a game changer
Along with helping identify trading abuses, system will help facilitate cost-benefit analyses
Fiduciary: Contentious, unsettled
But consensus for one standard building among thought leaders and decision makers
Fiduciary duty’s impact on succession planning
Does succession planning impose fiduciary obligations for investment advisers? This recently has become a hot topic of conversation,…
